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A/494871 Richard Blanton • LaneFargher Collective Action in the Formation of Pre-Modern States YA Springer

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Page 1: Collective Action in the Formation of Pre-Modern States · Collective Action in the Formation of Pre-Modern States ... Buganda 45 Bakitara 46 ... Administrative Hierarchical Complexity

A/494871

Richard Blanton • LaneFargher

Collective Action in theFormation of Pre-ModernStates

YA Springer

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Contents

1 Introduction 1

A Gap Between Anthropology and Political Science 1Steps Toward a More Integrated Theory 2Validity and Replicability 3Is Collective Action More or Less Likely to Develop in SomeCivilizations Than Others, or in Some TimePeriods More Than in Others? 3Final Thoughts 4

2 Rethinking the Role of Agency in Political Evolution 5

Is Agency Universal? 5Two Pathways to State Formation 6

Marx and Neoevolutionist Theory 8Pre-Modern States in the Neoevolutionist View 8

Bringing Agency Back to Political Theory 10

3 The Social Actor in Collective Action 12

Basic Ideas of Collective Action Theory 12Is Collective Action Theory Similar to Functionalism? 13Additional Problems With Functionalism 13

What Causes Collective States? 14Problems With Essentializing and Categorizing 14

Introduction to the Rational Social Actor 15Taxpayer Rationality 17

The Moral Basis of Compliance 17Compliance and Public Goods 18The Free Riding Problem 18

The Rationality of Rulers 19Achieving Quasi-Voluntary Compliance 20The Power of Principals in More Collective States 21

Developing a Research Program to Evaluate CollectiveAction Theory 22

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x Contents

4 Selecting a Sample of Societiesfor Comparative Coding .' 25

The Large-N, Small-N Dilemma 25Sample Selection 26Coding Sources and Procedures 28The Sample and the Focal Periods 29

5 Archaeological and Historical Contextsfor the Coded Societies 33

Introduction to Sub-Saharan Africa 34The Influence of Islam 36Secondary State Formation 36Growth Phases in World-System Interaction and State Formation.... 37Sub-Saharah Africa and Neoevolutionist Theory 38

Local Histories of the Sub-Saharan African Societies 40Nupe 40Yoruba, Oyo Empire 41Asante 42Bagirmi 43Kuba 44Tio 44Buganda 45Bakitara 46Lozi 47Swahili Lamu 47

Introduction to Southeast Asia 48Southeast Asia and the Literature of Political Evolution 49From Diffusionist Theory to Endogenous Evolutionary Process 51The Contribution of Archaeology 51Social Causation and Diversity in Southeast Asian States 52Long-Term Change and the Evolution of Second MillenniumPolities 53Growth of Bureaucracy in the Postclassic 54

Local Histories of the Southeast Asian Societies 56Thai, or Kingdom of Siam 56Burma 56Bali 57Aceh 57Perak 58Java 59

Introduction to South Asia 60Phase 1. Indus Valley Tradition (First Urbanism Phase)(2600 BCE to 1900 BCE) (Figure 5-3) 61

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Phase 2. Indo-Gangetic Vedic Period and Early Historic(Later Vedic) Period (Second Urbanism Phase)(somewhat before 1000 BCE to 300 BCE) 62Phase 3. First Integration Phase (ca. 322 BCE to ca. CE 500)The Mauryan and Gupta Empires 66Phase 4. Kingdoms of Medieval South India (ca. CE 500 to 1565) . . . 68Phase 5. Second Integration Phase: MughalEmpire (CE 1556 to ca. 1700) 73

Introduction to East Asia 74Diverse Pathways to Social Complexity and the State in China 75Imperial-Scale Political Integration 77Social, Cultural, and Economic Change After the Shang Dynasty. . . . 78The Confucian Critique of Aristocratic Privilege 79Long-Term Change Agricultural Change and State Evolution 80Military Costs and Manorialism 81

Local Histories of The East Asian Societies 82Ming Dynasty 82Japan 83Tibet 85

Introduction to Western Eurasia, the Mediterranean,and North Africa 86

Theory Development 87The Collapse of Neoevolutionist Theory 88A Need for New Theory 89Beyond Neoevolutionism: Bringing More People Into Governance... 90

Local Histories of the Coded Societies 92Egypt 92Athens 94Roman Empire 98Venice 102England 103Ottoman Empire 105

