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Slides for Sociology W3480: Part 1 of 3

Revolutions, Social Movements, and Contentious Politics


Columbia College
Spring 2007
Prepared by
Charles Tilly and
Ernesto Castaeda
send questions to
ec2183@columbia.edu

Preface
This turned out to be Professor Tillys last undergraduate
course. Professor Tilly died of lymphoma on April 29, 2008.
May he rest in peace. Well miss him greatly.
For testimonials on his many human and scholarly
contributions visit: http://www.ssrc.org/essays/tilly/
I hope that these slides are a partial testimony to Tillys
enduring analytical power.
Ernesto Castaeda. New York. October 6, 2008.

(Tilly & Castaeda 2007)

Copyright notes

Instructors and students can use this material for educational purposes as
long as they cite the source as: Contentious Politics Class Slides and Notes.
2007. Prepared by Charles Tilly and Ernesto Castaeda. Columbia University.

Copyright note: the diagrams, texts, and pictures are reproduced here under fair
use terms for educational not-for-profit purposes. Many of them come directly
from Tillys computer files often from manuscripts of books and articles prior to
publication. If you feel you are the owner of copyrighted material used here and
want it removed from these slides please e-mail: ec2183@columbia.edu

(Tilly & Castaeda 2007)

From Tillys Syllabus

This course should help undergraduates who already have a background in social
science and/or modern history to think systematically about contentious politics
processes in which people make conflicting collective claims on each other or on third
parties as they participate in them, observe them, and/or learn about how they are
happening elsewhere. We will spend little time reviewing theories of political contention or
methods for gathering and analyzing evidence. We will spend most of our time examining
how such forms of contention as social movements, revolutions, nationalist mobilization,
and ethnic conflict have worked in different times and places, as well as thinking through
parallels and differences among them. Most sessions will operate as lecture-discussions.
For their own inquiries, students will choose some current site of contention, use a
standard source (for example, a daily newspaper or online reports of human rights
agencies) to catalog episodes of contention occurring in that site during the semester, and
then write three memoranda as they go: brief summaries and interpretations of the
patterns of contention they discover with connections to the required course readings. We
will have short-answer midterm and final examinations. Examinations will draw on class
sessions, required reading, and memoranda.
Ambitious students may propose different inquiries, just so long as they are at least
equally valuable and difficult; subject to the instructors prior approval, for example,
students might a) interview social-movement activists, b) report participant observation in
contentious politics, c) compare reporting of some particular stream of contention in two
different media, or d) reconstruct the history of a significant contentious episode or a
cluster of connected episodes. (Tilly & Castaeda 2007)
4

Required readings
Beth Roy, Some Trouble with Cows. Berkeley: University of
California Press, 1994.
Charles Tilly, Social Movements, 1768-2004. Boulder:
Paradigm Press, 2004.
Charles Tilly and Sidney Tarrow, Contentious Politics. Boulder:
Paradigm Press, 2006.

(Tilly & Castaeda 2007)

SPRING 2007: SCHEDULE OF SESSIONS AND ASSIGNMENTS


A. Claims, Politics, and Contention
Read Charles Tilly & Sidney Tarrow, Contentious Politics, chapters 1-3
(Lectures by Charles Tilly except where noted)
17 January Introduction to contentious politics and this course
22 January forms of government and of politics
24 January how contention works and changes
B. Who, How, and What?
Read: Beth Roy, Some Trouble with Cows
29 January networks, boundaries, and identities; Ernesto Castaeda lecture
31 January ethnicity, race, religion, and nationality
5 February identity politics; memorandum #1 due: brief report (maximum 1,000 words) on plan for
collecting and analyzing contentious episodes; include a paragraph on likely strengths and
weaknesses of your sources
(Tilly & Castaeda 2007)

SPRING 2007: SCHEDULE 2


C. Mobilization, Demobilization, and Struggle
Read Tilly & Tarrow, Contentious Politics, chapters 4-6, plus Appendices A & B
(Charles Tilly lectures)
7 February
opportunities, threats, and constraints
12 February

mobilization processes

14 February

contentious repertoires

19 February

how forms of contention vary and change

D. Social Movements and Other Forms of Contention


Read Tilly, Social Movements, chapters 1-4
21 February

social movements in history

26 February

how people get involved

28 February

social movements across the world

5 March

review

7 March

midterm examination

12-14 March

spring holidays
(Tilly & Castaeda 2007)

SPRING 2007: SCHEDULE 3


E. Contention and Democratization
Read Tilly, Social Movements, chapters 5-6
19 March regimes and democracy; (class canceled Professor Tilly in the hospital)
21 March waves of democratization; (Ernesto Castaeda lectures)
26 March struggle and democratization; (class canceled)
28 March democracy today and tomorrow; (class canceled)
F. War and Revolution
Read Tilly & Tarrow, Contentious Politics, chapters 7 and 8
(All these lectures by Ernesto Castaeda)
2 April

Returning midterms and Democratization

4 April

Violent specialists, civil wars, and interstate wars


(memorandum #2 due: brief report on progress of contentious episodes project)

9 April

Violence, Terror, and Politics. Revolutions.

11 April

Coda on mercenaries, terror, violent events and organized crime.


