What's in a Name?

The Consequences of Violating Brazilian Emic Color-Race Categories in

Estimates of Social Well-Being
Author(s): Bryan Byrne, Marvin Harris, Josildeth Gomes Consorte and Joseph Lang
Reviewed work(s):
Source: Journal of Anthropological Research, Vol. 51, No. 4 (Winter, 1995), pp. 389-397
Published by: University of New Mexico
Stable URL: http://www.jstor.org/stable/3630144 .
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WHAT'S IN A NAME? THE CONSEQUENCESOF

VIOLATINGBRAZILIANEMIC COLOR-RACE
CATEGORIESIN ESTIMATESOF
SOCIALWELL-BEING1
Harris
BryanByrneandMarvin
FL32611
ofAnthropology,
ofFlorida,
Gainesville,
University
Department
GomesConsorte
Josildeth
ofSociology,
of SdoPaulo,Brazil
Catholic
Department
University
JosephLang
ofActuarial
andStatistical
ofIowa,
Sciences,University
Department
IowaCity,IA52242
articlereporting
theresults
toassesstheconseThisis thesecond
ofanexperiment
designed
theBrazilian
emiccolor-race
instudiesofcolorsystem
quences
ofoverriding
classification
racerelations.
Wehavealready
demonstrated
thatuseofthenonsalient
termparda,rather
thanthesalienttermmorena,
todenote
"mixed"
color-race
statuscausestheoverenumeration
and
SomeBrazilianists
brancas
remainconfident
thattheclas(whites) pretas(blacks).
of
errors
do
not
their
statistical
social
as
analyses
affect
of
well-being longas the
sification
aredichotomized
ortrichotomized.
in thisarticlewedemonstrate
that
categories
Therefore,
color-race
termsandaggregate
alsocauseerroneous
thesenonsalient
observacategories
status.Brazilianists
tionsaboutsocioeconomic
shouldreconsider
theresultsoftheirprevionthesearch
a
ousworkandconcentrate
theirefforts
valid
and
reliable
setofcolor-race
for
categories.
EFFORTS
TOMEASURE
the consequencesof racialdiscrimination
in Brazilraise

questionsaboutthe emic andetic meansby whichBrazilianistsdetermineracial status.The terms emic andetic derivefromthe distinctionbetweenphonemicandphoneticformsof linguisticanalysis.Phonemesare speech sounds
thatareperceivedby nativespeakersas beingcontrastivein a given language;
phoneticdistinctionsdefinespeech soundsin terms of their articulatoryand
acousticpropertiesas perceivedby the observer.By extension,emic statements refer to logico-empirical
systems in whichphenomenaldistinctionsor
are
out
of
contrasts
anddiscriminations
whichare significant,
"things" builtup
meaningful,real,accurate,or in some otherfashionregardedas appropriate
by
the actorsthemselves.An emic statementcan be falsifiedif it can be shown
thatit contradictsthe cognitivecalculusbywhichactorsjudgethatentitiesare
similaror different,real,meaningful,significant,orin some othersense appropriate or acceptable.Etic statementsdependuponphenomenaldistinctions
by a communityof scientificobservers.Eticcategoriesand
judgedappropriate
statementsare not falsifiedif they are rejectedby the communityof actors;
Research,vol. 51, 1995)
(JournalofAnthropological
389