New World Societies 107Background to Aztec State Formation 108History of the Aztec Polity 109History of Central Andean State Formation 110Inca I l l

Revenue Sources 112

Operationalizing Internal and External Revenues 113Summary of Revenue Sources 114Coding Summary 117

Nupe (External) 117Yoruba (External) 117Asante (Mixed) 117

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Bagirmi (External) 117Kuba (External) 118Tio (External) 118Buganda (Mixed) 118Bakitara (External) 118Lozi (Mixed) 118Swahili Lamu (External) 119Thailand (Internal) 119Burma (Internal) 119Bali (External) 120Aceh (External) 120Perak (External) 121Java (Internal) 121Vijayanagara (Mixed) 121Pudukkottai (Mixed) 122Mughal (Internal) 122China (Internal) 123Japan (External) 124Tibet (Internal) 124Egypt (External) 125Athens (Mixed) 125Roman Empire (Internal) 126Venice (Internal) 128England (External) 128Ottoman Empire (External) 129Aztec (Internal) 130Inca (Mixed) 131

7 Public Goods 133

The Special Problem of sub-Saharan Africa 137Public Goods as an Aggregate Scale Variable 137Summary of Public Goods Data 138

Nupe (10) 138Yoruba (16) 138Asante (18.5) 140Bagirmi (13) 140Kuba (13.5) 141Tio (12.5) 141Buganda (15.5) 141Bakitara (10) 142Lozi (22) 142Swahili Lamu (10) 143Thailand (18.5) 143Burma (20) 144

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Bali (14) 144Aceh (10) ' 145Perak (12.5) 146Java (18.5) 146Vijayanagara (18) 147Pudukkottai (17) 147Mughal (23.5) 148China (22) 149Japan (16.5) 151Tibet (19.5) 152Egypt (20) 153Athens (20) 154Rome (24) 155Venice (21) 157England (11) 159Ottoman (16) 160Aztec (21) 161Inca (22) 163

8 Bureaucratization 165

Max Weber and Bureaucracy 165Bureaucracy Versus Bureaucratization 166The Bureaucratization Measure 167Assessing the Bureaucratization Measure 169Summary of the Bureaucratization Data 171

Nupe (7.5) 171Yoruba (9.5) 171Asante (10.5) 172Bagirmi (8.5) 173Kuba (10) 174Tio (6) 175Buganda (11) 175Bakitara (6.5) 176Lozi (12) 176Swahili Lamu (11.5) 177Thai (8) 177Burma (12) 178Bali (6) 179Aceh (6) 179Perak (5.5) 180Java (10) 180Vijayanagara (9.5) 181Pudukkottai (7) 182Mughal (12) 182

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China (14.5) 184Japan (7) ' 187Tibet (8.5) 188Egypt (10) 189Athens (14) 190Roman Empire (12) 192Venice (14) 195England (8.5) 196Ottoman (9.5) 197Aztec (11.5) 200Inca (10) 201

9 Modes of Control of Principals 203

The Principal Control Scale Measure 203Assessing the Principal Control Scale 206

Summary of Principal Control Data 207Nupe (8) 207Yoruba (11) 207Asante (15.5) 208Bagirmi (6) 210Kuba (8.5) 211Tio (8.5) 212Buganda (10.5) 212Bakitara (7) 214Lozi (15) 215Swahili Lamu (14.5) 216Thailand (9.5) 217Burma (9) 218Bali (8) 218Aceh (9) 219Perak (7.5) 220Java (9.5) 221Vijayanagara (9.5) 222Pudukkottai (7.5) 224Mughal (9.5) 224China (14.5) 227Japan (8) 230Tibet (6) 231Egypt (18) 232Athens (18) 233Rome (12) 237Venice (16.5) 240England (8.5) 241Ottoman (9) 242

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Aztec (12.5) 246Inca (.8) ' 248

10 Theory Testing and a Question: Is StateFormation a Product of Rational Choiceor Symbolic Structure? 249

Summary of Project Goals and Methods 249Main Results of the Analysis 250

"Resource" as a Dichotomized Revenue Measure 250Statistical Evaluation of Collective Action Theory 251Were Taxpayers More Compliant in the More Collective States? . . . . 253Validity and Reliability of the Research Results 253The "Main Model" of Collective Action 253What Determines Revenue Sources? 254

