collective action in the formation of pre-modern states · collective action in the formation of...
TRANSCRIPT
A/494871
Richard Blanton • LaneFargher
Collective Action in theFormation of Pre-ModernStates
YA Springer
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
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
Contents
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
xii Contents
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
Contents xiii
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
xiv Contents
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
Contents xv
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
xvi Contents
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
Contents xvii
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
ii Contents
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
Contents
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
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
Contents xxi
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