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ETHNOmSTORY: A REVIEW OF ITS DEVELOPMENT,

9508
DEFINITIONS, METHODS, AND AIMS
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ROBERT M. CARMACK
Department of Anthropology
State University of New York, Albany

lhSTORY

AND

ANTHROPOLOGY

The relationship between history and anthropology has too often been
viewed in terms of the misleading dichotomy between the ideographic, the
specific and unique, and the nomothetic, the abstract, and general (see, for
example, Boas 13; Harris 40; Kroeber 46; White 102). Nagel (67), who
traces the dichotomy back to Aristotle, has convincingly demonstrated the
use of generalizations and specific cases in both history and science, and Sah
lins and Service have done a similar thing through their analysis of specific
and general evolution (75).
The early evolutionists were not historical in the ideographic sense but
they were in the diachronic and documentarian senses. The founding fathers
of anthropology-Morgan, Tylor, Maine, Marx, and others-sought to find
the origins and antecedents of sociocultural systems and to trace their evolu
tion through time. They based their studies on documentary accounts about
native cultures written by travelers, missionaries, etc. As Kroeber repeatedly
claimed, the historical approach was precociously applied in the social sci
ences, compared to the biological and physical sciences (47). The delayed
development of a historical approach in the other sciences, Kroeber argued
(48), was the requirement of a prior development of systematic, synchronic
generalizations.
This suggests one explanation for the patently ahistorical phase which
followed the evolutionary beginnings of anthropology-viz. the need for de
tailed, synchronic studies. The aversion of Radcliffe-Brown and Malinowski
to historical studies is well known. The structure-functionalism of British so
cial anthropology was ahistorical on all counts. In the study of the struc
tures of whole societies it was nomothetic, in the almost total reliance on
ethnographic observations it was antidocumentarian, and in failing to study
social change it was synchronic.
In spite of Harris' recent attempt to portray the American culture histori
ans' work as exclusively ideographic (41), there is good reason to view it as
ahistorical in certain fundamental ways. Certainly the culture historians can
not be accused of failing to make diachronic studies, as under Boas' guidance
227

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CARMACK

culture traits were studied in terms of their diffusion through time between
adjacent cultures. But Kroeber insisted that (46) by studying process, diffu
sion process, they were missing the essence of history, which is "descriptive
integration." It must be admitted that a view which conceived of culture
traits diffusing mechanically within culture areas along fixed vectors (age
area) does seem far more nomothetic than ideographic.
Kroeber also noted the culture historians' (46) general failure to use doc
umentary sources. Voegelin (99) reminds us that Sapir devoted only 5 of 86
pages in his famous essay on Time Perspective to the direct historical
method. Yet we can speak only of tendencies, for, as Fenton (33) an4. others
have pointed out, among the American culture historians there were pioneers
in the use of documents (e.g. Swanton, Speck, Dixon, and Keesing). Still, as
with their British counterparts, ethnographic fieldwork was the sine qua non
of anthropological research. In part this was a reaction to the rapid disap
pearance of native cultures, but it must also be seen as a distrust of and disin
terest in historical sources and problems.
Historical trend.-There has been a pronounced shift of interest in an
thropology toward history since the end of World War II. Mention has al
ready been made of Kroeber's early views on the subject, and in a series of
essays in the late 1950s he continued to discuss the topic (47). He argued for
the basic similarity between history and anthropology since both develop only
fluid and weak generalizations with few causal statements, both study civiliza
tion as a tradition of historically accumulated patterns, and both are natural
rather than experimental in their basic approach (49).
In 1945 White argued that the historical approach, the study of the origin
and diffusion in time and space of cultural forms, was itself a kind of "scienc
ing," but to be contrasted with the functionalist approach, also scientific, which
focuses on how cultural systems work as a result of the varying contributions
made by its different elements. A third approach, evolution, he believed to be
the most fruitful of scientific theories. This did not mean, however, that we
should ignore history. In fact, it was his argument that evolution was a pro
cess by which "an organization of functionally interrelated elements is tem
porally transformed" (103), and hence its explication depends on the com
bined approaches of history and functionalism.
Eggan (28) argued a similar thing, without the evolutionary connotations
of White. He called for a synthesis of the structure-functionalism of British
social anthropology, and the culture historians' interest in temporal
"process." This could be done through what he called "controlled compari
sons," where structure-functional systems are placed in limited geographical,
cultural, and historical frameworks. Eggan was only stating a position al
ready largely adopted in ethnology, as may be seen from Lewis' analysis of
comparative studies in anthropology between 1950 and 1954. Lewis (57) dis
covered that comparisons between historically related societies-i.e. those
found within a single community or in the same culture area dr nation-

