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Paths to Inclusive Political Institutions

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Economic History of Warfare and State Formation

Part of the book series: Studies in Economic History ((SEH))

Abstract

In this paper we present a new approach to thinking about the circumstances under which inclusive political institutions, consisting of a state with capacity and a broad distribution of political power, emerge. Different scholars have emphasized different paths towards such institutions, with some emphasizing modernization, and others emphasizing the necessity of state building as a prerequisite for democracy. We argue however, using the examples of Ancient Athens and Early Modern England, that inclusive political institutions emerge from a balanced increase in state capacity and the distribution of power. This path emerges in a particular basin of attraction. Though this basin depends on many parameters, we emphasize the crucial nature of informal institutions and social norms which put Athens and England onto this path. Outside of this basin a number of things may occur; social norms may be such as to stop a state forming, an outcome we illustrate with the Tiv of pre-colonial Nigeria; or when society is weaker a form of state formation can occur which creates a ‘Paper Leviathan’ which we illustrate with Colombia; finally when civil society is prostrate ‘Despotic Leviathans’ can be created, an outcome we illustrate with contemporary Rwanda. None of these latter paths lead to inclusive institutions or sustained prosperity.

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Notes

  1. 1.

    We thank Steve Hindle and Josh Ober for their invaluable comments and suggestions. This paper was written in honor of Mark Harrison at the time of his retirement from the University of Warwick. We have benefitted greatly from Mark’s generosity and erudition, but most of all from his friendship and we look forward to a lot more of it.

  2. 2.

    There is a great deal of different terminology used in social science in this context. In Acemoglu and Robinson (2012) we used the terminology “political centralization” to refer to what we argued was the key aspect of having inclusive political institutions. Here that coincides with having state capacity by which we mean that the state develops some basic attributes, a monopoly of violence, a bureaucratic administration and fiscal system and has the “capacity” to provide public goods and regulate society and enforce laws. Some scholars would refer to such a state as “strong”, though others would say such a state has “infrastructural power” and state strength is a different concept related to how autonomous the state is from society. In Acemoglu and Robinson (2012) we used the term pluralistic to refer to a situation where political power was broadly distributed since we wanted to emphasize that modern mass democracy was not necessarily either sufficient nor necessary for this.

  3. 3.

    There are different interpretations of the origins and role of ostracism. We follow Morris (1987, 1996), Morris and Powell (2010) and Ober (2015) as seeing it as a tool via which citizens disciplined elites In her work Forsdyke (2000, 2005) has emphasized more the role of the institutions in resolving inter-elite contests.

  4. 4.

    See also Forsdyke (2008, 2012) on the bottom-up nature of the Athenian state and Ober (2012) for further analysis of social norms and democracy in Athens.

  5. 5.

    Collinson (1994a,b) first drew attention to the significance of the Swallowfield resolutions, see the essays in McDiarmaid (2007) for discussion of his interpretation of them.

  6. 6.

    See Jones (1999) on the impact of Athenina state formation on the formation of associations.

  7. 7.

    “un grupo sicarial dedicado a la consecución de víctimas para presentarlos como muertos en combate”. http://lasillavacia.com/historia/el-batallon-que-gano-el-concurso-de-falsos-positivos-49218

  8. 8.

    “Articulo 1. Cuando en algún Estado se levante una porción cualquiera de ciudadanos con el objecto de derrocar el gobierno existence y organizar otro, el gobierno de la Unión deberá observar la más estricta neutralidad entre los bandos beligerantes.”

  9. 9.

    ftp://ftp.camara.gov.co/camara/basedoc/codigo/codigo_penal_1980.html

  10. 10.

    “En mi exposición analicé algunos factores que hacen del Instituto una organización eminentemente centralista, contraria a la realidad del país que clama y exige con razón un descentralismo fundamental, y afirmé cómo esa tendencia centralista puede provocar en el país una serie de tensiones que por ser tensiones, pueden encaminar la realidad de una reforma agraria a una frustración total o parcial.”

  11. 11.

