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MIXED METHODS IN
ETHNOGRAPHIC RESEARCH

Mixed Methods in Ethnographic Research: Historical Perspectives captures the dynamic

history and development of mixed methods research in a narrative of personal
discovery, growth, and experience. Distinguished ethnographer and methodolo-
gist Pertti Pelto, who first called for the integration of qualitative and quantita-
tive research methods nearly half a century ago, establishes a direct line between
the earliest examples of ethnographic research and the ongoing mixed method
discussions in academic institutions throughout the world. By bringing together
such distinct historical perspectives with his own reflections on mixed meth-
ods research, Pelto offers a rare and endlessly enriching account that will satisfy
the ever-growing need for a better quality of practical data gathering and give
researchers a foundation for promoting mixed methods in the future.

Pertti J. (Bert) Pelto, Ph.D., is Professor Emeritus of Anthropology at the

University of Connecticut, where he played a major role in developing the pro-
gram in applied medical anthropology. He has also served as a consultant for
many international health organizations, providing training in mixed methods
ethnographic research for community-based applied projects. Best known for his
groundbreaking book on research methods (Anthropological Research: The Structure
of Inquiry, 1970), Professor Pelto was recently (2016) honored by the Society
for Applied Anthropology with the establishment of the biennial “Pertti Pelto
International Travel Award,” in recognition of his contributions to training in
applied field research methods in international contexts.
DEVELOPING QUALITATIVE INQUIRY
Series Editor: Janice Morse
University of Utah

Books in the Developing Qualitative Inquiry series, written by leaders in qualita-

tive inquiry, address important topics in qualitative methods. Targeted to a broad
multi-disciplinary readership, the books are intended for mid-level to advanced
researchers and advanced students. The series forwards the field of qualitative
inquiry by describing new methods or developing particular aspects of estab-
lished methods.

Other volumes in this series include:

Engaging in Narrative Inquiry

D. Jean Clandinin

Engaging in Narrative Inquiries with Children and Youth

D. Jean Clandinin,Vera Caine, Sean Lessard, Janice Huber

Interpretive Description
Qualitative Research for Applied Practice, 2nd Edition
Sally Thorne

Qualitative Ethics in Practice

Martin Tolich

For a full list of titles in this series, please visit www.routledge.com

MIXED METHODS
IN ETHNOGRAPHIC
RESEARCH
Historical Perspectives

Pertti J. Pelto
First published 2017
by Routledge
711 Third Avenue, New York, NY 10017
and by Routledge
2 Park Square, Milton Park, Abingdon, Oxon, OX14 4RN
Routledge is an imprint of the Taylor & Francis Group, an informa business
© 2017 Taylor & Francis
The right of Pertti J. Pelto to be identified as author of this work has been
asserted by him in accordance with sections 77 and 78 of the Copyright,
Designs and Patents Act 1988.
All rights reserved. No part of this book may be reprinted or reproduced or
utilised in any form or by any electronic, mechanical, or other means, now
known or hereafter invented, including photocopying and recording, or in
any information storage or retrieval system, without permission in writing
from the publishers.
Trademark notice: Product or corporate names may be trademarks or
registered trademarks, and are used only for identification and explanation
without intent to infringe.
Library of Congress Cataloging in Publication Data
A catalog record has been requested
ISBN: 978-1-62958-206-1 (hbk)
ISBN: 978-1-62958-207-8 (pbk)
ISBN: 978-1-31522-882-2 (ebk)
Typeset in Bembo
by diacriTech, Chennai
CONTENTS

Prefacexiii
Acknowledgementsxix

1 Mixed Methods Research in Ethnography, Qualitative and

Quantitative1
Ethnography in Earlier Centuries 2
Al-Biruni: A Remarkable Ethnographer 1000 Years Ago 3
Bernardino de Sahagun (1499–1590) 5
Applied Ethnographic Field Work, Cultural Patterns, and Research
Methods 7
Applied Field Research: Many Disciplines, Many Players 8
The Histories of Quantitative and Qualitative Research Designs Are
Different in Applied Field Research as Compared to Patterns of Study in
Academic Disciplines 10
Disillusionment with Quantitative Surveys 11
The New Interest in “Mixed Methods” in the Social Sciences 12
Conclusions 14
References 16

2 Mixed Methods in Nineteenth-Century Ethnography 18

A. J. Sjögren:The First Notable Finnish Linguist–Ethnographer 20
Mathias A. Castren 20
Other Nineteenth-Century Finnish Ethnographer–Linguists 24
Vladimir Bogoraz (Waldemar Bogoras): Russian Ethnographer/Linguist/
Revolutionary 27
vi Contents

Franz Boas: Promoter of Mixed Methods in North America 29

Concluding Comments 35
References 35

3 The Developing Discourse of Mixed Methods Research 37

The QUAL versus QUAN Paradigm Debates 38
Many Problems in the Current Mixed Methods “Paradigm
Concepts” 42
How Did Qualitative Data Gathering Gain Acceptance in
Quantitative-Dominated Research Areas? 44
A New Wave of Mixed Methods 45
QUAN + qual, QUAL → quan: Let’s Get on with the Fun 46
More Complex, Multiple Methods Mixtures (MMM) 47
QUAL + quan and QUAL → quan Designs Are Very Common 48
The Traditions of Publishing Make a Big Difference for Mixing of
Methods 50
Summary and Conclusions 51
References 51

4 Culture and Personality Studies: Plenty of Mixed Methods 53

Life in a Mexican Village: A Study by Oscar Lewis and Associates 55
Personality Formation among the Navajo People 59
Acculturation and Culture/Personality Studies 60
Use of Projective Tests in Ethnographic Research 61
The “Newer” Culture and Personality Studies 63
The Instrumental Activities Inventory (Spindler and Spindler) 64
Acculturation, Self-Identification and Personality Adjustment in an
Inuit Village 66
Analysis of the Data 67
Farmers and Herdsmen in East Africa: Effects of Ecological Factors on Values,
Attitudes, and Psychological Characteristics 68
Quantitative Scale from “Full-Scale Farming to Full-Scale
Herding” 70
Discussion and Conclusions 70
References 72

5 Large Multi-Year, Multi-Site, Multi-Disciplinary Research

Projects74
The Hawthorne Study: Mixed Methods in an Early Applied Project 74
Yankee City Series:Volume IV. “The Strike: A Social Analysis” 77
The Big Strike 79
 Contents vii

The Great Mix of Methods: Qualitative and Quantitative 82

The Ethnic Groups in Yankee City 83
“Yankee City” in Historical Perspective: Criticisms and Credits 84
“Public Health as a Career in Medicine”: Another Large-Scale Study 86
Summary and Conclusions 89
References 91

6 Ecosystems Theory, Adaptation, and New Directions in Research 92

An Early Applied Study of Upgrading Navajo Economy and Health 93
Massive Environmental Change: Ecosystem Effects of a Dam Project 96
Commentary 100
Pigs for the Ancestors: A Focus on Ritual as Ecological Regulator 101
Quantitative Data 102
Qualitative Data: Ethnography of Ritual 102
Discussion and Criticism Sparked by Pigs for the Ancestors 104
Structural Change in Northern Thai Rice Villages 106
Sarmela’s English Language Summary 107
Focus on Agricultural Adaptations in Rural Mexico 109
Discussion and Conclusions 111
References 114

7 Medical Anthropology and Mixed Methods Research 115

Another Epidemic: Diphtheria Immunization in Thailand 117
Sorcery and Medicine in the Philippines 119
The Sociology of an Indian Hospital Ward 121
The Complex Varieties of Academic and Applied Medical Anthropology 123
Biological and Cultural Adaptations:The Ecological Framework 125
Anthropology and Mental Health: Psychosis in East Africa 126
Long-Term Multidisciplinary Research in Selected Study Populations 128
Multiple Research Methods in Complex Ethnography:West Africa 129
An Unusual Category: Combining Ethnography and Quantitative
Experiment 131
Intervention: Development and Testing of a Model MCE Program 132
Conclusion 134
References 135

8 QUAL + qual and QUAL → qual Studies: Common Practices in

Ethnography137
Coming of Age in Samoa 1928: Margaret Mead’s Seminal Study 139
A Famous QUAL + QUAL → qual Study: Street Corner Society 142
Getting Started, Learning Field Research 142
viii Contents

Components of the Research Methods 143

“Doc,” the Most Famous “Key Informant” in Field Research
Literature 144
Sub-Project: Mapping the Social Interactions at the Club 145
Other Examples of Mixed Methods in QUAL Research: Mixed Methods
in Linguistic Research 146
QUAL → qual Triangulation 147
James P. Spradley: “Grand Tour Interviews” and Other Special
Methods 148
Extensive Participation: Sometimes It Is a “Supplemental Method” 150
Concluding Comments 151
References 152

9 The Development of Quantitative Methods in Ethnographic

Research153
British Ethnographers Started Doing Surveys Early in the Twentieth
Century 154
An “Experiment” with Survey Research Methods in Africa 157
More Specialized Survey Research “Experiments” 159
Small-Scale Surveys: Other Variations on the Survey Model(s) 161
A Different Kind of Mixed Methods Research: Cultural Analysis of
P-3 Pilot Error 161
The Study of High Concordance Domains 164
High versus Low Concordance Domains, and Sampling 165
“Tight” and “Loose” Societies 167
Cultural Consensus and Sample Sizes 168
Cultural Data, Key Informants, and Concordance 169
Summary and Conclusions 170
References 172