ETHNOHISTORY

229

made up about 60% of the cases, versus only 40% of cases where this con
trol was not used.
A simultaneous historical trend was taking place among the British social
anthropologists. Evans-Pritchard (30) , influenced mainly by the work of so
cial historians like Maitland, Vinogradoff, Bloch, and Weber, warned that the
very concepts of structure and function could be demonstrated as valid only
through historical studies. What is needed, he said, is an enlightened combi
nation of specificity and generality, so that analysis becomes neither so gen
eral as to be valueless (as he claims has happened with such concepts as ta

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boo and lineage), nor so specific as to be trivial (which is too often the case
with the writings of historians) .
Evans-Pritchard, like Eggan, was reflecting a view held by many of his
colleagues. The appropriate field of study for most British social anthropolo
gists had become a structure-functional unit over time (Gluckman

81; Southall 82),

lyzed diachronically (e.g. Barnes

Herskovitz

38;

Smith

and numerous studies of structural systems were being ana

(42)

4; Fallers 32; Smith 80) .

has called our attention to the link between accultura

tion studies and renewed historical interests. By turning to the relationship

between the dominant and subordinate cultures of colonial societies, both
American and British anthropologists were forced to study cultural dynamics,
"the mechanisms that had brought about the observed results in the institu
tions and beliefs of peoples who had been in contact." Fortunately, function
alist concepts were available to provide the framework for such refined stud
ies, but they required intricate detail of relationship which the old methods of
"inferential reconstruction" through trait anal ysis could not provide (Lea

cock 50; V oege lin 99). There was no other recourse but to turn to the docu
ments in order to obtain such detail. In the phrase of Herskovitz, "'historical
reconstruction has given way to ethnohistory"

(42).

Definitions.-The historical interest in anthropology has stimulated both

anthropologists and historians to clarify the similarities between the two dis
ciplines. In the application of both rules of enquiry and interpretation, the
historian follows the canons of the scientific method. As noted by Swartz in
an important essay (90), not only does history have much science in it, but

so do the descriptive integrations of culture historians like Kroeber. AVOiding

causal statements only prevents them from empirically testing their general
izations and unstated assumptions about "patterns."
Anthropologists as divergent as Levi-Strauss (54), Evans-Pritchard (30) ,
and Kroeber (47) have insisted that history differs from anthropology mostly
in orientation rather than in aim. Indeed, the two fields overlap in so many
ways that their differences are often expressed in terms of style rather than
method and purpose. Historians study written documents, it is stated, anthro
pologists study living peoples. The extensive use of documents by anthropolo
gists, however, betrays this supposed difference. Historians seek literary qual
ity in their writings, while anthropologists are primarily concerned with sci-

230

CARMACK

ence in their statements. This

difference" is denied by the observation of

"

recent students of anthropological method and theory who state that there is
a pronounced humanist, literary aspect in the writings of anthropologists

(Manners & Kaplan 61). Historians make ethical judgments about the sub

ject matter they study, while anthropologists only analyze cultures. Recent
discussions in anthropology (see volume 9 of Current Anthropology) make it
abundantly clear that this has not been the case for anthropologists.

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The view, stated well by Taylor (91), that history does not involve the

comparison and generaliza tion of cultures and societies, is probably unac

ceptable to most historians today. A more acceptable thesis today would be
that the explanatory generalizations of history are more p articularistic and
implicit than those of anthropology and other social sciences : "In history, the
stock of explanatory generalizations is given as primitive concepts; in science,
the search for increasingly broad explanations is the characteristic preoccupa

tion" (Spaulding 85). Perhaps we should agree with Mills (63), that more
important in the long run than whether or not historians are social scientists
is the point that the social sciences are "historical disciplines."
DEFINING

ETHNOHISTORY

A field of study which might be termed ethnohistory has yet to be de

"

"

fined. In fact, the derivation of the term itself is not known for certain, and
its meaning varies widely from one context to another. In a series of essays
discussing the concept, published as volumes 8 and 9 of the journal Ethnohis

tory ( 1961-62), most of the authors emphasized that ethnohistory is a

method or technique , not a discipl ine (Fenton 34; Leacock 50; Washburn
101). The essayists proposed that ethnohistory might serve as a means for
combining the generalizing aspects of ethnology with the careful evaluation
of sources and interest in time sequence of history (see also Lewis 56; Nich

olson

70).

Sturtevant (89) suggests that there are three basic "dimensions" which

probably would be widely accepted as generally characterizing ethnohistory :

its focus on the past condition of cultures ; its use of traditions, either oral or
written, as the primary data source; and its emphasis on change over time in
the cultures studied (diachronic dimension). It is noteworthy that except for
the second dimension (use of traditions), these are precisely the characteris
tics used by Binford (8) to define the field of archaeology In fact, the prob
lem of defining ethnohistory as a field or subfield of anthropology is similar
.

to that with which archaeologists have wrestled. They too recognize the his
torical side of their work, for they study the past, have a dominant interest in
chronology and produce mostly particularistic constructions (Spaulding 84).
,

Yet their ultimate aim is generalization and explanation of cultural develop

ment (Binford & Binford 9; Taylor 91), and for that reason archaeology
remains a su bdi vision of cultural anthropology Most of them, therefore, con
.

clude that archaeology "is just

special method and set of techniques" for

recovering and analyzing a certain kind of data i.e. artifacts .