    “Y es que la creación de un instituto de esa magnitud, naturalmente lleva a su destrucción, de los Ministerios que puedan interferir con sus actividades. No es, pues Senadores, que nosotros estemos dando aquí un espectáculo de histeria frente a la posibilidad de la creación de ese leviatán.”

  12. 12.

    http://www.wradio.com.co/noticias/actualidad/abogado-de-la-firma-brigard--urrutia-rompe-su-silencio-en-la-w/20130614/nota/1915927.aspx

  13. 13.

    Vansina points out that there were many meanings to the term Hutu – all foreigners were called Hutus, for example.

  14. 14.

    The creation of this system and the institutionalization of the Hutu/Tutsi distinction therefore clearly antedates the colonial period (though the Belgians almost certainly exacerbated it).

  15. 15.

    Reyntjens (2015) shows at many points the uncanny similarity between the pre-genocide politics and the post-genocide politics. For example, he notes how the Habyarimana years were always characterized by slogans of unanimity “all together for 100 %” when it came to elections, while today in Rwandan we have “Vote for Kagame 100 %” (p. 53). The continuities are even more disturbing than this. Reyntjens (2015, p. 31) quotes a 2003 speech of Kagame where he says “If they come with the objective of hindering our programs they will be injured …Our clemency decreases …To whoever prides himself of having harvested sorghum or maize, we will say that we have mills to crush them” – the sort of political discourse that brought Rwanda “cockroaches”. See Desrosiers and Thomson (2011) for many connections.

  16. 16.

    A typical definition of a state in this literature would that of Mann (1984, p. 112) who argues that a state is:

    1. 1.

      a differentiated set of institutions and personnel embodying

    2. 2.

      centrality, in the sense that political relations radiate outwards from a center to cover a

    3. 3.

      territorially demarcated area, over which it exercises

    4. 4.

      a monopoly of authoritative binding rule-making, backed up by a monopoly of the means of physical violence.

  17. 17.

    As he puts it (1984, p. 135) “autonomous state power is the product of the usefulness of enhanced territorial centralization to social life in general.”

  18. 18.

    Ertman also focuses heavily on the development of the Medieval English state and sees the Early Modern period on which we focus as characterized by a general disintegration of state capacity. The opposite of our analysis.

  19. 19.

    See the essays in Lake and Pincus (2007) and Condren (2009) for the evidence on the nature of the public sphere in Early Modern England.

  20. 20.

    Other authors who have identified the impact of the state on the nature of society include Katznelson (1985) who argued that it was the organization of the US state that determined why working class social movements took the form they did and see Birnbaum (1981, 1988) for other relevant examples.

  21. 21.

    Though we do not have the space to go into this here, in fact the historical evidence from much of Western Europe supports a similar interpretation there, see Lenman and Parker (1980), the essays in Blickel (1989) and Blockmans et al. (2013), and Wheeler (2011) and Sreenivasan (2013) on Germany. The Swiss case is perhaps the most obvious one where inclusive political institutions were constructed from the bottom up. Another rather obvious case is the United States (recall de Tocqueville 2008) at least after one moves beyond simplistic ideas about the role of great men like James Madison detached from their societies.

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Authors and Affiliations

  1. Department of Economics, Massachusetts Institute of Technology, E52-380, 50 Memorial Drive, Cambridge, MA, 02142, USA

    Daron Acemoğlu

  2. Harris School of Public Policy, University of Chicago, 1155 East 60th Street, Chicago, IL, 60637, USA

    James A. Robinson

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  1. Daron Acemoğlu
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  1. Department of History, Appalachian State University, Boone, North Carolina, USA

    Jari Eloranta

  2. University of Surrey Guildford, Surrey, United Kingdom

    Eric Golson

  3. New Economic School , Moscow, The Moscow Area, Russia

    Andrei Markevich

  4. Humboldt University , Berlin, Germany

    Nikolaus Wolf

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Acemoğlu, D., Robinson, J.A. (2016). Paths to Inclusive Political Institutions. In: Eloranta, J., Golson, E., Markevich, A., Wolf, N. (eds) Economic History of Warfare and State Formation. Studies in Economic History. Springer, Singapore. https://doi.org/10.1007/978-981-10-1605-9_1

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