10 Food, Diet, and Nutrition Studies 174

Studies of Food Distribution and Dietary Behaviors 174
Pilaga Food Distribution 176
Diet and Hunger in Northern Rhodesia 178
Hunger Months 180
The Monograph as a Classic Mixed Methods Study of Food and
Nutrition 181
Diet in the Mexican Town of Tepoztlan 181
A Diet and Nutrition Intervention in South Africa 183
Nutritional Anthropology: Interdisciplinary Mixed Methods Research 186
 Contents ix

New Achievements in Mixed Methods Diet and Nutrition Studies 187

Research on Vitamin A Deficiency: A Multi-Site, Interdisciplinary
Study 192
Hypothetical Scenarios for Getting Data on Night-Blindness and Other
Symptoms 193
Multi-Year, Multi-Disciplinary Mixed Methods Study in Central
Mexico 194
Major Finding: “Small Is Not Healthy and Happy” 196
Summary and Conclusions 197
References 198

11 The Rise of Community Studies and Ecological Theory: Paradigm

Transitions in Finland 200
Hilma N. Granqvist: Ethnographic Study of a Palestinian Village,
1925–1931 201
Research in Lapland: Kalle Nickul’s “Discovery” of the Skolt Saami
Community 204
Mapping and Other Mixed Methods Research in Suenjel (Kola
Peninsula) 205
Kai Donner: Another “Early Modern” Contributor to Paradigm
Change 210
Community Studies and Ecological Frameworks: Later Trends in the
Twentieth Century 211
Adaptive Strategies in the Åland Islands 213
Community Studies and Ecological Theory in More Recent Finnish
Ethnographic Research 214
Concluding Discussion 215
References 215

12 My Explorations in QUAL + quan Research Methodology 218

Doctoral Dissertation Research in Finnish Lapland 218
The Upper Mississippi Research Project 222
Thinking about Research Methods 224
Thinking about Different Kinds of Societies 225
The Snowmobile Revolution:Technology and Social Change 226
Technology and Delocalization 228
Notes on Methodology 230
Varieties of Delocalization: Food and Diet 233
Conclusions: More Recent Developments 235
References 236
x Contents

13 Triangulation and Descriptive Expansion: The Uses of Mixed

Methods in Ethnographic Research 238
Exploring “Descriptive Expansion” and Related Purposes of Mixed
Methods Designs 239
Understanding the Concept of Triangulation in Mixed Methods Research 241
Broader Definitions of “Triangulation” 244
Triangulation Studies for Assessing Informant Accuracy 245
Key Informant Reliability: Another Look at Interview Data 248
Triangulation and Informant Precision 249
Comparing Individual In-Depth Interviews and Group Discussion
Methods 251
Triangulation and Mixed Methods Research in Action 252
Triangulation with Multiple Quantified Data-Gathering Methods:
Alaska 253
Triangulation at the Level of Theory and Data Analysis 255
Informal Triangulation in Ethnographic Field Research 257
A Loose Use of the Triangulation Concept in Ethnographic Research 259
Triangulation in Qualitative Ethnographic Research: A Case of “Investigator
Triangulation” 260
Triangulation Is Only One of Several Mixed Methods Research
Categories 262
Criticisms and Critiques of Triangulation in the Social Sciences 262
Summary and Conclusions 264
The Basic Lesson 265
References 265

14 Two Decades of Mixed Methods in South Asia 268

The Technical Assistance Program: “Building Social Science Capacity for
Research on Women’s Health in India” 270
QUAL-QUAN Mixed Methods Research Tools 272
Mixing Qualitative and Quantitative Data Was Already Common in South
Asia 273
Developing a Manual for Field Training and Guidelines for Data Gathering
and Analysis 274
Other Developments in the Mid-1990s 274
Implementing a Reproductive Health Agenda in India:The Beginning 276
Reproductive Health in India: New Evidence 277
Ethnographic Field Research in South Asia 278
Women’s Perceptions of White Vaginal Discharge: Ethnographic Data from
Rural Maharashtra 279
 Contents xi

Evaluation of a Rural Community Health Program 280

Women’s Work and Child Health 281
Ethnographic Study of Sex Workers in a Red Light District in
Kolkata 282
Examples of Mixed Methods Research in Bangladesh 283
The HIV/AIDS Pandemic and Mixed Methods Research 285
HIV/AIDS and the Twenty-First Century in South Asia: Our Book of
Research Results 286
Examples of Research on Sexual Behavior during the Technical Assistance
Program 287
Other Noteworthy Studies in This Collection 290
Men’s Sexual Health Concerns in Mumbai 291
Women’s Reproductive Health in the Time of AIDS 293
Continued Research in Issues around Pregnancy, Childbirth, Abortion, and
other Reproductive Health Matters 294
Summary: Mixed Methods Research in South Asia 295
References 298

15 Two “Histories” of Mixed Methods Research 301

Mixed Methods in Ethnographic Research: Early Times 302
New Pathways to Mixed Methods in the Twentieth Century 303
Multi-Disciplinary and Large-Scale Projects Often Led to Mixed
Methods 305
Interdisciplinary Research Teams: A Different Pathway to MM 306
Mixed Methods in Health Research 307
Ethnographic Publications Are Often in Books or Large Printed
Reports 308
Conclusions on the Long, Complex History of Mixed Methods in Applied
Ethnographic Studies and Related Fields 309
Quantitative Research Approaches Have Often Been Inductive 310
The “Other History” of Mixed Methods and the Recent Spread of Interest
in Qualitative Ethnographic Research 311
New Explorations in Qualitative Research Methods, Especially in
Developing Country Programs 313
Participatory Rural Appraisal (PRA) and Rapid Rural
Appraisal (RRA) 315
Focused Ethnographic Studies (FES) 316
Other Influences Favoring Qualitative Data Approaches and Mixed
Methods 317
Influences from the Computer Revolution 318
xii Contents

The Big Picture: Mixed Methods Approaches Are Essential Because Each
Individual Method Has Weaknesses. But There Is More:There Are
Multiple Sectors of Data in the Real World 320
Concluding Note 322
References 323

Index325
PREFACE

I returned to the United States in 2014, after living and working in South Asia
for nearly two decades. During that period, beginning in the early 1990s, I was
doing technical assistance, particularly with workshops and other training activi-
ties focused on qualitative methods for research on reproductive health issues and
programs. The research groups I worked with were relatively familiar with the
basics of quantitative (survey) data approaches, so the qualitative methods I pre-
sented were intended to strengthen their utilization of qualitative ethnographic
techniques. These training and related technical assistance activities were primar-
ily in India, in a program originally developed by the Ford Foundation. I also had
several sessions of training activities in Bangladesh and Nepal, particularly in con-
nection with the campaigns for combating the spread of HIV/AIDS. I describe
some of those South Asian research projects and training activities in Chapter 14.
When I returned to my home area in the United States, I found an impressive
growth of interest in “mixed methods research approaches,” manifested in a num-
ber of recently published books, as well as a relatively new Journal of Mixed Methods
Research (launched in 2007).The literature mainly defines “mixed methods” as the
combining of qualitative and quantitative research techniques and analysis, and
treats this strategy as a relatively new development in the social sciences. Indeed,
it does appear to be a “new thing” in some sectors of the social sciences. On the
other hand, I was amused in reflecting that I had strongly urged the combining
of qualitative and quantitative research methods in the book on methodology I
wrote nearly half a century ago (Pelto, 1970).
Another very interesting marker of this methodological discussion is the use of
abbreviations such as “QUAL,” “QUAN,” “qual,” and “quan”—combined in vari-
ous ways to represent different research designs. That practice, I thought, gave this
new topic of methodological discussion a special brand of visibility. I w ­ ondered
xiv Preface