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390

OFANTHROPOLOGICAL
RESEARCH
JOURNAL

theiradequacyis ultimatelya matterof the extent to whichthey contributeto

the constructionof cross-culturally
testablehypothesesandtheories(see Harris 1990).
aboutcolor-race2
identityrequires
Anymethodofcompilingemicinformation
that respondentsuse any term they considerappropriate.Interviewersare
obligedto accepttheirresponses.Allof the methodsof compilingetic information requiretrainedobserversto specifyracialidentityaccordingto predeterminedcriteriawhose validitydoes not dependon the respondents'cultural
assessments.Inone etic method,researchersdefineandenumerateracialstatus withreferenceto predeterminedclustersof geneticalleles.Ina less rigorous etic method,trainedobserversclassifyindividualswith respectto predecriteria.The most commonlyused
terminedphenotypicand/ornonphenotypic
methodmixes emic andetic information;
respondentsclassifythemselvesby
from
a
list.
one
term
predetermined Researcherssometimesgo one
choosing
further
either
step
by
aggregatingthe responsesintoglosses and/orby correand
SES
(socio-economicstatus) measures.They use their
latingresponses
to
aggregatecategories analyzeotherdatabases (see below).
Emicandetic approachesdo not necessarilyproduceidenticalobservations
andconclusions.Those who claimthat their mixedor etic classificationsystems are compatiblewith emic reportsmust demonstratethattheirenumerationsdonotsignificantly
divergefromthosemadeusingemiccategories.Where
they do diverge,researchersare obligedto demonstratehow andwhy their
systems leadto testablecross-culturaltheories.
COLOR-RACEIDENTITYIN BRAZIL
Brazil'ssystem of color-raceidentityis neitheregalitariannor identicalto
the systemfoundin the UnitedStates,Andeannations,or SouthAfrica(Harris
1964a;Harriset al. 1993;Hasenbalg1985,1992;Sanjek1971;Silva1985,1988;
Skidmore1985, 1993;WoodandLovell1992).Unlikethe NorthAmericanracialcaste system in whichidentityis assignedvia the practiceof hypodescent
(i.e., the "one droprule"),the Braziliansystem emphasizesphenotypicand
overancestry(Harris1964a,1964b;Kottak1967,
socioeconomiccharacteristics
n.d.).Fullsiblingsmayhavedifferentidentitiesin Brazil,butnot in the United
States (HarrisandKottak1963).In accordancewith the "ideologyof whitening,"Brazilianschangetheircolor-raceidentity,to a limitedextent, in accordancewith shifts in their socioeconomicstatus (Harris1964b;Kottak1990,
distinctions
n.d.).Consequently,Braziliansmakefine andoftencontradictory
betweencolor-raceidentities(Harris1970;Stephens1989).
These culturalpracticeshave made it terriblydifficultto operationalizea
validand reliablemethodfor enumeratingBraziliancolor-raceidentity.The
IBGE (Instituto Brasileiro de Geografiae Estatistica) has always been indecisive about which color-race terms should be used in the nationalcensus. After
refraining from asking about color-race identity for twenty years, the IBGE
census schedule for 1980 encouraged respondents to identify themselves as

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BRAZILIAN
COLOR-RACE
CATEGORIES

391

either branca(white),preta(black),parda(mixed),or amarela(literally,yellow) (IBGE1980).

The 1980census markeda changefromthe 1950census in whichthe term
mulatamarked"mixed"race.The IBGEbasedits decisionto replacemulata
withthe termpardaon an analysisof the 1976PesquisaNacionalporAmostra
de Domicilios (PNAD).Researchers conductingthe PNAD study asked a
subsampleof respondentsfreelyto state theircolor-raceidentity;43.6 percent
of the respondentsidentifiedthemselvesas branca,35.5 percentsaidmorena,
7.0percentresponded
parda,and4.6percentclaimedto bepreta(Silva1988:147).
Then they asked these respondentsto identifythemselvesaccordingto four
forced choice options:branca,preta,parda, and amarela.The proportionof
brancasrose to 56.4 percent,pardasincreasedto 31.3 percent,andpretasgrew
to 8.4 percentof the subsample.Of those who hadclaimedto be morena,63
percentreidentifiedthemselves as parda,while another24.5 percentchose
branca.Eventhoughuse ofthetermpardainflatedthenumberof brancas,pardas,
andpretas,the IBGEresearchersdecidedto includeit in the census.
Silva(1988:146-48)defendedthe decision,insistingthatmorenais a "comtermthatcanreferto eitherskinorhaircolor.Silva'sclaim
pletelyambiguous"
is debatable.It is true thatmorenacovers a wider arrayof phenotypicand
social characteristicsthan parda.It is also true that skin and haircolor are
factorsin the determinationof color-raceidentity.Andit is true that morena,
like manyother color-raceterms, can be used in contradictoryways by the
same informant.But that does not meanthatmorenais "completelyambiguous";respondentsdo not need informationabouthaircolorto quicklyapply
watercolorportraitsin a nonrandom
morenato black-and-white
fashion(Kottak
n.d.;Sanjek1971).
WhileBrazilianists
disagreeaboutthe relativeutilityofspecific"mixed"colorraceterms,they agreethatthe IBGE1980censusfailedto representperfectly
emic color-raceidentity(Skidmore1985). In that census, 54 percentof the
respondentsidentifiedthemselvesas branca,38 percentasparda,and5.9 percent as preta.(We will not focus on the term amarelasince its status is not
stronglycontestedandit representsonly0.7 percentof the population.)
Still, manyBrazilianistsconsiderthe IBGEdatato be robust;they can be
reliablyused once aggregatedinto trichotomousor dichotomouscategories.
EdwardTelles (1992, 1995) appliedtrichotomouscategoriesin his study of
segregationbecausehe thoughtthey were more consistentwith the cultural
cognitivesystemthandichotomies.AlthoughTelles does not specifythe criteria he used to arriveat this decision,he encouragesothers to followhis example (Telles 1995; Harriset al. 1995). Silva's (1985, 1988) work with the
PNADconvincedhim that mulataandpretacan be lumpedunderthe term
"black"because both color-race groups exhibit similar sociodemographicpatterns. He feels that black/nonblack dichotomies are appropriate. Carlos
Hasenbalg (1985, 1992) believes a white/black dichotomy is inappropriate,but
his statistical analyses of census and survey datalead him to approveof a white/
nonwhite dichotomy.Wood (1990) andWoodand Lovell (1992:722;Lovell 1993,

