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What is Racial Formation Theory?

PhD, English Literature (Lancaster University)


Date Published: 08.04.2024,

Last Updated: 08.04.2024

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Definition

Racial formation theory puts forth that race is constructed and subject to change over time; it was developed by sociologists Michael Omi and Howard Winant. Their work Racial Formation in the United States seeks to understand how racial identity is created within specific sociohistorical contexts:

Omi and Winant go on to explore how these racial categories and hierarchies have been formed in the US and the social, political, cultural, and economic consequences of this categorization. 

Racial formation theory emerged as a response to the idea that we live in a post-racial society since the end of the civil rights movement:

The phrase “I just don’t see race” and its variations indicate we live in a “colorblind” society that has moved past racial prejudice. As scholar Patricia Hill Collins writes, 

Many critics have tended to see race as either objective (an essence or rooted in biological factors) or as an illusion (an ideological construct, something that masks a more fundamental material distinction or axis of identity). Omi and Winant, however, are critical of both positions: 

We can see that race still plays a significant role at economic, social, cultural, and political levels, as evident in the wealth gap between white and non-white people, mass incarceration, and redlining. As such, the suggestion that we live in a colorblind society undermines the discrimination suffered as a result of racialization, both current and historical. 

Omi and Winant argue that 

In this guide, we will explore the impact of racialization, historical concepts of race, the fluid nature of race, and how racial constructs and hierarchies are established and maintained in the US through racial projects. 


Racialization 

Omi and Winant begin their discussion of racial formation theory by presenting a concept of race which “emphasize[s] how the phenomic, the corporeal dimension of human bodies, acquires meaning in social life” (1986, [2014]). This means that the differences in phenotype (i.e., observable characteristics between races, such as skin color, hair texture, or facial structure) while “ocular” are “not necessarily seen or understood in the same consistent manner across time and place” (Omi and Winant, 1986, [2014]). While these physical attributes remain the same, the meaning placed upon those attributes changes based on sociohistorical context. This is known as racialization: “the extension of racial meaning to a previously racially unclassified relationship, social practice, or group” (Omi and Winant, 1986, [2014]). 

Through stereotypes, prejudice, and a range of political, historical, and social factors, race becomes more than phenotypes. Race takes on a social dimension and is used as a tool of oppression: “racial phenotypes such as black and white have been constructed and encoded through the language of race” (Omi and Winant, 1986, [2014]).

We can see this evident in racial profiling, which refers to suspecting or actively targeting a group or individual because of their race. 


Historical concepts of race

As racial formation is dependent upon historical context, our understanding of race has changed over time. Omi and Winant provide a survey to see how race has been conceptualised throughout history, revealing the “unstable and ambiguous character” of race (1986, [2014]). 

Racialized social structures, and discourses on racial difference, began to emerge when European colonizers arrived in the Americas as part of their imperialist ambitions. Here, not only did European explorers discover new resources and the opportunity for primitive accumulation, but they also encountered the indigenous people:

The “conquest of America” was “the advent of a consolidated social structure of exploitation, appropriation, domination, and signification. Its representation, first in religious terms, but later in scientific and political ones, initiated modern racial awareness” (Omi and Winant, 1986, [2014]). 

Imperialism solidified a new structure in which there was a struggle between perceptions of civilization and barbarism. It categorized racial groups, placing white Europeans as a master category of race. The need to classify and distinguish racial groups had begun to surface: 

Initially, distinctions between different racial groups were made based on phenotypes creating a biological understanding of race; visual appearance made categorization obvious and efficient. From this, we begin to see the emergence of biological understandings of race, in which phenotypical characteristics became signifiers of physical, moral, and intellectual development.  

 

Biological/scientific accounts of race

Biological accounts of race would, in the nineteenth century, see the emergence of scientific racism, i.e., the misuse of science to categorize people into distinct biological races, with the view of promoting the belief that certain races are superior. Examples of work from this era that either tout a scientific basis for racism, or have been used to justify such prejudices include Charles Darwin’s The Descent of Man and Selection in Relation to Sex (1871), and his cousin, eugenicist Francis Galton’s Hereditary Genius (1869). 