whether some commercial advertising people might have been involved in

developing this system of “codes.”
In my professional career in anthropology, I encountered a great deal of mixed
methods in ethnographic research, including studies carried out in the nineteenth
century and earlier.Throughout much of the twentieth century, in my experience,
there was a steady growth of “mixed methods” in ethnographic research. I also
had the feeling that in various sectors of ethnographic studies there were many
examples of combining several different qualitative methods. That was especially
notable among those ethnographers who combined detailed linguistic methods
with ethnographic procedures—interviewing, direct observation, mapping, and
other actions. Those mixed methods studies were already common in the nine-
teenth century, in some academic and non-academic realms.
After some further exploration, particularly in the areas of ethnographic proj-
ects I had studied and discussed with my colleagues and graduate students over
many years of academic work, I began to put these observations into chapters
for this book. My general impression was that the mixing of research methods in
ethnographic studies was particularly common in applied, practical projects. Also
certain sub-areas of academic disciplines seemed more prone to the combining of
qualitative with quantitative research methods.
Another strand in my thinking about this general topic of mixed methods
of research was that many ethnographic scholars and researchers in the English-
speaking world did not have very much knowledge or access to some non-­English
scholarly works, such as those I was familiar with in northern Europe and (later)
in South Asia. I felt that it would be useful for me to include, in some detail, infor-
mation about ethnographic researchers in Finland, particularly those pioneering,
adventurous field researchers who carried out multi-year studies in Siberia in the
nineteenth century.
Chapters 1 and 2 give some pieces of the early history of ethnographic
research, beginning with the remarkable studies carried out by the Islamic scholar,
Al-Biruni, 1000 years ago. His ethnographic descriptions of Hindu Indian cul-
ture, so many centuries ago, give us a sense that the ethnographic study of “other
peoples and cultures” has very deep roots indeed.The nineteenth-century Finnish
scholars (Chapter 2), provide a further sense of the important early develop-
ments in ethnographic studies. Gradually, across several centuries, a wide range of
researchers have lighted up, step by step, the mapping of the varieties of human
communities in different parts of the globe.
In Chapter 2 I have also introduced a new perspective on Franz Boas, who
is commonly regarded as having established the North American variety of eth-
nographic (and general anthropological) scholarship in the American university
system. He fits well into this chapter, with the Finnish scholars, because his aca-
demic training and scholarly orientation was entirely European, not much differ-
ent from the academic backgrounds of the Finnish researchers. Those northern
ethnographic researchers published many of their works in German, as did Boas
 Preface xv

in his earliest years. Most important, however, is the fact that in the course of my
recent reading, I discovered more details of the depth of mixed methods in Boas’s
extensive field research. Most of his ethnographic research was qualitative, but
with innovative mixing of different types of qualitative approaches.
Chapter 3 is devoted to examination of the “new language system” used for
discussing the varieties of mixed methods research designs. I feel that many peo-
ple, especially in developing countries, have not been exposed to the special labels
and terminology of the “mixed methods discussions,” so I include this little review
of these new usages.
Culture and personality studies (Chapter 4) is the topical area that strongly
influenced my early academic career. Also, this sub-area of ethnographic research
was one of the first sectors to develop strong tendencies for inclusion of quan-
titative methods connected to qualitative data gathering. In this chapter I point
out that it was mainly the social psychologists, collaborating with anthropologists,
who introduced the numerical methods that had become common research tools
in psychological studies. Thus, I point out in this chapter, and some others, that
multi-disciplinary studies have been especially likely to be the domains in which
mixing of the tools of data gathering and analysis takes place most readily. Culture
and personality studies, in the first half of the twentieth century, were to a consid-
erable extent built up from the inter-relating of qualitative ethnographic methods
with the quantitative techniques for assessing personality characteristics.
Chapter 5 is devoted to some famous old examples of very large, exploratory
projects, involving many researchers during several years of data gathering. Both
the Hawthorne Research and Yankee City studies are well known in the liter-
ature of the first half of the twentieth century, and they highlight the ways that
longer-term field research practically always results in mixing of different research
approaches.
Ethnographic studies in various health/illness issues and projects are another
area in which multi-disciplinary research teams have very often been the initi-
ators of mixed research designs. Chapter 6 presents a series of studies in which
medical professionals are often teamed with ethnographic researchers—situations
that, again, promote, or even require, multiple measurements of bodily conditions,
counts of numbers of “cases,” and other numerical data, along with qualitative
observations and verbal materials.
Economic and ecological studies are the subject of Chapter 7, in which the
issues examined often require quantitative methods, coupled with a wide range
of verbal descriptions. In many of the studies in this topical area, qualitative
descriptions of physical environments are essential parts of research design, but
concepts of “economic development,” and peoples’ adaptations to environmental
features, generally require measurements in terms of physical products, numbers
of people affected, and (quite often) measures of economic features in terms of
monetary units.
xvi Preface

Chapter 8 introduces a deviation into the realm of qualitative combinations

of data gathering and analysis. Two of the most famous ethnographic studies—
Margaret Mead’s study of Samoan adolescence, and William F. Whyte’s Street
Corner Society, are the main case examples that I use to illustrate the rich mixtures
of qualitative methods. In the new system of terminology, these are QUAL + qual
studies.
As a “balance” to that very qualitative discussion, Chapter 9 is devoted to
examination of some features of the gradual increases in quantitative operations
in ethnographic research. In that chapter I point out that the British social anthro-
pologists were among the early innovators who added some elements of survey
methods to systematic study of traditional societies, particularly in their many
research projects in Africa.
Chapter 10 examines studies concerning “Food, Diet and Nutrition,” which is
another domain of research that is very often multi-disciplinary, and thus highly
likely to require mixed methods research designs. Some ethnographers studied
the food habits, including measurement of dietary intakes, among traditional soci-
eties quite early in the twentieth century. The study by Audrey Richards (1939)
in South Central Africa is often cited as an outstanding early model of that type
of study. In parallel to studies linking public health issues with in-depth eth-
nographic data gathering, the development of “nutritionist-plus-ethnographer”
research teams increased rapidly in the 1960s and 1970s. Since then, it is hard
to imagine (or justify) research that does not combine extensive qualitative field
data with careful measurement of the nutritional results of the dietary practices
in study populations. In some large-scale studies the medical (public health) issues
are combined with diet and nutrition data gathering. The multi-year study by
John Cassel and associates is a particularly interesting early example, which I
describe in detail in this chapter.
I return to some more examples of Finnish ethnographers in Chapter 11. This
is partly to introduce some details about the context of ethnographic research
within which I began my own major ethnographic fieldwork, in the 1950s. Some
of the case materials that I deal with in this chapter also illustrate how interna-
tional political developments affect the directions of scientific programs. Although
I touch on these matters only tangentially here, the directions of ethnographic
research in Finland shifted quite dramatically as a consequence of Finland’s gain-
ing independence from Russia in 1917. The events around World War II also had
significant effects on Finnish research directions, as their orientation to interna-
tional scholarly contacts shifted toward greater contacts with English-language
literature and intellectual communications.
Part of my focus in this book is autobiographical, and in Chapter 12 I turn to
describe some of my own participation in the developments of mixed methods
research. In my first major book on research methods (1970), I pointed to the
need for developing rigorous mixing of qualitative and quantitative data gath-
ering and analysis in ethnographic studies. In this chapter I present some of my
 Preface xvii

own research, and my activities in training the newer generation of ethnographic

researchers in effective mixed methods projects.
The final set of materials in this book—in Chapters 13, 14 and 15—are
intended to link the historical perspectives that make up the main chapters of
this book with the current, ongoing narrative of what we might label, “the new
mixed methods dialogue.” Chapter 13 is devoted to examining the core intentions
of mixed methods, in which one major impetus for the multi-method strategy has
been to strengthen the credibility and “validity” of ethnographic data by means of
triangulation. Some writers have perhaps exaggerated the centrality of this justifi-
cation and motivation for mixing of different kinds of data gathering and analysis.
Most of the mixed methods I have included in this book have been intended
for expanding the reach of research methods into related areas of descriptive and
explanatory information. In any case this chapter is intended to define and explore
the core aspects of the multi-method studies reviewed in the previous chapters. In
the midst of this “pulling things together,” I include (Chapter 14) some detailed
descriptions of my recent consulting and technical assistance in South Asia, which
was largely devoted to strengthening the mixed methods research operations of
a variety of different non-government organizations (NGOs) and other research
groups, in India, Bangladesh and Nepal.The mixing of qualitative and quantitative
research operations has been common practice in South Asia since the middle of
the twentieth century, but they needed to develop more rigorous procedures in
their qualitative research.
The final chapter must of course put all the pieces of this complexity into
some semblance of order. It should be apparent to readers who are familiar with
the current discussions dealing with “the new mixed methods research” that there
seem to be two different histories. The materials I have put together in this book
represent the long history of mixed methods in ethnographic field research, while
the discussions in the “new mixed methods” literature appear to be focused on a
set of recent developments, particularly among sub-disciplines of the social and
bio-social sciences in which the qualitative side of data gathering was not much
recognized or considered important until quite recently.