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392

OFANTHROPOLOGICAL
RESEARCH
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1994)arguethattheiranalysesof successiveBraziliancensuses demonstrate

that the use of mulataor parda significantlyaffects populationestimates of
particularkindsof ndo-brancas(nonwhites)but has only a minimaleffect on
estimatesof brancas.Inotherwords,thereis little"migration"
fromndo-brancas
to brancasregardlessof the termmarking"mixed"color-races.Thus,a white/
nonwhitedichotomywouldnot seriouslydistortthe demographic
profile.
Wetakeyet anotherposition.The use of the termpardadistortsemic colorrace profiles.Dichotomizingor trichotomizing
Braziliancolor-racecategories
as currentlypracticeddoes not minimizereclassificationerrors.Instead,both
tacticsobscuremeasurablevariationbetweencolor-racegroups.
A SPLIT CENSUS OF RIO DE CONTAS,BRAZIL
Weconducteda splitcensus in Riode Contas,a countyseat in the northeastern state of Bahia.A team of two census takers interviewedone adultfrom
eachof the town's536 households.Theyfirstelicitedemicinformation
by askingrespondentsto identifyfreelytheircolor-race.Thenthey eliciteda mixture
of emic and etic informationby askingindividualsto respondto one of two
alternativeforcedcensus options.Halfof the respondentssawa schedulecontainingthe optionsbranca,preta,parda,andamarela.Residentslivingin adjacent houses saw the second schedule,in which morenawas substitutedfor
parda.At the endof eachinterview,the censustakersshowedthe respondents
black-and-white
72 standardized
watercolorportraitsandaskedthem to indicatethe one whichmostresembledthemselves.3Afterwards,
bothcensustakers used the same portraitsto establishindependentlythe respondent'setic
status.
The respondentsused 65 uniqueterms to identifyfreely their own emic
color-racestatus.The totalfallsto 25 once the termsareaggregatedaccording
to theirprimarylexemes (e.g., combiningmorenaclaraandmorenaescurawith
morena).Onlyvariantsof morena,branca,andpretawere used by more than
10 percentof the respondents;256 (47.7 percent)identifiedthemselves as
some type of morena;94 (17.9 percent)answeredbranca;and 65 (12.1 percent) declaredpreta.Only32 (5.9 percent)repliedparda.Togetherthese four
glosses accountfor83.4 percentof the responses.The othertermsusedwere
variantsof amarela,aragaga,alva,clara,corde canela,cordeformiga,escura,
loura,roxa,sarard,caboverde,cabocla,galega,garapada,mestiqo,misturada,
mulata,negra,queimadinha,
sapecada,andvermelha.
Twenty-ninerespondents
(5.4 percent)declinedto respond.
TheConsequences
Pardafor Morenain theSplitCensusfor the
of Substituting
Color-Race
ProfileofRio de Contas
As demonstratedin our first article (Harriset al. 1993), the parda and morena
forcedoptions producedistinctpopulationprofilesdespite the fact that a loglinear
analysis shows that the two sample groups have etically comparableclusters of
phenotypes. A second loglinear analysis indicated that the probabilityof indi-

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CATEGORIES
BRAZILIAN
COLOR-RACE