,

ETHNOHISTORY

231

Theory.-It seems likewise clear that there is no ethnohistoric theory in

dependent of other theories in cultural anthropology. Further, the use of his
torical methods and sources for theoretical or explanatory purposes on both
logical and practical grounds would seem best not subsumed under any sub
field called ethnohistory. For example, the diachronic test of theory is of such
broad significance as to take us beyond the limited designs of most ethnohis

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toric studies. Increasingly it appears to us as a fundamental part of any theo

retical approach, and hence a component of such basic epistemological pro
cedures as classification, comparison, generalization, and model building. For
this reason, we find functionalists arguing that they must trace equilibrium
maintaining systems over time if they are to validate the claimed functional
explanations of institutions (Cancian 19; Evans-Pritchard 30). White ( 102)
and other evolutionists have made it clear that their explanations depend on
demonstrating that systems of culture change over time, specifically in ways
which are adaptive to the ceaselessly changing energy relationships between
man and his environment. Harris (40) has correctly defined the Marxian
conflict theory as involving an interrelationship between techno-economic, so
ciopolitical organization, and ideology which changes through time as the re
sult of class conflicts. As an anthropologist interested in psychology, Spiro
(86) sees changes in cultural systems over time as both being caused by the
need to express psychologically repressed forces and as causing changes in
the personality structures of individuals. The pioneer structuralist, Levi
Strauss, long ago stressed (54) that students of the unconscious structures of
cultures must have recourse to history in order to reveal the constancy of
these structures "throughout a succession of events."
It would be unwise to label the theoretical use of history by such a wide
variety of anthropologists as ethnohistory. Their inclusion of a historical di
mension is basically a recognition of the dynamic nature of social living and
the need to build change into their explanatory models. This diachronic trend
will undoubtedly continue, and perhaps "social change" will eventually cease
to be isolated as a subject for specific analysis as is now done. Possibly the
ethnohistoric studies to be discussed below will increasingly provide the his
torical methods, data, and interpretation of data for use in more dynamic
theories of the future.
Evans-Pritchard's suggestion (30) as to why the historical method has
been uniquely important in theoretical work is still a valid one: it allows us to
both detail specific changing variables (because of the time depth) and to
control our comparisons of variables (because the same cultural tradition is
under study). While anthropologists have achieved useful results by compar
ing roughly contemporaneous cultures aligned in developmental sequences
presumed to be equivalent to historical sequences (Fried 35; Murdock 65;
Service 79), the over-reliance on material factors, and the extreme generality
of the findings suggest that there are important advantages to using the his
torical approach.
The use of history as a mode of explanation, the so-called "genetic" ex-

232

CARMACK

planation, is related to theory in another way. According to Brown (18),

genetic explanations in the social sciences are distinguished by their particu
larity. They consist of explaining social institutions by specifying the pur
posive acts of individuals at certain times and places which bring into exis
tence the behavior or institution under investigation. In the definition of his
torical explanation given by White (102), institutions need not be linked to
individuals and their purposes, but as disembodied patterns they are histori
cally explained when their origin and subsequent diffusion in time and space
are described.
That the clarification of some act or institution in this way should consti
tute an explanation is probably stretching the meaning of that term beyond
epistemological usefulness. To know the or igin and subsequent diffusion of
an institution can be important, but not because the latter is explained in that
way. So-called genetic explanations are much like Merton's man ifes t func
tions of insti tutions : they are not explanations, but are themselves compo
nents of the structure of these institutions. Just as we feel the Hopi snake
dance is not explained by the statement that it functions to bring rain (Mer
ton 62), so too we feel the stock market crash is unexplained when it is re
cited to us that certain stockholders met at a certain date and decided to
withdraw their money from the exchange (cf Brown 18). We are left with
larger questi ons unanswered: What general and even unconscious factors
cause the Hopi to dance for rain, or cause brokers to withdraw their money
on certain occasions? It is precisely the process of going beyond the narrative
and reportorial approach in pr oviding answers to important social problems
which requires the so ci ol ogical imagination" that should characterize the so
c ial sciences (Mills 63).
We will conclude with Nagel (67) that history uses rather than generates
"general laws." "Rather than explaining something as a 'persistence from the
past, we ought to ask 'why has it persisted?' " (Mills 64).

