Not one but several ‘peculiar institutions’ have successively operated to define, confine, and control African-Americans in the history of the United States. The first is chattel slavery as the pivot of the plantation economy and inceptive matrix of racial division from the colonial era to the Civil War. The second is the Jim Crow system of legally enforced discrimination and segregation from cradle to grave that anchored the predominantly agrarian society of the South from the close of Reconstruction to the Civil Rights revolution which toppled it a full century after abolition. America’s third special device for containing the descendants of slaves in the Northern industrial metropolis is the ghetto, corresponding to the conjoint urbanization and proletarianization of African-Americans from the Great Migration of 1914–30 to the 1960s, when it was rendered partially obsolete by the concurrent transformation of economy and state and by the mounting protest of blacks against continued caste exclusion, climaxing with the explosive urban riots chronicled in the Kerner Commission Report.footnote¹

The fourth, I contend here, is the novel institutional complex formed by the remnants of the dark ghetto and the carceral apparatus with which it has become joined by a linked relationship of structural symbiosis and functional surrogacy. This suggests that slavery and mass imprisonment are genealogically linked and that one cannot understand the latter—its timing, composition, and smooth onset as well as the quiet ignorance or acceptance of its deleterious effects on those it affects—without returning to the former as historic starting point and functional analogue.

Viewed against the backdrop of the full historical trajectory of racial domination in the United States (summed up in Table 1), the glaring and growing ‘disproportionality’ in incarceration that has afflicted African-Americans over the past three decades can be understood as the result of the ‘extra-penological’ functions that the prison system has come to shoulder in the wake of the crisis of the ghetto and of the continuing stigma that afflicts the descendants of slaves by virtue of their membership in a group constitutively deprived of ethnic honour (Max Weber’s Massehre).

Not crime, but the need to shore up an eroding caste cleavage, along with buttressing the emergent regime of desocialized wage labour to which most blacks are fated by virtue of their lack of marketable cultural capital, and which the most deprived among them resist by escaping into the illegal street economy, is the main impetus behind the stupendous expansion of America’s penal state in the post-Keynesian age and its de facto policy of ‘carceral affirmative action’ towards African-Americans.footnote²

America’s first three ‘peculiar institutions’, slavery, Jim Crow, and the ghetto, have this in common: they were all instruments for the conjoint extraction of labour and social ostracization of an outcast group deemed unassimilable by virtue of the indelible threefold stigma it carries. African-Americans arrived under bondage in the land of freedom. They were accordingly deprived of the right to vote in the self-appointed cradle of democracy (until 1965 for residents of the Southern states). And, for lack of a recognizable national affiliation, they were shorn of ethnic honour, which implies that, rather than simply standing at the bottom of the rank ordering of group prestige in American society, they were barred from it ab initio.footnote³

1. Slavery (1619–1865). Slavery is a highly malleable and versatile institution that can be harnessed to a variety of purposes, but in the Americas property-in-person was geared primarily to the provision and control of labour.footnote⁴ Its introduction in the Chesapeake, Middle Atlantic and Low Country regions of the United States in the 17th century served to recruit and regulate the unfree workforce forcibly imported from Africa and the West Indies to cater to their tobacco, rice and mixed-farming economy. (Indentured labourers from Europe and native Indians were not enslaved because of their greater capacity to resist and because their servitude would have impeded future immigration as well as rapidly exhausted a limited supply of labour.) By the close of the 18th century, slavery had become self-reproducing and expanded to the fertile crescent of the Southern interior, running from South Carolina to Louisiana, where it supplied a highly profitable organization of labour for cotton production and the basis for a plantation society distinctive for its feudal-like culture, politics, and psychology.footnote⁵

An unforeseen by-product of the systematic enslavement and dehumanization of Africans and their descendants on North American soil was the creation of a racial caste line separating what would later become labelled ‘blacks’ and ‘whites.’ As Barbara Fields has shown, the American ideology of ‘race’, as putative biological division anchored by the inflexible application of the ‘one-drop rule’ together with the principle of hypodescent, crystallized to resolve the blatant contradiction between human bondage and democracy.footnote⁶ The religious and pseudo-scientific belief in racial difference reconciled the brute fact of unfree labor with the doctrine of liberty premised on natural rights by reducing the slave to live property—three-fifths of a man according the sacred scriptures of the Constitution.