393

vidualsclassifyingthemselves as eitherpretaor brancawas muchhigher in

the pardaoptionthanin the morenaoption(Harriset al. 1993).
A closer examinationof responsepatternsdemonstrateshowthepardaoption distortsthe free-choiceresponses.Of the 252 respondents,131 (52 percent) shownthe parda optionhadalreadyclaimedthey were morenain the
free-choiceoption.Ofthese, 41 (31percent)reidentifiedthemselvesas branca,
49 (37 percent)as preta,and36 (27 percent)asparda.In contrast,the morena
optionavoidsthe mass reclassificationof morenas.All of the 122 free-choice
morenas,whoconstituted48.2percentof individualsshownthe morenaoption,
againidentifiedthemselvesas morenas.It is impossibleto claimthattheparda
the
forced-choiceoptionleadsto a populationprofilethatcloselyapproximates
free-choicereports.
of the color-racecategoriesofferedin
It is doubtfulthatthe dichotomization
thepardaoptioncouldminimizethe consequencesof the massreclassification
of morenas.An etic white/nonwhitedichotomy,in whichpardasandpretasare
classifiedas nonwhites,wouldcreatea white categoryin which50 percentof
the membersinitiallyconsideredthemselvesto be nao-branca.On the other
hand,an etic black/nonblack
dichotomy,in whichpardaandbrancaarejoined
to forma nonblackcategory,wouldcreate a blackcategoryin whichover 50
percentof its membersinitiallyclaimedto be somethingotherthanpreta.
Thereis anadditional
errors,it remains
problem.Regardlessofclassification
to be demonstratedthat the color-racegroupscan be combinedinto dichotomouscategorieswithoutobscuringvariationbetweenthem.Combining
branca
withpardaor morenainto a nonblackcategoryor placingpretawithpardaor
morenaintoa nonwhitecategorycouldeasilyhide significantvariationin their
socioeconomicmeasures.
THE CONSEQUENCESOF DICHOTOMIZINGOR
THE ALTERNATIVECENSUS SCHEDULES
TRICHOTOMIZING
ON SES MEASURES
We are now in a positionto demonstratethat the forced-choicepardaand
morenaoptions and the dichotomousand trichotomouscategories used by
Brazilianistsleadto inconsistentobservationsof socialwell-being.We examine the effect of the survey optionson estimates of Yearsof Educationand
in analyMonthlyIncomebecausethese two SES measuresare fundamental
ses of Brazilianracerelations.
Theoretically,if "mixed"color-racetermsareroughlysynonymous,or if the
classificationerrorsgeneratedby the use of the termpardacanbe minimized
ortrichotomous
by creatingdichotomous
categories,thenthepardaandmorena
optionsshouldidentifysimilarSES patternsamongthe color-racegroups.A
white/nonwhitedichotomymightbe defensibleif the meansforpretaandparda/
morena"mixed"categoriesare statisticallysimilarand if they differfromthe
meansof branca.Conversely,a black/nonblack
dichotomymightbe defensible
if bothparda/morena
"mixed"categoriesandbrancahave similarmeans,but

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differfromthe meansforpreta.Ifthereis anyinconsistency,the "mixed"colorracetermsandthe aggregatecategoriesshouldbe carefullyreconsidered.

We employedTukey'sHSD (HonestlySignificantDifference)test to determinewhetherthe pardaandmorenaoptionsleadto the samegroupaffinities.
TheTukey'sHSDtest conductssimultaneous
of meansto
pairwisecomparisons
tease outthe internalrelationship
amongcategoriesin a variable.Thosegroups
thathavesimilarmeansare contrastedwithgroupsthatare statisticallydifferent. By comparingthe Tukey'sHSD tests for boththepardaandmorenaoptions,we candeterminewhetherthey producethe same clustersof color-race
groups.
Results
We reportthe results of the Tukey'sHSDformeasuresof Yearsof Education beforeturningto MonthlyIncome.Those claimingto be brancain the
pardaoptionhada meanof 6.4 years of education(Table1). The meanamong
pardaswas 6.8 years. The Tukey'sHSD test indicatesthat these meansare
not statisticallydissimilar.But both are differentfromthe pretas,who hada
meanof 4.1 years of education.In this case, lumpingpardasandpretasinto a
nonwhitecategorywouldobscurethe similaritybetweenpardasandbrancas.
It wouldalso ignoreimportantdisparitiesbetweenpardasandpretas.Brancas
respondingto the morenaoptionhad a mean of 8.4 years of education.The
meanfor morenasis 6.4 years and4.5 years forpretas.The means for all of
these categoriesare statisticallydissimilar.Anydichotomywouldobscuresignificantdifferencesamongthe groups.
AnotherpatternemergesforestimatesofmeanMonthlyIncomeas expressed
in termsof multiplesof the minimumwage(Table2). Those identifyingthemselves as brancasin the pardaoptionhada meanof 2.7 times the minimum
wage.The meanforpardaswas 2.0 and1.4 forpretas.Anydichotomywouldbe
misleadingbecausethe meanforpardasis not statisticallydifferentfromthe
TABLE 1
Results of Tukey's HSD for Mean Years of EducationalAttainment across
Color-RaceGroups under the Alternative Census Options
Mean
TukeyGrouping
Pardaoption
(minimumsignificantdifference= 1.4387)a
Branca
Ab
6.452
A
Parda
6.824
B
Preta
4.114
Morenaoption (minimumsignificantdifference= 1.7743)
Branca
A
8.396
Morena
B
6.462
Preta
C
4.543
Color-Race