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"

"

"

"

"

'

Methodology.-We are left to conclude that, like arChaeology, any exclu

sive definition of ethnohistory depends primarily on methodological consider
ations. Ethnohistory is a special set of techniques and methods for studying
culture through the use of written and oral traditions. As methodology it is
complementary not only to archaeology, but also to historical li nguistics eth
nography, and paleobiology.
Unlike other subfields such as archaeology, however, ethnohistory can
make no claim to unique or special techn iques independent of history. In
using the documentary sources, our methods differ in no wa y from the tech
niques of source preparation and criticism employed by historians. In fact, as
far as the methods of source criticism are concerned, it seems painfully obvi
ous that anthropologists using documents have much more to learn from his
torians than vice versa. Nicholson (71), Evans-Pritchard (30), and Sturte
vant (89) have generally castigated anthrop olo gi sts for uncritical use of docu
mentary sources. As noted by Nicholson (71) for Mesoamerican documents:
,

ETHNOHISTORY

233

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the usual questions must be asked of each source: who wrote it, why, when,
and where-and it must also be carefully compared with all other relevant
sources. Although this undoubtedly sounds commonplace, particularly to any
trained historian, anyone familiar with the pre-Hispanic branch of Mesoamerican
ethnohistory is well aware how rarely it has actually been accomplished in
practice.
Evans-Pritchard sees our deficient use of source criticism as carrying over
into other aspects of our research. Ethnographic monographs are documents
too, he reminds us, and we have trusted them far too uncritically (30). Many
ethnographies fail to provide us with an evaluation of the sources of informa
tion from which the descriptions were taken. It is not necessary that we know
the names of informants, but we should at least be given information about
their sociological positions, their relations to power, and personality factors
which might uniquely influence their reports. The same information about
the ethnographers recording the data is needed.
Often it is argued that ethnohistoric methodology is distinguished by its
eclecticism: documentary analysis is combined with archaeological, ethno
graphic, linguistic, and other kinds of data-gathering methods. Hence, its cul
tural reconstructions of the past are broad when compared with those of his
tory. While it is true that anthropologists are especially prone to combine
archaeological and ethnographic data with their use of documents, historians
also have a long tradition of such "multi-disciplinary" approaches to the
study of the past. Bloch, who has written perceptively on all of these ques
tions (10), emphasized the importance of studying "tracks" left by peoples
of the past-artifacts, old customs, archaic words, etc. Further, he gave it as
a basic maxim that only through understanding social life of the present can
we hope "to derive the elements which help us restore the past" (11). He

advocated viewing history "backwards," when possible, by starting with the

present and working back in time.
As might be expected, anthropologists have insisted that the historian
who has also done ethnographic fieldwork with the people being studied has a
crucial advantage. It is claimed that he is in a strategic position to evaluate
the reliability of the historical sources, for his work with informants from
that culture and his knowledge of similar cultures enable him to understand
their biases and distortion (Lurie 59; Sturtevant 89).
Surprisingly, anthropologists with ethnographic expertise have often ap
plied their knowledge to the study of written documents only, to the neglect
of oral traditions. Posnansky (72) relates that he was discouraged from ini
tiating historical studies of pre-Colonial African cultures because most tradi
tion from there was in oral form. He found that social anthropologists carry
ing out field studies in Africa tended to use only those oral traditions which
related to their theoretical models (of functionalism). They generally lacked
training in historical methodology, and not only made little attempt to answer
historical questions, but often ignored the historically most significant tradi
tions.

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234

CARMACK

It is significant that it was a historian and not an anthropologist who

finally provided us with a serious discussion of the kind of source criticism
which must be applied to oral traditions (Vansina 96). Vansina convinc
ingly argues that if oral traditions are studied in their functional contexts,
source criticized, classified as to historical type (commentaries, tales, lists,
poetry, formulae), and checked against data from archaeology, linguistics,
ethnology, and physical anthropology, they can be made to yield probability
interpretations of the same general approximation as all historical "truths."
The integration of oral and written historical sources with archaeological
data in order to generate research problems has become known in anthropol
ogy as the "direct historical method." It is a procedure so extensively and
successfully employed in Near Eastern studies that history and archaeology
there are often subsumed under the same term (as either "history" or "ar
chaeology"). Thos same studies, however, reveal some of the problems asso
ciated with their combined use which have made anthropologists somewhat
hesitant to employ the method extensively. For example, many specific inter
pretations of the archaeological record made by Near Eastern specialists
seem speculative and susceptible to acrimonious debate (e.g. was there really
an Abraham or Homer, and if so, at what particular times, and in what
places did they live?)
While remaining skeptical, anthropologists have nevertheless engaged in
considerable direct historical research, especially in areas where the native
populations had strong historical traditions (Mesoamerica, Islamic Africa,
West and Interlacustrine Africa, parts of Polynesia). Even for North Amer
ica, Steward could report in the early 1940s that considerable direct historical
work had been done on aboriginal cultures in the Southwest, Northeast,
Great Plains, and southeastern United States (88).
Since Steward wrote, it is my impression that the direct historical method
has been poorly exploited by anthropologists. Recent theoretical works on
archaeology almost completely ignore the topic (Binford & Binford 9; Taylor
9 1; Willey & Phillips 105), and I know of no good recent general statement
on the problems, aims, and implications of it by either ethnohistorians or
archaeologists. Hopefully, this lag only represents a transitional period during
which archaeologists and ethnohistorians are busily gathering, classifying,
and analyzing their data in preparation for new syntheses which will soon
follow. This at least is what happened in the case of Near Eastern studies
(Albright 2). Yet some of the lag is undoubtedly the result of the failure of
ethnohistorians and archaeologists to realize the increased capacity for asking
new questions and getting answers to them which can come from effectively
(not superficially) combining the two approaches.
To return to the problem of defining ethnohistory, we have seen that it
involves a set of techniques for gathering, preparing, and analyzing oral and
written traditions. The aims for which these methods are employed are those
of cultural anthropology in general, and have to do with theories of culture.
Therefore, ethnohistory itself cannot be considered an independent discipline.