Following World War II, such views on race were largely discredited. As Karim Murji writes, 

For more on this, see our guide “What is Social Darwinism?

However, as Omi and Winant point out, biological concepts of race continue in science to an extent as a way to discern between different population groups, ultimately resulting in an “increasing re-biologization of race” (1986, [2014]). 


From biology to politics

There has been a shift from a biological to a political understanding of race, with Omi and Winant arguing that “race is now a preeminently political phenomenon”:

The influence of politics in racial formation is evident in the development of the racial categories in the US Census. In 1977, Directive 15 mandated that racial information was to be collected for statistical and administrative reporting, and civil rights compliance. The five categories were American Indian or Alaskan Native, Asian or Pacific Islander, Black, White, and Hispanic. However, as Omi and Winant argue, 

They go on to argue that such classifications are unstable and result in a gap between the state definitions and self-identification of these groups. (For more information, see Peter Skerry’s Counting on the Census?, 2000)


The fluidity of race 

As we can see from the examples throughout history, race is not a static category, but one which is dependent upon sociohistorical contexts: 

A key example of this is given by Karen Brodkin in her book How Jews Became White Folks and What that Says about Race in America (1998). Brodkin explains that prior to World War II, Jews were, like other immigrants in the US, subject to discrimination and denied citizenship. At the end of the war, however, this all changed:

As Brodkin argues, Jewish people in the US became, much like Irish or Italian immigrants, “assimilated” into US native culture and “became white” (1998, [2012]). This racial transformation is correlated with the affluence of the Jewish people:

This “more inclusive” version of whiteness was a reaction to the war against fascism and resulted in “Euro-immigrants and their children [becoming] more securely white by submersion in an expanded notion of whiteness” (1998, [2012]). 

As we can see here, the meaning and significance of race are subject to historical events (in this case World War II), shifts in political ideologies (such as fascism), and evolving definitions of class.

A further example of how race perception changes over time is shown in Chinese and Japanese Americans moving from being viewed as “unassimilable aliens” to a “model majority” in the 1940s and 1950s:

This movement towards becoming a model minority was done, in part, through Japanese and Chinese Americans “purposefully conforming to the norms of the white middle class” (Wu, 2013).


Race as a master category

While race is clearly an unstable category, its ability to shape and transform our political, cultural, social, and economic lives has remained consistent throughout history. Omi and Winant argue that race is, in fact, a master category, i.e., “a fundamental concept that has profoundly shaped, and continues to shape the history, polity, economic structure, and culture of the United States” (1986, [2014]). They go on to suggest that

Historically, European colonizers were able to create, transform, and contest racial categories. The violent suppression of marginalized groups in the name of colonization and imperialist expansion created “a template, a master frame” that laid the foundation for the continued discrimination of these groups (Omi and Winant, 1986, [2014]). Dominant groups today, Omi and Winant argue, continue to marginalize individuals and groups through their ability to create differential groups and categories which signal “otherness”:

Here we can see the influence of Antonio Gramsci, particularly his concept of hegemony, in which dominance is exerted over a subordinate group through both physical and ideological means. For example, while power can be obtained and maintained through forces such as the military, the more effective means of subjugating a group of people, according to Gramsci, is through infiltration into systems of education, politics, and the media. Subordinate groups, therefore, come to be ruled by both coercion and consent. 

The US racial system (or racial state), Omi and Winant suggest, is “encoded in law, organized through policy-making, and enforced by a repressive apparatus” (1986, [2014]). Change in the racial order only occurs through state-initiated reforms and programmes when the pre-existing systems begin to “decay” or lose their effectiveness in establishing and maintaining racial ideologies. For more information, see our guide “What is Critical Race Theory (CRT)?” 


Racial projects 

One way the US state inscribes racial meanings into social structures, thus controlling the perception of race, is through racial projects: 

Daniel Martinez HoSang, Oneka LaBennett, and Laura Pulido state that

Such projects operate at two levels: the ideological and the practical. This first level refers to interpreting, representing, and explaining racial identities and meanings, and the second level describes the efforts made to allocate resources along racial lines.