Cultural Code or Rational Actors in the Evolutionof More Collective States? 256

Stepwise Regression Analysis 256The Influence of Islam, Hinduism, and Buddhismon Collective Action 257Comparing Geographical Regions 260Comments on the Group Comparisons 264Concluding Thoughts 264

11 Collective Action Processes at World-Economy,Polity, and Community Scales 266

Social Action at the World-Economy Scale and its Consequencesfor Collective Action 266

The Impact of World-Economies on the Coded Societies 267Analysis 268A Partial Theory of Variation in Principal Control 269Final Thoughts on How to Theorize Principal Control 271

Collective Action Process at the Regional Scale 272A Method for Testing Hypotheses About Exit 273Analysis of the Exit Opportunity Data 273Exit Opportunity, Collective Action, and Polity Scale 274Scale Effects of Population Size 275Scalar Stress and Collective Action 276Administrative Hierarchical Complexity and Collective Action 277Collective Action and Territorial Size 277More on Collective Action and Population Size 278

Market, Community, and Household in the Evolutionof Collective Action 280

Rural Market Systems 281Community and Household in the Evolution of Collective Action . . . 282

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Do Socially Complex Basal Organizations Inhibit or PromoteCollective Action? : 283Is Collective Action in Common-Property Managementa Model for How Collective States are Constructed? 283State Formation and Irrigation 285Do Collective States Reorganize the Base of Society? 285Concluding Thoughts 287

12 Collective Action and Political Evolution 290

Is Collective Action Found in the Very Earliest States? 290Do The "Axial Age Civilizations" Represent a ProgressiveTransitional Phase from the "Pagan" Civilizationsto the Modern Democracies? 291Was There an Evolutionary Transformation from the Autocracyof the Pre-modern Polities to the Modern Democracies? 294

The Transition to Modernity 295Indicators of Modernity 295Conclusion 298

Final Thoughts 298

Appendix 1 Variables and Coded Data for the ExitOpportunity Variables 300

Appendix 2 Material and Social Backgroundto the Coded Societies 302

Nupe (Figure A2-1) 302Environment, Agriculture, and Area (14,100sq. km) 302Rural Society and Culture 302Market System 303Geography 304Population 304World-Economy Linkages 304

Yoruba (Figure A2-2) 304Environment, Agriculture, and Area (46,500 sq. km) 304Rural Society and Culture 305Market System 306Geography 306Population 307World-Economy Linkages 307

Asante (Figure A2-3) 308Environment, Agriculture, and Area (161,000sq. km) 308Rural Society and Culture 309Market System 309Geography 310

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Population 310World-Economy Linkages .' 311

Bagirmi (Figure A2-4) 311Environment, Agriculture, and Area (the core is 40,000sq. km,and the tributary zone is another ca. 70,000 sq. km) 311Rural Society and Culture 312Market System 313Geography 313Population 314World-Economy Linkages 314

Kuba (Figures A2-5 and A2-6) 314Environment, Agriculture, and Area (ca. 17,800sq. km) 314Rural Society and Culture 315Market System 316Geography 316Population 316World-Economy Linkages 317

Tio (Figure A2-6) 317Environment, Agriculture, and Area (77,602 sq.km) 317Rural Society and Culture 318Market System 319Geography 319Population 319World-Economy Linkages 319

Buganda (Figure A2-7) 320Environment, Agriculture, and Area (30,000 sq. km) 320Rural Society and Culture 321Market System 321Geography 322Population 322World-Economy Linkages 322

Bakitara (the polity's location is indicated in Figure A2-7) 324Environment, Agriculture, and Area (12,264 sq. km) 324Rural Society and Culture 324Market System 324Geography 325Population 325World-Economy Linkages 325

Lozi (Figure A2-8) 325Environment, Agriculture, and Area (ca. 475,000 sq. km) 325Rural Society and Culture 327Market System 327Geography 327Population 328World-Economy Linkages 328

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Swahili Lamu (Figure A2-9) 329Environment, Agriculture, and Area (360 sq. km) 329Rural Society and Culture 330Market System 330Geography 331Population 331World-Economy Linkages 331

Thailand (Figure A2-10) 332Environment, Agriculture, and Area (518,000sq. km) 332Rural Society and Culture 332Market System 332Geography 333Population 334World-Economy Linkages 334