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ETHNOHISTORY

235

In that ethnohistoric methods do not differ from those of history except for a
somewhat greater emphasis on combining these methods with those of ar
chaeology, linguistics, etc, ethnohistory is less easily defined as a subdiscipline
than archaeology or historical linguistics. Yet many anthropologists who con
sider themselves to be ethnohistorians feel that it has a subject matter, how
ever vaguely it might be defined, and that this, combined with its historical
methodology, qualifies it as a subfield of anthropology.
A careful reading of the literature with this question in mind leads to the
conclusion that the following subjects are the ones most often studied by eth
nohistorians: specific history, historical ethnography, and folk history. These
topics all involve a concern with Sturtevant's cultural reconstruction and dia
chronic dimensions (89), which along with the methodological requisite of
using sources were said to characterize ethnohistory.
In the summary to follow of ethnohistoric research related to these three
topics, I shall briefly discuss each topic in terms of the development of meth
ods, concepts, and conclusions from ethnohistoric research on native cultures
in North America, Africa, and Mesoamerica. No comprehensive summary of
the ethnohistory of these three areas is attempted here, but rather, I have
selected a few noteworthy and illustrative cases. Good bibliographic reviews
of Mesoamerican ethnohistory are available, and the interested student
should consult them (see the bibliographies in the Handbook of Middle
American Indians, volumes 2, 3, 4, 10, 11; Bernal 7; Nicholson's annotated
bibliographies in the Handbook of Latin American Studies from 1960 to
1970). Students of North American Indian tribes have produced a great
amount of ethnohistoric research, especially since the historical impetus re
sulting from the Indian Claims Act of 1946. The journal, Ethnohistory, is
primarily devoted to ethnohistoric studies of North American Indians, and
can profitably be consulted for that purpose. For African ethnohistory, the
best survey articles are by Vansina (95), Lewis (56), and Adams ( 1). In
addition, the volumes of the Journal of African History provide a compen
dium of much important ethnohistoric work on African cultures for recent
years.
There is a growing interest in ethnohistoric research on cultures of other
areas besides these three. For example, recent ethnohistoric research on cul
tures of the Pacific islands can be followed in the Journal of Pacific History,
while summaries of work now being undertaken in East and Southeast Asia
have been prepared by Benda (6) and Cohn (25). Murra (66) has summa
rized the rather extensive ethnohistoric research on the native cultures of An
dean America.
The Journal of Comparative Society and History, broadly representative
in its areal coverage, though strongly sociological in its orientation, has many
articles which fit our definition of ethnohistory. The student will find there
considerable discussion of areas of traditional interest to historians, such as
early Western Europe, classic Greece, Rome, China, and India. These cul
tures in the past have received scant attention by anthropologists though

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CARMACK

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some ethnohistoric work has been initiated on a limited scale (Cohn 25;
Kluckhohn 45). The historical topic which has received perhaps more schol
arly research than any other in the West, the Judeo-Christian cultural devel
opment, has been virtually ignored by anthropologists. We might anticipate
that a closer integration of Biblical and classical research with anthropologi
cal studies might some day provide a strong impact on the direction and so
phistication of ethnohistory.
Specific histories.-By specific history I will mean the writing of histories
of specific societies in terms of their past events or culture traits as mani
fested in time, space, and concrete act. For anthropologists, this has generally
implied the construction of past events for tribal, peasant, and other societies
neglected by Western historians.
As might be expected, such histories have tended to be more social and
cultural than narrative, though the latter type history has been written in a
few cases. Mostly this kind of work has been labeled "culture history" since,
rather than reconstruct specific names, dates, or activities. the origin and dif
fusion of culture traits have been traced within the context of general areas
and relative times. In practice, narrative history and culture history are usu
ally combined, the culture historian using exact dates, places, and events
when they are available, and the historian trying to work out patterns of
migration and relations with surrounding cultures as these are indirectly sug
gested by a variety of informational sources (Greenberg 39).
Until recently, specific history dominated ethnohistoric research on North
American Indian tribes. This type of approach was applied by Boas, and is
well illustrated by his reconstruction of the diffusion and transformation in
form of folktales among the Northwest coast tribes (12). Very early Sapir
abstracted the general principles and controls needed to effectively use the
method and evaluate its results (76). According to a modern summary of
ethnological research on the North American Indian (Fenton 33), culture
history continues to be one of the main tasks of ethnohistory.
Recently, American ethnohistorians have begun to argue for a '''history in
the round," in which a more narrative history of the American Indians would
be written in order to counterbalance the Anglo-oriented accounts which
dominate our American histories (Leacock 5 1; Washburn 100). A limited
amount of general North American Indian history has already begun to ap
pear (Leacock & Lurie 52).
In African studies there has been a shift away from the history of Euro
pean expansion to the investigation of aboriginal, local history (Vansina 95).
The Africans themselves have insisted upon the development of a history
comparable to that produced by Western historians, and not merely the
broad patterns of culture history (Vansina, Mauny & Thomas 98). This view
harmonizes well with the social anthropologists' general skepticism of ethno
logical studies, and the result has been a predominance of histories shallow in
time depth and narrow in cultural scope.