For Which Scholars, Researchers, and Other Readers Is This Book

Intended?
Many of the studies I have reviewed in these chapters provide useful infor-
mation concerning applied, practical sectors of social and bio-social programs.
The studies in areas of public health and diet/nutrition are particularly nota-
ble areas of research where mixed methods approaches have for a long time
been of central importance. The case materials in Chapter 14, dealing with
HIV/AIDS, reproductive health programs, and related studies in South Asia,
are particularly good exemplars of current research approaches in applied eth-
nographic studies.
xviii Preface

I have included numbers of examples of research by Finnish scholars in earlier

decades, plus quite recent studies by research teams in South Asia, in order to
increase the awareness, in both directions, of these large sectors of field research
that seem to be less well known in the international research literature. As a result
of the rapid advances in computerized availability of published and unpublished
research information, I expect that the materials in these chapters will be of inter-
est and usefulness for applied and academic audiences in developing countries, as
well as enriching the range of research knowledge among European and North
American social scientists and applied field research personnel.
The training of social science and bio-social science students for professional
careers should, in my opinion, include a strong component of historical per-
spective concerning research methods and strategies. Many of the studies I have
described in these chapters include important lessons and guidelines for the
younger generation of aspiring researchers to learn from. Fortunately, due to very
recent advances in technology and communications practices, aspiring researchers
even in relatively remote areas can access some of the less well-known materials
through the Internet.
Although I assume that academic institutions, including specialized govern-
ment and non-government learning centers (universities, colleges, and research
institutes) have the largest numbers of ethnographically active social scientists,
there are growing numbers of active researchers in NGOs, international foun-
dations, and other specialized research centers. In recent years those non-aca-
demic organizations have greatly expanded their ethnographic research activities.
The types of materials I have presented are especially useful in connection with
the ever-growing need for a better quality of practical data gathering in pro-
grams intended for improving the levels of economic and social well-being of the
world’s diverse populations.
ACKNOWLEDGEMENTS

I must acknowledge my indebtedness to an extremely widespread, diverse array of

people who have worked with me, and who have made possible the varieties of
activities in which I have been involved during my professional career. It will be
possible to mention only a small part of those many colleagues, friends, mentors,
students, and others.
First of all I should acknowledge the training I received from faculty and
others at the University of California (Berkeley) in my years of graduate studies.
Those early mentors included Robert Lowie, David Mandelbaum, George Foster,
Robert Murphy, David Schneider, and a number of other very helpful professors.
At Cornell I was particularly indebted to the colleagueship and research ideas of
John M. Roberts and William Lambert. At the University of Minnesota, Luther
Gerlach and Frank Miller were particularly helpful colleagues. At Connecticut
there have been many very helpful colleagues, of whom I am especially indebted
to Robert Bee, Norman Chance, Robert Dewar, and Pamela Erickson.
My Finnish colleagues and friends constitute a very long list indeed, and I
will begin with listing some key persons in Lapland: Satu and Jouni Moshnikoff,
Jaakko Sverloff, Artto Sverloff, Katri Jefrimoff, and Nikolai Killanen, although
there were many others who contributed to my research over the years. Among
academic colleagues and mentors in Finland, I owe a great deal to the mentorship
of Kustaa Vilkuna and Kalle Nickul. In the large list of colleagues, I should men-
tion first my good friend and long-time colleague, the late Martti Linkola. Of the
many others, I especially acknowledge my indebtedness to Matti Sarmela, Pekka
Sammallahti, Minna Säävälä, and Juha Pentikäinen.
In South Asia, as elsewhere, I am indebted to a long list of persons, and can
only list a few from that very large number. I wish to particularly express my
xx Acknowledgements

appreciation for all the help and support of the following persons in India:
Lakshmi Ramachandar, Saroj Pachauri, Ravi Verma, Jayashree Ramakrishna,
Niranjan Saggurti, Archana Joshi, Renu Khanna, Shagufa Kapadia, M.E. Khan,
Shireen Jejeebhoy, R.K.Mutatkar, Vinay Kulkarni, Annie George, Akhila Vasan,
Bella and Siddhi Ganatra, and Hemant Apte. In Bangladesh: Ruchira Tabassum,
Papreen Nahar, Sandra Laston, Abbas Bhuiyan, Lazeena Muna and S.M. Nurul
Alam. Among the many helpful colleagues in Nepal, I especially express my grat-
itude for the support, friendship, and collaboration of Anand Tamang and Mahesh
Puri at the NGO, CREHPA. Sri Lankan colleagues I wish to especially thank
are Herbert Aponso, Tudor Silva, and Ananda Wijekoon (all at the University of
Peradeniya), although there were many others who contributed to our interac-
tions in that fascinating island society.
Other colleagues in North America to whom I owe special expressions of
gratitude are Ludger Müller-Wille, Russ Bernard, and that long list of excellent
students whose research has enriched my knowledge of cultures and peoples in so
many parts of the globe. My listing could go on and on, but here I will particularly
express my deep indebtedness for the countless hours of editorial assistance and
sage advice of Janice Morse, and the very expressive illustrating, helpful editing
and other assistance from my daughter, Dunja Pelto.
1
MIXED METHODS RESEARCH IN
ETHNOGRAPHY, QUALITATIVE
AND QUANTITATIVE

My aim in this book is to explore some of the features of ethnographic research

from the nineteenth century to the present day, with special attention to exam-
ples of mixed methods strategies. Ethnography has a complex history, so my
explorations in this book, including some of my own ethnographic research
and discussion of methodological issues, are not intended to be comprehensive.
Ethnography has many pathways and associations in various branches of the social
sciences. There are also many different definitions. This book focuses mainly on
data-gathering methods in fieldwork, as that is what I consider to be the core
meaning of “ethnography,” as contrasted with a broader, more abstract, theory-­
focused concept: “ethnology.”
In 1857, the Finnish scholar–researcher Matthias A. Castren gave a definition
of ethnography based on his own extensive research:

[Ethnography] is a new name for an old phenomenon. It is understood to

mean the knowledge of peoples’ religion, social conditions, customs and
rites, living conditions, dwellings, in a word, all that belongs to their internal
and external lives. Ethnography could be regarded as a part of cultural his-
tory, but not all nations possess a history in the higher meaning of the word,
and their history consists precisely of ethnography. (Castren, 1857 (IV):8;
quoted in Niiranen 1992:23)

In his discussion of the terminology, Niiranen commented that the first use
of the term “ethnography” should be credited to W.F. Edwards, “who in the late
1830s founded the first scientific society in this field in Paris. [However] A Leipzig
encyclopaedia published in 1833 defines ethnography as part of geography and
history:‘Ethnography, i.e., the science dealing with the folk or peoples (Volkerunde),
2 Mixed Methods Research in Ethnography

is the part of geography which deals with the inhabitants of different countries,
describes them on the basis of their physical and mental abilities and presents their
customs, habits, and special features’” (quoted by Niiranen, p. 23).
In his book, The History of Ethnological Theory (1937), Robert H. Lowie stated
in his very first paragraph that: “Ethnography is the science which deals with
the ‘cultures’ of human groups. By culture we understand the sum total of what
an individual acquires from his society—those beliefs, customs, artistic norms,
food-habits, and crafts ...” (Lowie, 1937:3). In this book I use the word ethnog-
raphy as referring especially to “field research” in human groups. It is largely
descriptive (inductive) in basic design, although there are ethnographic projects
that include deductive, hypothesis-testing operations.
The close relationship between geography and ethnography, in the
­nineteenth-century definition, is a reflection of the fact that in earlier centu-
ries, both of these scientific activities were heavily invested in explorations in the
unknown, or less well-known locations and peoples on Planet Earth. As we will
explore further in Chapter 2, the nineteenth century was a time when there were
growing numbers of international expeditions, some of them aimed at political
and economic exploitation of less developed regions such as Africa, arctic America,
Siberia, and others; other expeditions were more intent on expanding geographi-
cal, scientific information about the relatively uncharted parts of the world.

Ethnography in Earlier Centuries

I do not intend to review a lot of earlier “proto-ethnography,” but it is useful to
keep in mind that in earlier centuries there have been unusual individuals who
studied the societies and cultures of “other peoples” in various ways, with the
intention of presenting factual information that would be of use to other persons.
Margaret Mead and Ruth Bunzel included some interesting examples of
earlier ethnographic reports in their compilation, The Golden Age of American
Anthropology (1960). It is of considerable interest to note that Christopher
Columbus is included in this discussion of “proto-ethnographers.” Their collec-
tion includes a brief, very interesting article by Edward Gaylord Bourne enti-
tled, “Columbus, Ramon Pane and the Beginnings of American Anthropology”
(Bourne, 1906: 310–313). Bourne commented that: “Christopher Columbus not
only revealed the field of our studies to the world but actually in person set on
foot the first systematic study of American primitive custom, religion and folklore
ever undertaken” (Bourne, 1960:18). Bourne went on to describe reasons why
this aspect of Columbus’s activities has largely been ignored, and then mentions
two important documents:

The first [document] contains the discoverer’s own brief summary of what
he was able to learn of the beliefs of the natives of Espanola during the
period of his second voyage, 1493–96, and the record of his commissioning
 Mixed Methods Research in Ethnography 3

of Friar Ramon Pane who had learned the language of the islanders, ‘to
collect all their ceremonies and antiquities.’ The second is Ramon’s report
of his observations and inquiries and is not only the first treatise ever writ-
ten in the field of American Antiquities, but to this day remains our most
authentic record of the religion and folk-lore of the long since extinct
Tainos, the original inhabitants of Hayti ...” (Bourne, 1960:19)