Burma (Figure A2-11) 334Environment, Agriculture, and Area (181,000sq. km) 334Rural Society and Culture 336Market System 336Geography 337Population 337World-Economy Linkages 337

Bali (Figure A2-12) 338Environment, Agriculture, and Area 338Rural Society and Culture 339Market System 339Geography 340Population 340World-Economy Linkages 340

Aceh (Figure A2-13) 341Environment, Agriculture, and Area (estimated at 3,250sq. km) 341Rural Society and Culture 342Market System 342Geography 342Population 343World-Economy Linkages 343

Perak (Figure A2-14) 343Environment, Agriculture, and Area (20,700 sq. km) 343Rural Society and Culture 345Market System 345Geography 345Population 345World-Economy Linkages 346

Java (Figure A2-15) 346Environment, Agriculture, and Area (133,OOOsq. km) 346Rural Society and Culture 347

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Market System 347Geography ." 347Population 348World-Economy Linkages 348

Vijayanagara (Figure A2-16) 348Environment, Agriculture, and Area (360,000 sq. km) 348Rural Society and Culture 349Market System 350Geography 351Population 351World-Economy Linkages 352

Pudukkottai (Figure A2-17) 352Environment, Agriculture, and Area (3,100sq. km) 352Rural Society and Culture 353Market System 353Geography 353Population 354World-Economy Linkages 354

Mughal (Figure A2-18) 354Environment, Agriculture, and Area (3,175,000sq. km) 354Rural Society and Culture 356Market System 357Geography 358Population 359World-Economy Linkages 359

Ming Dynasty China (Figure A2-19) 360Environment, Agriculture, and Area (3,900,000 sq. km) 360Rural Society and Culture 361Market System 362Geographical Organization 363Population 365World-Economy Linkages 365

Japan (Figure A2-20) 366Environment, Agriculture, and Area (388,500sq. km) 366Rural Society and Culture 368Market System 368Geographical Organization 369Population 370

Tibet 371Environment, Agriculture, and Area (1,217,294 sq. km) 371Rural Society and Culture 371Market System 372Geographical Organization 372Population 372World-Economy Links 372

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Contents

New Kingdom Egypt (Figure A2-21) 373Environment, Agriculture, and Area (622,000sq. km) 373Rural Society and Culture 373Market System 373Geography 375Population 375World-Economy Linkages 376

Athens (Figure A2-22) 376Environment, Agriculture, and Area (2500sq. km) 376Rural Society and Culture 377Market System 378Geography 378Population 379World-Economy Interactions 379

Rome (Figure A2-23) 380Environment, Agriculture, and Area (3,861,000 sq. km) 380Rural Society and Culture 380Market System 383Geography 383Population 384World-Economy Linkages 384

Venice (Figure A2-24) 385Environment, Agriculture, and Area (32,000sq. km) 385Rural Society and Culture 385Market Systems 385Geography 386Population 387World-Economy Linkages 387

England (Figure A2-25) 388Environment, Agriculture, and Area(England 130,400sq. km, Wales, 20,800sq. km,and half of Ireland at 42,200sq. km, or 193,400 sq. km total) 388Rural Society and Culture 388Market System 390Geography 390Population 391World-Economy Linkages 391

Ottoman Empire (Figure A2-26) 392Environment, Agriculture, and Area (excluding vassal states,the area under direct government control was2,279,200sq. km [Pitcher 1972: 134]) 392Rural Society and Culture 392Market System 393Geography 394

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Population 394World-Economy Linkages *. 395

Aztec (Figure A2-27) 396Environment, Agriculture, and Area (the core areaof the Aztec empire was a closed hydrographicbasin measuring about 7000sq. km [Sanders et al. 1979: 81],while the total area of the empire was 279,000 sq. km,from Barlow [1949]; Berdan [1980];Berdan et al. [1996: 109-113; Figure II-1]) 396Rural Society and Culture 397Market System 398Geography 399Population 399World-Economy Linkages 400

Inca (Figure A2-28) 400Environment, Agriculture, and Area (984,000sq. km) 400Rural Society and Culture 402Market System 402Geography 402Population 403World-Economy Linkages 403

Appendix 3 Description of Coded Variables and the CodedValues. Letter Designators refer to ColumnHeads for the Coded Variables 404

References 406

Author Index 439

Subject Index 443