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ETHNOHISTORY

237

The extensive use of oral traditions by African peoples has provided cases
where culture historical methods can be checked against results obtained
from documentary studies. One conclusion reached by African ethnohistori
ans is that while tribal tradition, such as contained in genealogies, can be
historically misleading (Bohannan 15; Cunnison 26), it usually contains
some historical reliability (Lewis 55; Vansina 96). Different segments of gen
ealogies may have different historical validity, just as different types of so
cieites are found to express different levels of historicity in their genealogies
and other oral traditions. Of these social types, state societies are the most
reliable (e.g. Southwold 83). The first steps in working out regional histories
of aboriginal African states have been taken, by focusing in chronology and
dynastic list comparison (see volume 11 of The Journal of African History).
What has most impressed and pleased the social anthropologists working
in Africa is that specific histories have proved useful in improving functional
analysis. Accurate historical reconstruction of such matters as lineage origins,
dynastic successions, changes in brideprices, etc, provide a basis for under
standing the relationship between social function and political manipulation
(Lewis 56).
Specific history in the form of culture history has long dominated Me
soamerican ethnohistoric studies. There is both an extensive corpus of native
and Spanish documents and a rich archaeology for the area, so that in no
other part of the world would the application of the direct historical method
seem more favorable-with the exception of the ancient Near East. As a re
sult, Mesoamerican specific histories often manifest an enlightening blend of
specific detail and general statement which tends to be lacking in similar
work from other parts of the world.
Considerable narrative history has also been produced by Mesoamerican
ists, on such topics as the origin and development of the Aztecs, the decline
and fall of the Toltecs, the formation of Maya political states, etc. Biographi
cal history forms part of this literature, and includes accounts of prehispanic
luminaries (such as Moctezuma, Nezahualcoyotl), and the Spanish conquis
tadors.
Most Mesoamerican culture historic studies have focused on those civili
zations which reached the highest levels of cultural development-viz. cul
tures from the Valley of Mexico, Valley of Oaxaca, Yucatan, and highland
Guatemala (Nicholson 71). The literature on these kinds of studies is too
extensive to summarize briefly, though the interested student might gain some
of the flavor of this work by consulting the most ambitious attempt at culture
historical reconstrution yet attempted, Jimenez-Moreno's summary of the his
tory of the major cultures of central Mexico (43).
Surprisingly little specific history has been written on the posthispanic
cultures of Middle America, and the use of oral tradition for historical pur
poses lags behind other research. Redfield, who pioneered community studies
in the area, virtually ignored oral tradition and local histories, and most of
his successors have perpetuated that unfortunate trend. However, recent pub-

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CARMACK

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lications, plus conversations with younger anthropologists now working in

Middle America, suggest that much more serious attention is now being given
to local histories.
Historical ethnographies.-By historical ethnography I will mean the pro
cess of reconstructing past societies and cultures, whether as institutional
parts or cultural wholes. This is the work which usually passes as ethnohis
tory in anthropology, and its popularity is directly related to the discipline's
goal of finding as wide a variety of cultures as possible for purposes of com
parison. It should be remembered that historians are also actively engaged in
this kind of historical research, so that there is a particularly large overlap
ping of the two fields in this regard.
A long series of useful historical ethnographies have been prepared on the
North American Indian tribes, and many of them now enjoy classic status in
anthropological literature (see the references in Fenton 33). Most of these
reconstructions involved the use of "upstreaming," where the anthropologist
queries old informants who remember the time when their culture was in a
more pristine state ("memory ethnography"), and combines his own observa
tions of surviving cultural patterns to project these data to the precontact
period.
A younger generation of scholars studying North American Indian cul
tures has turned more to the documents, partly because of the doubtful as
sumptions about cultural stability inherent in the upstreaming technique, and
partly because of the radical transformation which modern Indian societies
have suffered under the impact of industrialization. Along with this shift in
method has come a shift in topical interests-away from kinship and religion
toward economic and political problems. The literature is too vast to summa
rize here, though the direction of research can be grasped by recalling the
interest generated in anthropology by the ethnohistorically raised questions
about land tenure among the Algonquins, potlatch distribution on the North
west Coast, the shift from a horticultural to a hunting technology in the
Great Plains, the development of politico-religious "revitalization" move
ments. These same political and economic interests can be seen in a recent
collection of North American tribal histories, a volume which also reveals
that ethnographic reconstruction rather than specific history is now the over
riding interest (Leacock & Lurie 52).
Social anthropologists working in Africa have increasingly turned their
hand to reconstructing the past social life of African societies. Generally,
their reconstructions have been placed in a temporal framework to facilitate
comparisons between historical phases.
Though methods similar to upstreaming have been widely employed by
Africanists (Vansina 96), there appears to be a growing tendency to use
more documentary sources (which go back to the 17th to 19th centuries for
some areas). This trend may be illustrated by recent attempts to reinterpret
the functions of Nuer prophets and Zulu cyclic rebellions through references