Al-Biruni: A Remarkable Ethnographer 1000 Years Ago

Al-Biruni stands out as a prolific “proto-ethnographer,” although his scientific
achievements are best known in the fields of mathematics and astronomy. His real
name was Abu Raihan Muhammad ibn Ahmad, but he is known in the historical
literature as Al-Biruni. In addition to his work in mathematics and astronomy,
he was a gifted linguist, ethnographer, and all-around scientist. He is believed to
have written over 100 books (Saliba, 2015), but the publication of most interest
is his extensive description of the people, religious beliefs, caste system, languages,
mathematics, and other cultural and social features of Hindu India. His collection
of ethnographic descriptions is often known by the shortened title, Kitabu’l Hind
(Ahmad, 1983:xvi). Materials from that extensive compendium were translated
into English by the German scholar Edward C. Sachau in 1888, in two volumes,
with the title Alberuni’s India. That publication was edited into a shorter, one vol-
ume edition, entitled India by Al-Biruni, edited by Qeyamuddin Ahmad (1983), a
professor of history at the University of Patna in North India.
Al-Biruni was born in A.D. 973 in the Iranian territory of Khwarizm (now
in Uzbekistan). He was an Iranian Muslim, best known as an astronomer and
mathematician, but deeply interested in Indian (esp. Hindu) society and culture.
In addition to his Persian and Arabic languages, he was fluent in Sanskrit and
had communication with Indian scholars. The translator/editor, Qeyamuddin
Ahmad, wrote that “Al-Biruni was a great linguist and a prolific writer” (Ahmad,
1983:xvii). I am introducing Al-Biruni here because it is quite clear that he
intended to present “just the facts,” and that the materials in his book cover a
very wide range of cultural information, which must have required many years of
study. The editor described that Al-Biruni had contacts with many Hindu people
in his home area, and travelled to several parts of India. He lived for some years
in the Punjab, in Northern India. At many points in the text, he comments that
“Hindu people told me” (various cultural items). However, it appears that much
of his research was through careful study of the Sanskrit literature available to him.
It is interesting to note that one thousand years ago there was a fairly rich litera-
ture in Sanskrit available for gaining extensive information about Hindu culture.
Some of the chapters in the compilation called India: by Al-Biruni include:
“On that which especially concerns the Brahmans, and what they are expected to
do during their whole life” (p. 223); “On the rites and customs which the other
4 Mixed Methods Research in Ethnography

castes besides the Brahmans, practice during their lifetime” (p. 228); “On what
is allowed and forbidden in eating and drinking” (p. 237); and, most ominously:
“A description of the four yugas, and of all that is expected to take place at
the end of the fourth yuga” (p. 175). The abridged version of Al-Biruni’s ethno-
graphic production runs to about 80 chapters! The publication contains many
chapters about astronomy, mathematics, and other scientific topics, in addition to
the descriptions of cultural practices of Hindu peoples.
One of the most striking pieces of evidence concerning the depth of his
knowledge of India is the fact that he described several different alphabets used in
the writing of different languages in India (“Notes on the Writing of the Hindus,
on their arithmetic and related subjects....” [pp. 79–88]). Of course, he was par-
ticularly deeply immersed in learning about Hindu mathematical work, because
mathematics and astronomy were his main special areas of scientific interest. One
section is called, “On the constellation of the Great Bear” (p. 180).
The editor of the Al-Biruni book, Qeyamuddin Ahmad, took his masters
and doctoral degrees at Patna University in northern India (Bihar State), in
1950–1962, and was a professor of history at the University of Patna in the years
after completing his doctorate. He noted that “It has been suggested that a feel-
ing of shared adversity brought Al-Biruni and the Hindus close to each other”
(p. xix). For that comment he references Sachau, and then goes on to note that
“... Al-Biruni was deeply interested in astronomy and mathematics since an earlier
period of his life, and he must have taken full advantage of the opportunities of
direct contact with Indian scholars during his stay in Ghazni ... [also] ... while liv-
ing in Ghazni he got additional opportunities for securing first-hand information
by personal contact with Indians and by direct study of Sanskrit sources. As we
know, he paid visits to and lived in different parts of the Punjab....”(p. xix)
In the editing of Al-Biruni’s writings, Ahmad was deeply impressed with the
scholar’s attempt to understand Hindu culture (and science) from the insider’s
perspective. He commented that “Also, very significant is Al-Biruni’s conclud-
ing remark that his book was meant for those who wanted to discuss with the
Hindus the questions of religion, science or literature, on the very basis of their own
civilization.” He goes on to comment that “... Much stress is nowadays being laid
by Western scholars to try to understand Oriental cultures on their own terms
and on the basis of the indigenous sources. It is a measure of Al-Biruni’s greatness
that he made such an attempt, fairly successfully, about one thousand years ago. In
fact, it is this discerning and basically appreciative approach to the understanding
of an alien culture on its own terms which lifts Al-Biruni’s account much above
anything else written on India in the medieval period.” (Ahmad, 1983:xxxi)
We can piece together a loose, composite inventory of the mixed methods
utilized by Al-Biruni in producing this impressive ethnography. Certainly he
depended to a considerable extent on the large Sanskrit and Arabic literature
available to him. Various writers, including Professor Ahmad and other histori-
ans, have described Al-Biruni’s life in connection with the Islamic invader forces,
 Mixed Methods Research in Ethnography 5

giving something of a mixed message: of a privileged, “royal court” lifestyle, yet

to some extent a prisoner, with some limits placed on his freedom of movement.
In his first chapter, Al-Biruni discussed at length the difficulties of Sanskrit
language, and made it clear that he directed his great linguistic skills to mastery of
that language as the key to learning about Hindu culture and society. He wrote
that “I do not spare either trouble or money in collecting Sanskrit books from
places where I supposed they were likely to be found, and to procuring for myself,
even from very remote places, Hindu scholars who understand them and are able
to teach me ...” (Al-Biruni, 1983:11). He went on to describe that he was not
entirely free to come and go wherever he wanted to, but was thankful to Allah for
all he was able to accomplish.
His descriptions do not provide any details of his interviewing techniques, and I
did not find any mention of his taking notes during travels or attendance at special
events. Nonetheless, it is quite clear that across his many years in India he had plenty of
opportunities to observe firsthand some of the economic activities, religious ceremo-
nies, geographic features, and other aspects of life in India.There is plenty of tangential
evidence that one of his research methods was in working with Hindu astronomical
data, and mathematical materials, in order to understand and critique their contents.
I would characterize Al-Biruni’s extensive ethnographic work as an example
of QUAL + qual mixed methods research, in which the linguistic component,
based on thorough knowledge and use of Sanskrit written materials, was a core
methodology. Direct observation of places, people, and events was very much a
secondary, supplemental element in his mixed methodology.

Bernardino de Sahagun (1499–1590)

Fray Bernardino de Sahagun is very much a contrast to the Al-Biruni story, in part
because he was a Catholic priest in the Franciscan Order. He arrived in Mexico
as a young man in 1529, just a few short years after the Spanish armies had con-
quered the Aztecs in central Mexico. In her introduction to some of Sahagun’s
ethnographic products, Ruth Bunzel wrote:

On arriving in Mexico he immediately learned Nahuatl, the language of

the people among whom he was to spend his life.... During most of these
years [until 1578!] he taught at the Convent of Tlatelulco where he could
command the assistance of young bilingual students. He had with him in
the pueblo of Tepeapulco, during the period of intensive work, some ten or
twelve native Indians well versed in ancient lore, who had lived under the
Aztec empire before the conquest. The old men dictated texts in Nahuatl
which he wrote out and had interpreted by his young Spanish-speaking
informants, former students of the Convent.... He also had his old men
write out portions of text in Nahuatl hieroglyphics and had these inter-
preted. (Bunzel, 1960:47)
6 Mixed Methods Research in Ethnography

The singular ethnographic accomplishment over Sahagun’s lifetime was

the massive History of the Things of New Spain.The most famous extant man-
uscript of [his ethnographic and historical production] ... is the Florentine
Codex. It is a codex consisting of 2400 pages organized into twelve books,
with approximately 2,500 illustrations drawn by native artists using both
native and European techniques. The alphabetic text is bilingual in Spanish
and Nahuatl on opposing folios, and the pictorials should be considered a
third kind of text. It documents the culture, religious cosmology (world-
view), ritual practices, society, economics, and history of the Aztec people;
and in Book 12 gives an account of the conquest of Mexico from the
Tenochtitlan-Tlatelolco point of view. In the process of putting together
the Historia General, Sahagún pioneered new methods for gathering
eth­nographic information and validating its accuracy. The Historia General
has been called “one of the most remarkable accounts of a non-Western
culture ever composed, and Sahagún has been called the father of American
ethnography. (Wikipedia, 2016)

The impressive ethnographic productions of Al-Biruni and Bernardino de

Sahagun stand out as exceptionally thorough, important, and informative ethno-
graphic works from earlier centuries. There are, of course, many other interesting
ethnographic products from those earlier times, but precious few can match the
levels of scholarly and scientific quality of these two exemplars. When we explore
the literature we can find a great many detailed narratives from travellers (such
as Marco Polo), and some of the early Jesuit missionary studies among North
American native peoples. But most of those studies are far less comprehensive, and
often less credible, than these two ethnographic products.
Just to mention one more “famous traveller”: perhaps no other world adven-
turer in earlier centuries can match the total kilometres travelled and number of
different peoples visited by the famous Muslim, Ibn Battuta (1304–1369). The
Foundation for Science, Technology and Civilization in the United Kingdom has
published a colorful biographical sketch of Ibn Battuta in their Muslim Heritage
series, in which they include the following, concerning the more ethnographic
aspects of his travels:

Ibn Battuta was interested in political conditions and glories of foreign

rulers; in economic factors, in all sorts of strange customs, such as those
of marriage and burial; in the construction of Indian beds and the kind of
fuel used in China; in strange inventions, such as wagons in the Crimea or
supposed way of getting rid of vermin; in remarkable animals, minerals, and
to a greater degree, trees and plants, especially those useful to humans. And
all these aspects help us today to understand life in all these diverse places in
those times. (Muslim Heritage, 2016)
 Mixed Methods Research in Ethnography 7

The writings of Ibn Battuta, and some other “travellers” contain a great deal of
interesting information, but I do not regard them as “real ethnographers,” because
their observations about cultural and social features are highly selective, and are
usually based on relatively short-term observations in each of those many places
their travels took them. Thus, their interesting travel adventures are much less
ethnographically useful than the works of Al-Biruni and Sahagun.