SD

3.885
3.665
3.666

84
74
70

3.791
3.936
3.752

48
143
35

a. Ifthe differencebetweentwomeansexceedsthe valueshown,they maybe consideredstatisticallydifferent.

b. Eachletterrepresentsa statisticallyuniquecolor-racegroup.Thereare no significantdifferences betweenthe meansof color-racegroupslabeledby the sameletter.

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BRAZILIAN
COLOR-RACE
CATEGORIES

395

TABLE 2
Results of Tukey's HSD for Mean Monthly Income across
Color-RaceGroups under the Alternative Census Options
Color-Race
TukeyGrouping
Pardaoption
(minimumsignificantdifference=
Ab
Branca
A
B
Parda
B
Preta
Morenaoption (minimumsignificantdifference=
A
Branca
B
Morena
B
Preta

Mean

SD

0.8977)a

2.692
2.060
1.421
1.1008)
3.396
2.146
1.197

2.831
1.924
0.839

65
58
57

2.372
2.475
0.773

36
107
35

a. If the differencebetweentwo meansexceedsthe valueshown,they maybe consideredstatisticallydifferent.

b. Eachletter representsa statisticallyuniquecolor-racegroup.Thereare no significantdifferences betweenthe meansof color-racegroupslabeledby the sameletter.

meansof either brancasorpretas.Finally,those identifyingas brancasunder

the morenaoptionearned3.4 times the minimumwage.In contrast,the mean
for morenaswas 2.1 and1.2 forpretas.The meansfor morenasandpretasare
not statisticallydifferent,but both differfromthe mean incomefor brancas.
Here, a white/nonwhitedichotomymightbe defensible,but a black/nonblack
dichotomywouldnot be.
Two observationsdeserve to be made.First,the pardaandmorenaoptions
leadto differentTukey'sHSDgroupsforbothSES variables.Sincethe parda
optionoverenumeratesbrancasandpretas,the morenaoptionis a betterindicatorof variationsin educationalachievementandincomefor the population
of Rio de Contas.Second,dichotomizingeither the pardaor morenaoptions
obscuressimilaritiesanddifferencesamonggroups.
Whilewe cannotgeneralizeto Brazilas a whole, we stronglysuspect that
surveyterms andcategorieswhichoverridethe Brazilianemic classification
system distortcolor-raceprofilesand SES measuresfor manyother towns.
Despitethe confidenceexpressedby some Brazilianists,aggregatecategories
canbothobscureandcreatethe illusionof variationamongBrazil'scolor-race
groups.
We cannotsuggest that Brazilianistssimplyreplacethe pardaoptionwith
the morenaoption;other salient terms exist, and the extent to whichtheir
referentialmeaningsvarywithinandamongsociodemographic
groupsis still
unknown.WecansuggestthatBrazilianistslearnmoreaboutBrazil'sdynamic
emic system of color-raceidentitybeforeusingexistingdatabases to conduct
more statisticalanalysesof its influenceon socialwell-being.
NOTES

of
1. TheauthorsthankMarcosLuciano
LopesMessederoftheFederalUniversity
ofSfoPauloforconducting
BahiaandWalterLopesMesederoftheFederalUniversity

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the census. We are gratefulto H. RussellBernard,JohnDixon,Jirimutu,Diego Hay,
JohnHenretta,andseveralanonymousreviewersfortheirsuggestionsandcomments.
The authorsalone are responsiblefor the content of this paper.The researchwas
fundedby NSF grantBNS 9022228and a Universityof FloridaGraduateResearch
to MarvinHarris,Departmentof AnthroAssistantshipGrant.Directcorrespondence
pology,2031 TurlingtonHall,Universityof Florida,Gainesville,FL 32611.
2. We refer to the Braziliancomplexby "color-race."
The term connotatesan unstable socialstatuswhichemphasizesan individual'sphysicalfeaturesand socioeconomicstatusratherthandescent.
3. The 72 portraitspermutedfivevariables.Sex couldbe eithermaleorfemale.Skin
tone was light,medium,or dark.Hairqualitywas straight,wavy,or kinky.Nose form
was narrowor wide.Lipformwas thinor thick.

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