Racial projects can be both large-scale and small-scale, occurring at the micro and macro levels. The scope of racial projects is broad and can include how we notice race and make racial assumptions, taking part in a Black Lives Matter march and racial profiling. 

It is important to note that anyone can partake in a racial project, whether from a “dominant” or “subordinate” position: 

Omi and Winant further state that, 

A key example of a racial project which reproduced and extended preconceived racial stereotypes is the “war on drugs,” which began in the 1970s with President Richard Nixon declaring that drugs were “public enemy number one.”

The war on drugs involved increased funding and resources for drug control agencies. This campaign was developed and made more aggressive by President Ronald Reagan in the 1980s. However, as Michelle Alexander argues, this campaign was anything but neutral to race and racial biases already present in the US policing and judicial system led to Black and Latino men being disproportionately arrested (The New Jim Crow, 2010). In turn, this furthered the assumption that Black and Latino men were more likely to be engaging in drug use and crime more generally as they were overrepresented in prison populations. This, then served to ideologically justify further racial profiling and harsher prison sentences for Black and Latino offenders.

In Unequal Under Law, Doris Marie Provine explains that, 

Moreover, as Provine points out, the amount spent between 1987 and 1998 rose from $6 billion to $20 billion; two-thirds of this money went to costs associated with policing, the judicial process, and imprisonment, with only one-third being allocated to prevention and treatment. The war on drugs solidified representations of Black and Latino men as criminal, violent, and a threat to white, middle-class America. 


Criticisms 

In “On the Specificities of Racial Formation,” Roderick A. Ferguson, whilst acknowledging the “undeniable power of the book’s argument about the significance of the race-based movements,” highlights some shortcomings of Omi and Winant’s work. Ferguson writes, 

The theory has been seen as neglecting the global dimensions of race formation by only focusing on the US and Europe. For example, in A Global Racial Enemy, which examines the racialization of Muslims across the globe, Saher Selod, Inaash Islam, and Steve Garner argue that Omi and Winant’s definition of racialization is limited:

They argue instead that racialization does not refer to groups gaining a new racial classification, “but that they are encountering racism and racist structures” (Selod, Islam, and Garner, 2023). 

In addition, Joe R. Feagin criticizes the theory for not paying enough attention to ongoing, systemic racism:

In “Masking Legitimized Racism,” Dwanna L. McKay argues that, although Omi and Winant’s work focuses on the racial politics of several racial groups, it “only mentions Indigenous Peoples very briefly,” despite the fact that Racial Formation in the United States was written in “an era of dynamic racial contestation between the Indians and the federal government” (in Seeing Race Again, 2019).

Eduardo Bonilla-Silva highlights further issues in his work White Supremacy and Racism in the Post-Civil Rights Era (2001), including “overemphasis on ideological processes'' at the expense of explaining how racial orders are structured and its lack of clarity as to“why people fight over racial matters and why they endorse or contest racial projects” (2001). Moreover, Bonilla-Silvia explains that the theory comes close to “race-reductionism” by solely looking at the racial state and ignoring the influence of capitalism and patriarchy. Despite this, Bonilla-Silva praises Omi and Winant, and acknowledges that Racial Formation in the United States has inspired“the most radical writing on race in the 1990s” (2001). 


Racial formation theory today

The numerous revisions of Racial Formation in the United States, the third having been published in 2014, attests to the continuing relevance of its core concepts for those working in critical race studies and beyond. Moreover, this updated version acknowledges previous criticism and, while retaining its core thesis, incorporates examples from the twenty-first century, reflecting upon how immigration, the “war on terror,” and theories of  intersectionality (such as intersectional feminism) have impacted our understanding of racial formation. 

To conclude, let’s turn to Omi and Winant’s reflections about how the core principles of racial formation theory manifest in the US today: 

Further reading on Perlego 

White by Law (2006) by Ian Haney López

Color Matters: Skin Tone Bias and the Myth of a Postracial America (2013) by Kimberley Jane Norwood 

The Invention of Race: Scientific and Popular Representations (2014) edited by Nicolas Bancel, Thomas David, and Dominic Thomas

Bibliography 

Alexander, M. (2010) The New Jim Crow: Mass Incarceration in the Age of Colorblindness. The New Press. 