Applied Ethnographic Field Work, Cultural Patterns, and

Research Methods
Although we do not have truly detailed descriptions of the research methods and
designs employed by the ethnographers of the distant past, there are some out-
standing features of field research that seem pervasive and largely defining of the
main characteristics of this scholarly work. I introduced the examples of research
by Al-Biruni and Fray Bernardino de Sahagun in order to highlight some of the
centuries-old characteristics of this kind of research.
A central feature in most discussions of ethnographic research is the importance
of mastering the language (or languages) of the study population. Although there
are many competent ethnographic studies that include extensive involvement of
translators/interpreters, the effective utilization of local language in relation to
understanding the interpretations of cultural patterns and decision-making by
individual actors has appeared consistently in discussions of effective ethnographic
understanding. Truly effective ethnographic studies almost always include exten-
sive use of local “native vocabularies and language use,” in order to give “the
peoples’ perceptions” and specialized local definitions of “reality” in descriptions
of cultural actions and normative prescriptions.
Particularly in the earlier centuries of proto-ethnographic studies, the close
relationships with geography were very important, and in many studies some
mapping activities have been essential supplemental research methods. Another
major supplemental data-gathering operation has been the use of particularly
knowledgeable members of the study populations for the production of data,
including having community members collect and write descriptions of ritu-
als, festive occasions, local mythological lore, and other cultural information.
That method of data gathering was evidently the “core ethnographic method”
for Sahagun, described earlier; and it was a centrally important supplemental
method in the extensive ethnographic research of Franz Boas, which I describe
in Chapter 2.
It is important to note here that in many instances of “proto-ethnography” in
earlier centuries, and particularly in the nineteenth century, the mixtures of meth-
ods often featured only qualitative data gathering. The development of ethno­
graphic mixed methods with strong quantitative components is a more recent
development, originating in the late nineteenth century.
8 Mixed Methods Research in Ethnography

Applied Field Research: Many Disciplines, Many Players

Most discussions about mixed methods and the special features of quantitative
versus qualitative paradigms have been focused at the micro-levels of data gath-
ering and analysis, plus the excursions into abstract philosophies of “knowledge,”
“science,” and “history.” It is also important to explore some major developments
in the larger panorama of applied, practical research. Certainly the micro-level
transformations in data-gathering methods have been influenced by major devel-
opments in technology (particularly in computer hardware and software), as well
as changes in the politics and economics of applied research systems. Other factors
influencing the various shapes of practical research include special “events” such
as the advent of the HIV/AIDS pandemic. All these macro-level processes are
part of the complex history of social and behavioural research, impinging on the
grassroots-level transformations in mixed methods studies.
In 2009–2010 I was consulting for a large-scale applied research project in the
Bihar and Uttar Pradesh states in India. The ambitious study was labelled Shaping
Demand and Practices to Improve Family Health Outcomes in Northern India, directed
by M.E. Khan of the Population Council (India), and funded by the Bill and
Melinda Gates Foundation (Khan et al., 2012). The project focused on specific
behaviours affecting neonatal and maternal health, such as antenatal check-ups,
childbirth conducted by trained birth attendants, exclusive breastfeeding, immu-
nizations, complementary feeding after six months, and other components of
childbirth and infant care. This was a “mixed methods study” on a massive scale.
(The analyses of the data and presentations of results are published separately for
the two states, so my comments here will deal only with some of the details from
Uttar Pradesh). M.E. Khan and his colleagues described:

The formative study used both quantitative and qualitative approaches to

collect data on the barriers and facilitating factors to each of the eight target
behaviours. In the quantitative study, a large sample survey was conducted
covering 4,754 households spread over 12 districts and 225 villages.... The
qualitative study generated comprehensive data to complement the infor-
mation gathered in the survey. The qualitative study documented the role
of family dynamics in influencing the adoption of the target behaviours, the
role of frontline health workers and the challenges they face in promoting
behaviour change, and the potential role of local private practitioners....
A total of 24 villages and 308 in-depth interviews ... were covered in the
qualitative study ...” (Khan et al., 2012:7)

That statement about the contents of quantitative and qualitative data makes
the intent of the qualitative component clear: to expand the programmatic under-
standing of factors that affect people’s decision-making regarding the interactions
of family members with health care providers. As far as I know, Dr. Khan and his
colleagues had not been aware of the discussions about “mixed methods” in the
North American research literature.
Another random document with
no related content on Scribd:
Smithers, John B. Steele, Wm. G. Steele, Stiles, Strouse, Stuart,
Sweat, Wadsworth, Ward, Wheeler, Chilton A. White, Joseph W.
White, Fernando Wood—60.
June 22—This bill was taken up in the Senate, when Mr.
Saulsbury moved this substitute:
That no person held to service or labor in one State, under the laws
thereof, escaping into another, shall, in consequence of any law or
regulation therein, be discharged from such service or labor, but
shall be delivered up on claim of the party to whom such service or
labor may be due; and Congress shall pass all necessary and proper
laws for the rendition of all such persons who shall so, as aforesaid,
escape.
Which was rejected—yeas 9, nays 29, as follows:
Yeas—Messrs. Buckalew, Carlile, Cowan, Davis, McDougall,
Powell, Richardson, Riddle, Saulsbury—9.
Nays—Messrs. Anthony, Brown, Chandler, Clark, Conness, Dixon,
Foot, Grimes, Hale, Harlan, Harris, Hicks, Howard, Howe, Johnson,
Lane of Indiana, Lane of Kansas, Morgan, Morrill, Pomeroy,
Ramsey, Sprague, Sumner, Ten Eyck, Trumbull, Van Winkle, Wade,
Willey—29.
Mr. Johnson, of Maryland, moved an amendment to substitute a
clause repealing the act of 1850; which was rejected—yeas 17, nays
22, as follows:
Yeas—Messrs. Buckalew, Carlile, Cowan, Davis, Harris, Hicks,
Johnson, Lane of Indiana, McDougall, Powell, Richardson, Riddle,
Saulsbury, Ten Eyck, Trumbull, Van Winkle, Willey—17.
Nays—Messrs. Anthony, Brown, Chandler, Clark, Conness, Dixon,
Fessenden, Foot, Grimes, Hale, Harlan, Howard, Howe, Lane of
Kansas, Morgan, Morrill, Pomeroy, Ramsey, Sprague, Sumner,
Wade, Wilson—22.
The bill then passed—yeas 27, nays 12, as follows:
Yeas—Messrs. Anthony, Brown, Chandler, Clark, Conness, Dixon,
Fessenden, Foot, Grimes, Hale, Harlan, Harris, Hicks, Howard,
Howe, Lane of Indiana, Lane of Kansas, Morgan, Morrill, Pomeroy,
Ramsey, Sprague, Sumner, Ten Eyck, Trumbull, Wade, Wilson—27.
 Nays—Messrs. Buckalew, Carlile, Cowan, Davis, Johnson,
McDougall, Powell, Richardson, Riddle, Saulsbury, Van Winkle,
Willey—12.
Abraham Lincoln, President, approved it, June 28, 1864.
 Seward as Secretary of State.

Wm. H. Seward was a master in diplomacy and Statecraft, and to

his skill the Unionists were indebted for all avoidance of serious
foreign complications while the war was going on. The most notable
case coming under his supervision was that of the capture of Mason
and Slidell, by Commodore Wilkes, who, on the 8th of November,
1861, had intercepted the Trent with San Jacinto. The prisoners were
Confederate agents on their way to St. James and St. Cloud. Both had
been prominent Senators, early secessionists, and the popular
impulse of the North was to hold and punish them. Both Lincoln and
Seward wisely resisted the passions of the hour, and when Great
Britain demanded their release under the treaty of Ghent, wherein
the right of future search of vessels was disavowed, Seward yielded,
and referring to the terms of the treaty, said:
“If I decide this case in favor of my own Government, I must
disavow its most cherished principles, and reverse and forever
abandon its essential policy. The country cannot afford the sacrifice.
If I maintain those principles and adhere to that policy, I must
surrender the case itself.”
The North, with high confidence in their President and Cabinet,
readily conceded the wisdom of the argument, especially as it was
clinched in the newspapers of the day by one of Lincoln’s homely
remarks: “One war at a time.” A war with Great Britain was thus
happily avoided.
With the incidents of the war, however, save as they affected
politics and politicians, this work has little to do, and we therefore
pass the suspension of the writ of habeas corpus, which suspension
was employed in breaking up the Maryland Legislature and other
bodies when they contemplated secession, and it facilitated the arrest
and punishment of men throughout the North who were suspected of
giving “aid and comfort to the enemy.” The alleged arbitrary
character of these arrests caused much complaint from Democratic
Senators and Representatives, but the right was fully enforced in the
face of every form of protest until the war closed. The most
prominent arrest was that of Clement L. Vallandigham, member of
Congress from Ohio, who was sent into the Southern lines. From
thence he went to Canada, and when a candidate for Governor in
Ohio, was defeated by over 100,000 majority.
 Financial Legislation—Internal Taxes.