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ETHNOHISTORY

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in early missionary and traveler's accounts (Beidelman 5; Braroe 17).

The pioneer ethnohistoric reconstruction for African societies is Evans
Pritchard's account of Cyrenaica Sanusi society (29). By using both docu
mentary and ethnographic sources, he was able to reconstruct the develop
ment of Sanusi tribal sOciety into a more centralized political form. Since that
time, many reconstructions of great sophist ication have been produced (e.g.
Balandier 3; Fallers 32; Smith 80).
The reconstruction of prehispanic Mesoamerican cultures through the use
of documentary sources is often used to define ethnohistory for that area
(Nicholson 71). We now have useful reconstructions for several of the major
cultures which flourished there at contact: e.g. Tarascan, Otomi, Totonac,
Mixtec, Pokoman, Yucatec, Nicarao-Mangue (for citations, see Carmack
20). Remarkably, there is still no adequate general synthesis of Aztec cul
ture, though in several essays many aspects of that culture have been recon
structed (see citations in Nicholson 71). Further, there are many Mesoameri
can cultures for which we have extensive documentary information but lack
full reconstructions: e.g. Tlaxcala, Huaxtec, Zapotee, Quichean, Pipil
A major weakness of Mesoamerican historical reconstruction is that
many of the ethnographies now available are superficial, topical, and largely
descriptive (especially when compared with their African equivalents). As
a consequence, comparison within the culture area is rare, and more complete
and functionally related studies will have to be made if we are to generate
useful theories from the Mesoamerican data.
Historical ethnographies for the posthispanic period in Middle America
are scarce, except for cases where reconstructed prehispanic cultures are
traced into their colonial manifestations (Gibson 37; Scholes & ROYs 77;
Spores 87).
.

Folk history.-The ethnohistorian studying folk history examines the

view a society has of its past. This view, of course, is an integral part of
culture, so that its study is actually a special aspect of ethnographic recon
struction. The study of folk history would be a literal meaning of the word
ethnohistory, the history of ethnic groups or cultures, and used in this fashion
it would be similar to such terms as ethnomedicine, ethnobotany, ethnomusi
cology, and the like.
Historians have long been interested in "historiography," in the sense of
how the past is expressed in the written histories of different civilizations.
Especially have they attempted to describe historiographic trends in the West,
though other historical traditions associated with universalistic religions are
receiving an increasing amount of historiographic attention (e.g. Rosenthal
74; Wright 106).
An aspect of folk history which has received some special attention by
anthropologists is the cultural attitude a people have with regard to the pas
sage of time itself. Whorf long ago argued (104) that there was cultural rela
tivity on this point, and he attempted to compare the Hopi view of time and

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CARMACK

its expression in language with our own patterns. More recently, attempts
have been made to generalize about cultural ideas of time and to assign them
to different levels of cultural evolution (Kirsch & Peacock 44). The timeless
view of the past, characteristic of "primitive" cultures, is contrasted with the
cyclic concept of archaic and historical societies, which in turn gives way to a
more linear, open view as modern society is ushered in.
The study of folk history among tribal peoples raises the question of
myth, legend, and their relations to history, a somewhat neglected topic in
anthropology according to Evans-Pritchard (30). The old view that folk his
tory can be classified as myths, involving nonhuman characters, legends,
where supernatural persons are thought to represent distorted historical facts
(Clarke & Clarke 23), and history per se is inadequate for anthropologists
studying societies whose folk histories do not parallel those of the West. A
reading of papers from a symposium on the study of myth held in 1955 (Se
beok 78) makes it clear that folklorists and anthropologists have generally
turned away from the historical implications of myth and other folktales.
Topics now being emphasized are the semantic structure of myth, its rela
tions to ritual, its basis in psychological states, its social functions, and its use
in culture historical reconstruction (see the essays in the Sebeok volume by
Bidney, Levi-Strauss, Raglan, and Thompson). Still, in working out the struc
ture of meanings which folklore holds for different peoples, some clarification
of their folk history is usually made, however implicitly. Further, there are
folklorists who insist on the historic element in folklore, and that it must be
taken into account if we are to correctly understand the material (Dorson

27).