Bonilla-Silva, E. (2001) White Supremacy and Racism in the Post-Civil Rights Era. Lynne Rienner Publishers.

Brodkin, K. (2012) “How Did Jews Become White Folks,” in Fine, M., Weis, L., Powell Pruitt, L., and Burns, A. (eds.) Off White: Readings on Power, Privilege, and Resistance. Routledge. Available at: 

https://www.perlego.com/book/1612229/off-white-readings-on-power-privilege-and-resistance 

Darwin, C. (2012) The Descent of Man and Selection in Relation to Sex. Barnes & Noble. Available at: https://www.perlego.com/book/3716135/descent-of-man-and-selection-in-relation-to-sex-barnes-noble-digital-library-and-selection-in-relation-to-sex-pdf 

Feagin, J. R. (2013) Systemic Racism: A Theory of Oppression. Routledge. Available at: 

https://www.perlego.com/book/1549720/systemic-racism-a-theory-of-oppression 

Ferguson, R. A. (2012) “On the Specificities of Racial Formation,” in Martinez HoSang, D., LaBennett, O., and Pulido, L. (eds) Racial Formation in the Twenty-First Century. University of California Press. Available at: 

https://www.perlego.com/book/552441/racial-formation-in-the-twentyfirst-century 

Galton, F. (2012) Hereditary Genius: An Inquiry Into Its Laws and Consequences. Barnes & Noble. Available at: https://www.perlego.com/book/3715982/hereditary-genius-barnes--noble-digital-library-an-inquiry-into-its-laws-and-consequences-pdf 

Hill Collins, P. (2019) Intersectionality as Critical Social Theory. Duke University Press Books. Available at: 

https://www.perlego.com/book/1466445/intersectionality-as-critical-social-theory 

Martinez HoSang, D., LaBennett, O., and Pulido, L. (eds) (2012) Racial Formation in the Twenty-First Century. University of California Press. Available at: 

https://www.perlego.com/book/552441/racial-formation-in-the-twentyfirst-century 

McKay, D. L. (2019) “Masking Legitimized Racism: Indigeneity, Colorblindness, and the Sociology of Race” in Crenshaw, K. W. et al (eds.) Seeing Race Again: Countering Colorblindness across the Disciplines. University of California Press. Available at: 

https://www.perlego.com/book/866636/seeing-race-again-countering-colorblindness-across-the-disciplines 

Murji, K. (2017) Racism, Policy and Politics. Polity Press. Available at: 

https://www.perlego.com/book/1658064/racism-policy-and-politics 

Omi, M. and Winant, H. (2014) Racial Formation in the United States. Routledge. Available at: 

https://www.perlego.com/book/2192487/racial-formation-in-the-united-states 

Provine, D. M. (2008) Unequal Under Law: Race in the War on Drugs. University of Chicago Press. Available at: 

https://www.perlego.com/book/1840562/unequal-under-law-race-in-the-war-on-drugs 

Selod, S., Islam, I., and Garner, S. (2023) A Global Racial Enemy: Muslims and 21st-Century Racism. Polity. Available at: 

https://www.perlego.com/book/4304708/a-global-racial-enemy-muslims-and-21stcentury-racism-pdf 

Skerry, P. (2000) Counting on the Census? Race, Group Identity, and the Evasion of Politics

Brookings Institution Press. Available at: 

https://www.perlego.com/book/961819/counting-on-the-census-race-group-identity-and-the-evasion-of-politics 

Wu, E. D. (2013) The Color of Success: Asian Americans and the Origins of the Model Minority. Princeton University Press. Available at: 

https://www.perlego.com/book/735900/the-color-of-success-asian-americans-and-the-origins-of-the-model-minority 

PhD, English Literature (Lancaster University)

Sophie Raine has a PhD from Lancaster University. Her work focuses on penny dreadfuls and urban spaces. Her previous publications have been featured in VPFA (2019; 2022) and the Palgrave Handbook for Steam Age Gothic (2021) and her co-edited collection Penny Dreadfuls and the Gothic was released in 2023 with University of Wales Press.