The Financial legislation during the war was as follows:

1860, December 17—Authorized an issue of $10,000,000 in
Treasury notes, to be redeemed after the expiration of one year
from the date of issue, and bearing such a rate of interest as may be
offered by the lowest bidders. Authority was given to issue these
notes in payment of warrants in favor of public creditors at their par
value, bearing six per cent. interest per annum.
1861, February 8—Authorized a LOAN of $25,000,000, bearing
interest at a rate not exceeding six per cent. per annum, and
reimbursable within a period not beyond twenty years nor less than
ten years. This loan was made for the payment of the current
expenses, and was to be awarded to the most favorable bidders.
March 2—Authorized a LOAN of $10,000,000, bearing interest at a
rate not exceeding six per cent. per annum, and reimbursable after
the expiration of ten years from July 1, 1861. In case proposals for the
loan were not acceptable, authority was given to issue the whole
amount in Treasury notes, bearing interest at a rate not exceeding
six per cent. per annum. Authority was also given to substitute
Treasure notes for the whole or any part of the loans for which the
Secretary was by law authorized to contract and issue bonds, at the
time of the passage of this act, and such treasury notes were to be
made receivable in payment of all public dues, and redeemable at
any time within two years from March 2, 1861.
March 2—Authorized an issue, should the Secretary of the
Treasury deem it expedient, of $2,800,000 in coupon BONDS, bearing
interest at the rate of six per cent. per annum, and redeemable in
twenty years, for the payment of expenses incurred by the Territories
of Washington and Oregon in the suppression of Indian hostilities
during the year 1855–’56.
 July 17—Authorized a loan of $250,000,000, for which could be
issued BONDS bearing interest at a rate not exceeding 7 per cent. per
annum, irredeemable for twenty years, and after that redeemable at
the pleasure of the United States.
Treasury notes bearing interest at the rate of 7.30 per cent. per
annum, payable three years after date; and
United States NOTES without interest, payable on demand, to the
extent of $50,000,000. (Increased by act of February 12, 1862, to
$60,000,000.)
The bonds and treasury NOTES to be issued in such proportions of
each as the Secretary may deem advisable.
August 5—Authorized an issue of BONDS bearing 6 per cent.
interest per annum, and payable at the pleasure of the United States
after twenty years from date, which may be issued in exchange for
7.30 treasury notes; but no such bonds to be issued for a less sum
than $500, and the whole amount of such bonds not to exceed the
whole amount of 7.30 treasury notes issued.
February 6, 1862—Making $50,000,000 of notes, of
denominations less than $5, a legal tender, as recommended by
Secretary Chase, was passed January 17, 1862. In the House it
received the votes of the Republicans generally, and 38 Democrats.
In the Senate it had 30 votes for to 1 against, that of Senator Powell.
1862, February 25—Authorized the issue of $15,000,000 in legal
tender United States NOTES, $50,000,000 of which to be in lieu of
demand notes issued under act of July 17, 1861, $500,000,000 in 6
per cent. bonds, redeemable after five years, and payable twenty
years from date, which may be exchanged for United States notes,
and a temporary loan of $25,000,000 in United States notes for not
less than thirty days, payable after ten days’ notice at 5 per cent.
interest per annum.
March 17—Authorized an increase of TEMPORARY LOANS of
$25,000,000, bearing interest at a rate not exceeding 5 per cent. per
annum.
July 11—Authorized a further increase of TEMPORARY LOANS of
$50,000,000, making the whole amount authorized $100,000,000.
March 1—Authorized an issue of CERTIFICATES OF INDEBTEDNESS,
payable one year from date, in settlement of audited claims against
the Government. Interest 6 per cent. per annum, payable in gold on
those issued prior to March 4, 1863, and in lawful currency on those
issued on and after that date. Amount of issue not specified.
1862, July 11—Authorized an additional issue of $150,000,000
legal tender NOTES, $35,000,000 of which might be in
denominations less than five dollars. Fifty million dollars of this
issue to be reserved to pay temporary loans promptly in case of
emergency.
July 17—Authorized an issue of NOTES of the fractional part of one
dollar, receivable in payment of all dues, except customs, less than
five dollars. Amount of issue not specified.
1863, January 17—Authorized the issue of $100,000,000 in
United States NOTES for the immediate payment of the army and
navy; such notes to be a part of the amount provided for in any bill
that may hereafter be passed by this Congress. The amount in this
resolution is included in act of March 3, 1863.
March 3—Authorized a LOAN of $300,000,000 for this and
$600,000,000 for next fiscal year, for which could be issued bonds
running not less than ten nor more than forty years, principal and
interest payable in coin, bearing interest at a rate not exceeding 6 per
cent. per annum, payable on bonds not exceeding $100, annually,
and on all others semi-annually. And Treasury notes (to the
amount of $400,000,000) not exceeding three years to run, with
interest not over 6 per cent. per annum, principal and interest
payable in lawful money, which may be made a legal tender for their
face value, excluding interest, or convertible into United States notes.
And a further issue of $150,000,000 in United States NOTES for the
purpose of converting the Treasury notes which may be issued under
this act, and for no other purpose. And a further issue, if necessary,
for the payment of the army and navy, and other creditors of the
Government, of $150,000,000 in United States NOTES, which amount
includes the $100,000,000 authorized by the joint resolution of
Congress, January 17, 1863. The whole amount of bonds, treasury
notes, and United States notes issued under this act not to exceed the
sum of $900,000,000.
March 3—Authorized to issue not exceeding $50,000,000 in
FRACTIONAL CURRENCY, (in lieu of postage or other stamps,)
exchangeable for United States notes in sums not less than three
dollars, and receivable for any dues to the United States less than five
dollars, except duties on imports. The whole amount issued,
including postage and other stamps issued as currency, not to exceed
$50,000,000. Authority was given to prepare it in the Treasury
Department, under the supervision of the Secretary.
1864, March 3—Authorized, in lieu of so much of the loan of
March 3, 1863, a LOAN of $200,000,000 for the current fiscal year,
for which may be issued bonds redeemable after five and within forty
years, principal and interest payable in coin, bearing interest at a rate
not exceeding 6 per cent. per annum, payable annually on bonds not
over $100, and on all others semi-annually. These bonds to be
exempt from taxation by or under State or municipal authority.
1864, June 30—Authorized a LOAN of $400,000,000, for which
may be issued bonds, redeemable after five nor more than thirty
years, or if deemed expedient, made payable at any period not more
than forty years from date—interest not exceeding six per cent. semi-
annually, in coin.
Pending the loan bill of June 22, 1862, before the House in
Committee of the Whole, and the question being on the first section,
authorizing a loan of $400,000,000, closing with this clause:
And all bonds, Treasury notes, and other obligations of the United
States shall be exempt from taxation by or under state or municipal
authority.
There was a sharp political controversy on this question, but the
House finally agreed to it by 77 to 71. Party lines were not then
distinctly drawn on financial issues.

INTERNAL TAXES.

The system of internal revenue taxes imposed during the war did
not evenly divide parties until near its close, when Democrats were
generally arrayed against these taxes. They cannot, from the record,
be correctly classed as political issues, yet their adoption and the
feelings since engendered by them, makes a brief summary of the
record essential.
 First Session, Thirty-Seventh Congress.

The bill to provide increased revenue from imports, &c., passed the
House August 2, 1861—yeas 89, nays 39.
Same day, it passed the Senate—yeas 34, nays 8, (Messrs.
Breckinridge, Bright, Johnson, of Missouri, Kennedy, Latham, Polk,
Powell, Saulsbury.)[24]
 Second Session, Thirty-Seventh Congress.

The Internal Revenue Act of 1862.

1862, April 8—The House passed the bill to provide internal
revenue, support the Government, and pay interest on the public
debt—yeas 126, nays 15. The Nays were:
Messrs. William Allen, George H. Browne, Buffinton, Cox,
Kerrigan, Knapp, Law, Norton, Pendleton, Richardson, Shiel,
Vallandigham, Voorhees, Chilton A. White, Wickliffe—15.
June 6—The bill passed in the Senate—yeas 37, nay 1, (Mr.
Powell.)
 First Session Thirty-Eighth Congress.

Internal Revenue Act of 1864.

April 28—The House passed the act of 1864—yeas 110, nays 39.
The Nays were:
Messrs. James C. Allen, William J. Allen, Ancona, Brooks,
Chanler, Cox, Dawson, Denison, Eden, Eldridge, Finck, Harrington,
Benjamin G. Harris, Herrick, Philip Johnson, William Johnson,
Knapp, Law, Le Blond, Long, Marcy, McDowell, McKinney, James
R. Morris, Morrison, Noble, John O’Neil, Pendleton, Perry,
Robinson, Ross, Stiles, Strouse, Stuart, Voorhees, Ward, Chilton A.
White, Joseph W. White, Fernando Wood—39.
June 6—The Senate amended and passed the bill—yeas 22, nays 3,
(Messrs. Davis, Hendricks, Powell.)
The bill, as finally agreed upon by a Committee of Conference,
passed without a division.
 Second Session, Thirty-Seventh Congress.