In general, students of North American Indian culture have paid little

attention to folk history per se. Though Boas (14) had ideas about the way
folklore developed out of the use of imagination in the context of everyday
experiences, his primary concern was with tracing their origin and diffusion
as culture traits. Lowie's approach (58) was similar, though he was even
more emphatic on the lack of a '''historical sense" in tribal Indian traditions.
He argued that our job is simply to accurately record their view as part of
culture. Folk traditions were to be studied not as views of history but as sub
ject matter for reconstructing history through "the objective methods of
comparative ethnology."
The continuation of a culture historical approach to folk history can be
traced through Thompson's studies of North American Indian tales (93,
94). His approach is largely one of breaking down myths into traits or com
ponent elements, and analyzing their distribution in space. The shift of inter
est to structural and other approaches to myth and folklore was noted above
(Sebeok 78). Even more recently, attention is being given to the role of his
torical traditions in the American Indian's adaptation to an ever-encroaching
U.S. society (Lurie 60; Sturtevant 89).
Under the influence of social anthropolOgy, students of African societies
have devoted considerable attention to the functions of folk history. An often

ETHNOHISTORY

241

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stated caveat is that these functions have to be taken into account in working
on historical problems. For example, Boston (16) states that "each people's
oral traditions have their own kind of historical perspective and the
historian's first task is to understand this perspective before trying to fit the
traditions into a unilinear time scale."
When sociopOlitical function and context are taken into account, different
types of historical tradition can be distinguished. Thus, Vansina (97) is able
to distinguish between the more complete history of a centralized state
(Ruanda) compared to that of a segmentary state (Burundi) , and he dis
cusses other types corresponding to town and village organization. Similarly,
many students have argued that truly historical traditions are maintained only
by societies organized on a state-level (e.g. Cohen 24; Vansina 96).
On the other end of the scale, folk histories of tribal society have been
shown widely to take the form of lineage genealogies, which seem to function
more as supportive charters for present structural conditions than as factual
accounts of the past (Bohannan 15: Cunnison 26). Often included in the
accounts of tribal folk history is some description of their concepts of time.
This interest owes its relative popularity to Evans-Pritchard's (31) unsur
passed descriptions of Nuer time reckoning, which, he demonstrated, was
based on ecological and structural factors (lineage alliances, age grading) .
The situation is complex, however, and cases of tribal societies with distinct,
historical traditions have been described (Lewis 55).
Studies of prehispanic Mesoamerican folk history can be referred to as
historiography, since most of the focus has been on the view of the past
recorded in written documents. Even though the purpose of much of this
work has been simply to translate or interpret the glyphs, or, in the case of
the chronicles written in latin characters, to reconstruct the history or culture
of a people, the question of the societies' view of history has necessarily
arisen, and has been discussed many times.
The best understood historiography is that of the Aztecs and closely re
lated peoples from the valley of Mexico. Nicholson (68) has called our at
tention to the extent to which a genuine historical "consciousness" in central
Mexico was dependent upon complex political developments and well-devel
oped writing and calendric systems. Garibay (36) and Leon Portilla (53)
have pointed to the important role played by oral tradition and memoriza
tion, even for cases of chronologized history. All seem to agree that Mexican
chronicle history can be clearly distinguished from myth, though saga-like,
epical tradition is common (and widespread in Mesoamerica) , and is very
difficult to interpret historically (as an example, see Nicholson's study of the
legendary Quetzalcoatl, 69).
The Oaxacan and Yucatecan codices have been the object of much histo
riographic concern, though most attention has focused on the translation of
the sources rather than specific history per se. Caso (21), working with the
Mixtec codices, has shown that they are mainly historical, the earliest con
taining a date of A.D. 692. The content of these histories is primarily politi-

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242

CARMACK

cal in nature : dynastic genealogies of leading communities in the Mixtec-Za

potec area (for a summary of his work, see Caso 22) .
Interpretations of Maya historiography have long been hampered by our
inability to read any but the calendric hieroglyphs on the three surviving cod
ices and archaeological remains. Nevertheless, evidence from the chronicles
and books of the Chilams, thought to be originally derived from codices, had
led us to believe that the Maya did not have a strong historical sense. They
were said to view history in a ritual, cyclic way, with events recurring every
13 katun (about 256 years) , and so history and prophesy were merged into
one (Thompson 92) . The demonstration by Proskouriakoff (73) that the
hieroglyphs on the classic Maya stelae contain historical information has rev
olutionized our ideas about Maya historiography, and heightened interest in
cracking the glyphic code.
As the laborious task of locating, transcribing, translating, and analyzing
the historical content of the huge Mesoamerican documentary corpus contin
ues, we can anticipate more studies on the historiographic side of native cul
tures in that area.

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ETHNOHISTORY

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