Tariff Act of 1862.

In House—1862, July 1—The House passed, without a division, a
bill increasing temporarily the duties on imports, and for other
purposes.
July 8—The Senate passed it without a division.

THE TARIFF ACT OF 1864.

June 4—The House passed the bill—yeas 81, nays 28. The Nays
were:
Messrs. James C. Allen, Bliss, James S. Brown, Cox, Edgerton,
Eldridge, Finck, Grider, Harding, Harrington, Chas. M. Harris,
Herrick, Holman, Hutchins, Le Blond, Long, Mallory, Marcy,
McDowell, Morrison, Noble, Pendleton, Perry, Pruyn, Ross,
Wadsworth, Chilton A. White, Joseph W. White—28.
June 17—The Senate passed the bill—yeas 22, nays 5, (Messrs.
Buckalew, Hendricks, McDougall, Powell, Richardson.)
 Second Session, Thirty-Seventh Congress.

Taxes in Insurrectionary Districts, 1862.

1862, May 12—The bill for the collection of taxes in the
insurrectionary districts passed the Senate—yeas 32, nays 3, as
follows:
Yeas—Messrs. Anthony, Browning, Chandler, Clark, Davis, Dixon,
Doolittle, Fessenden, Foot, Foster, Harlan, Harris, Henderson,
Howe, King, Lane of Indiana, Lane of Kansas, Latham, McDougall,
Morrill, Nesmith, Pomeroy, Rice, Sherman, Sumner, Ten Eyck,
Trumbull, Wade, Wilkinson, Willey, Wilson, of Massachusetts,
Wright—32.
Nays—Messrs. Howard, Powell, Saulsbury—3.
May 28—The bill passed House—yeas 98, nays 17. The Nays were:
Messrs. Biddle, Calvert, Cravens, Johnson, Kerrigan, Law,
Mallory, Menzies, Noble, Norton, Pendleton, Perry, Francis
Thomas, Vallandigham, Ward, Wickliffe, Wood—17.
The Democrats who voted Aye were:
Messrs. Ancona, Baily, Cobb, English, Haight, Holman, Lehman,
Odell, Phelps, Richardson, James S. Rollins, Sheffield, Smith, John
B. Steele, Wm. G. Steele.

TAXES IN INSURRECTIONARY DISTRICTS, 1864.

In Senate, June 27—The bill passed the Senate without a division.

July 2—It passed the House without a division.
Many financial measures and propositions were rejected, and we
shall not attempt to give the record on these. All that were passed
and went into operation can be more readily understood by a glance
at our Tabulated History, in Book VII., which gives a full view of the
financial history and sets out all the loans and revenues. We ought
not to close this review, however, without giving here a tabulated
statement, from “McPherson’s History of the Great Rebellion,” of
 The Confederate Debt.

December 31, 1862, the receipts of the Treasury from the

commencement of the “Permanent Government,” (February 18,
1862,) were as follows:

RECEIPTS.

Patent fund $13,920 00

Customs 668,566 00
Miscellaneous 2,291,812 00
Repayments of disbursing officers 3,839,263 00
Interest on loans 26,583 00
Call loan certificates 59,742,796
00
One hundred million loan 41,398,286
00
Treasury notes 215,554,885
00
Interest bearing notes 113,740,000
00
War tax 16,664,513
00
Loan 28th of February, 1861 1,375,476 00
Coin received from Bank of Louisiana 2,539,799 00

Total $457,855,704
00
Total debt up to December 31, 1862 556,105,100
00
Estimated amount at that date necessary to support the 357,929,229
Government to July, 1868, was 00
 Up to December 31, 1862, the issues of the Treasury were:

Notes $440,678,510 00
Redeemed 30,193,479 50

Outstanding $410,485,030 50

From January 1, 1863, to September 30, 1863, the receipts of the

Treasury were:

For 8 per cent. stock $107,292,900 70

For 7 per cent. stock 38,757,650 70
For 6 per cent. stock 6,810,050 00
For 5 per cent. stock 22,992,900 00
For 4 per cent. stock 482,200 00
Cotton certificates 2,000,000 00
Interest on loans 140,210 00
War tax 4,128,988 97
Treasury notes 391,623,530 00
Sequestration 1,862,550 27
Customs 934,798 68
Export duty on cotton 8,101 78
Patent fund 10,794 04
Miscellaneous, including repayments by disbursing officers 24,498,217 93

Total $601,522,893 12
 EXPENDITURES DURING THAT TIME.

War Department $377,988,244 00

Navy Department 38,437,661 00
Civil, miscellaneous, etc. 11,629,278 00
Customs 56,636 00
Public debt 32,212,290 00
Notes cancelled and redeemed 59,044,449 00

Total expenditures $519,368,559 00

Total receipts 601,522,893 00

Balance in treasury $82,154,334 00

But from this amount is to be deducted the amount of all Treasury

notes that have been funded, but which have not yet received a true
estimation, $65,000,000; total remaining, $17,154,334.

CONDITION OF THE TREASURY, JANUARY 1, 1864.

Jan. 25—The Secretary of the Treasury (C. G. Memminger) laid

before the Senate a statement in reply to a resolution of the 20th,
asking information relative to the funded debt, to call certificates, to
non-interest and interest-bearing Treasury notes, and other financial
matters. From this it appears that, January, 1864, the funded debt
was as follows:
Act Feb. 28, 1861, 8 ⅌ cent., 15,000,000
00
Act May 16, 1861, 8 ⅌ cent., 8,774,900
00
Act Aug. 19, 1861, 8 ⅌ cent., 100,000,000
00
Act Apr. 12, 1862, 8 ⅌ cent., 3,612,300 00
Act Feb. 20, 1863, 8 ⅌ cent., 95,785,000
00
Act Feb. 20, 1863, 7 ⅌ cent., 63,615,750
00
Act Mar. 23, 1863, 6 ⅌ cent., 2,831,700 00
Act April 30, 1863 (cotton interest coupons) 8,252,000
00
$297,871,650
00
Call certificates 89,206,770 00
Non-interest bearing Treasury notes
outstanding:
Act May 16, 1861—Payable two years after 8,320,875
date 00
Act Aug. 19, 1861—General currency 189,719,251
00
Act Oct. 13, 1861—All denominations 131,028,366
50
Act March 23—All denominations 391,829,702
50
720,898,095
00

Interest-bearing Treasury notes outstanding 102,465,450 00

Amount of Treasury notes under $5,
outstanding Jan. 1, 1864, viz:
Act April 17, 1862, denominations of $1 and
$2 4,860,277 50
Act Oct. 13, 1862, $1 and $2 2,344,800
00
Act March 23, 1863, 50 cents 3,419,000
00
 Total under $5 10,424,077 50

Total debt, Jan. 1, 1864 $1,220,866,042

50

ITS CONDITION, MARCH 31, 1864.

The Register of the Treasury, Robert Tyler, gave a statement,

which appeared in the Richmond Sentinel after the passage of the
funding law, which gives the amount of outstanding non-interest-
bearing Treasury notes, March 31, 1864, as $796,264,403, as follows:

Act May 16, 1861—Ten-year notes $7,201,375 00

Act Aug. 19, 1861—General currency 154,365,631 00
Act Apr. 19, 1862—ones and twos 4,516,509 00
Act Oct. 18, 1862—General currency 118,997,321 50
Act Mar. 23, 1863—General currency 511,182,566 50

Total $796,264,403 00

He also publishes this statement of the issue of non-interest-

bearing Treasury notes since the organization of the “Confederate”
government:

Fifty cents $911,258 50

Ones 4,882,000 00
Twos 6,086,320 00
Fives 79,090,315 00
Tens 157,982,750 00
Twenties 217,425,120 00
Fifties 188,088,200 00

Total $973,277,363 50
 Confederate Taxes.

We also append as full and fair a statement of Confederate taxes as

can be procured, beginning with a summary of the act authorizing
the issue of Treasury notes and bonds, and providing a war tax for
their redemption:

THE TAX ACT OF JULY, 1861.

The Richmond Enquirer gives the following summary of the act

authorizing the issue of Treasury notes and bonds, and providing a
war tax for their redemption:
Section one authorizes the issue of Treasury notes, payable to
bearer at the expiration of six months after the ratification of a treaty
of peace between the Confederate States and the United States. The
notes are not to be of a less denomination than five dollars, to be re-
issued at pleasure, to be received in payment of all public dues,
except the export duty on cotton, and the whole issue outstanding at
one time, including the amount issued under former acts, are not to
exceed one hundred millions of dollars.
Section two provides that, for the purpose of funding the said
notes, or for the purpose of purchasing specie or military stores, &c.,
bonds may be issued, payable not more than twenty years after date,
to the amount of one hundred millions of dollars, and bearing an
interest of eight per cent. per annum. This amount includes the thirty
millions already authorized to be issued. The bonds are not to be
issued in less amounts than $100, except when the subscription is for
a less amount, when they may be issued as low as $50.
Section three provides that holders of Treasury notes may at any
time exchange them for bonds.