Information on how to create an event catalogue.
(Tilly & Castaeda 2007)

SPRING 2007: SCHEDULE 4


G. Contention Today and Tomorrow
Read Tilly, Social Movements, chapter 7 and Tilly & Tarrow, Contentious Politics, chapter 9

16 April

National, transnational, and international (Ernesto Castaeda lectures)

18 April

Globalization and contention (Charles Tilly and Ernesto Castaeda lecture)

23 April

More on globalization (Charles Tilly and Ernesto Castaeda lecture)

25 April

The present and future of contentious politics (Charles Tilly lectures)

30 April

Conclusions and challenges (Charles Tilly lectures)


memorandum #3 due: report (maximum 3,000 words, not including appendices) on contentious
episodes project

7 May

FINAL EXAMINATION.

(Tilly & Castaeda 2007)

Components of Contentious Politics


CONTENTIOUS POLITICS

contention

collective

politics

action

(Tilly & Castaeda 2007)

10

Contentious Politics on the Reuters and BBC Newswires,


New Years Day 2007

New Year brings 3,000th US death in Iraq; peace groups rally after 3,000th soldier killed
Somali Islamists flee toward Kenya and to the hills
Hispanics battle blacks in Major California prison riot
Foreigner, Palestinian gunmen abducted in Gaza
Gunfire between Palestinian factions
Indian mob clashes with police over backyard bones; crowd protests at Delhi murders
New Year bombs shake Bangkok
Thai PM blames rivals for blasts
Two killed in Kashmir gun battle
Kashmir protest against killing
DR Congo troops clash with rebels
Burkina police and army in truce
Goodyear deal set to end strike [in US]
Fijians wary after military coup
Voices from Bishkek [Kyrgyzstan] protest rally
Saddams supporters vow revenge
Palestinian deaths rose in 2006
Top Indian Maoist is shot dead
Pakistan police break up protest [in Rawalpindi]
Police disperse Ershad supporters [in Rangpur, Bangladesh]
French marchers say non to 2007
Train strike [in UK] runs into second day
(Tilly & Castaeda 2007)

11

French Protestors Say No to


New Year 2007!

(Tilly & Castaeda 2007)

12

The Simple Regime Model


Challenger

Regime
Member

Outside
Actor

Government

Regime

Limits of
Governments
Jurisdiction

Outside of Regime

Coalitions

(Tilly & Castaeda 2007)

13

POSSIBLE STUDENT PROJECTS

Monitor one ongoing civil war (e.g. in Ivory Coast, Sri Lanka, Palestine, or Colombia). Prepare a background sketch
of the conflict from a standard source such as the Annual Register, reports of Human Rights Watch, or the US State
Departments regional reports; an online search will identify many possible sources. For at least two months of the
conflict, scan a daily source such as a national newspaper or CNN online for reports of actions, declarations, and
interventions. Prepare a timeline, analyze it for signs of change, and watch especially for signs that parties,
alignments, patterns of conflict, and stakes of the struggle are shifting. (If your evidence is rich enough, you might
concentrate on the conflicts geography.) Write a brief report of your conclusions, linking them to course materials.
Make sure to include a summary of the central evidence youre interpreting such as a table, graph, chronology, map,
and/or appendix.

Choose two countries and two years since 1999, when the Battle of Seattle occurred. Adopting plausible definitions
of anti-globalization and protest, prepare catalogs of anti-globalization protests in the two countries over the two
years. Examine what changes occur in claims participants make, what means they use to make those claims, how
they identify themselves, and how observers identify them. Look for similarities, differences, and connections
between the patterns you see in the two countries. Write a brief report of your conclusions, linking them to course
materials. Make sure to include a summary of the central evidence youre interpreting such as a table, graph,
chronology, map, and/or appendix.

Identify one major social movement mobilization from the past, for example civil rights activism in Mississippi 19641968, one of the student uprisings of 1968, or anti-abortion activity in one American state during the decade following
the Supreme Courts 1973 Roe vs. Wade decision. Using at least ten sources (scholarly works, newspaper accounts,
films, oral histories, and/or interviews with participants), prepare a) a diagram of major groups participating and their
relations to each other, b) a chronology of the mobilization. Using course materials as your guide, write an analysis of
what effects that mobilization produced, and how it produced them. Make sure to include a summary of the central
evidence youre interpreting such as a table, graph, chronology, map, and/or appendix.

Do the same for a current mobilization: for or against US policy in Iraq or Afghanistan, Brazilian responses to
American security policy, responses to sexual abuse by priests, calls for reparations to victims of racial
discrimination, South African AIDS policy, Chinese treatment of the Falun Gong, public discussions concerning the
reconstruction of Ground Zero, or something else. Make sure to include a summary of the central evidence youre
interpreting such as a table, graph, chronology, map, and/or appendix.
(Tilly & Castaeda 2007)
14

Political Opportunity, Political Threat, and


Their Impacts on Contention
Shifts in Opportunity = changes in the environment of political actors (in this case, idealized single
challenger) that signal shifts in likely consequences of different interactions with other actors

Category
Increasing Threat
Increasing Opportunity
openness of regime
regime closing down regime increasingly open
coherence of elite
increasing solidarity of elite
increasing divisions within elite
stability of political alignments
increasing stability
rising instability
availability of allies
potential allies disappear or lose new allies in regime available to
challengers
repression/facilitation decreasing facilitation, rising
repression

increasing facilitation, declining

power
repression

This also applies cross-sectionally: if regime A is more open, its elites more divided, more generally
unstable, richer in potential allies, and less repressive than regime B, similar challengers will
contend more extensively and effectively in regime A

(Tilly & Castaeda 2007)

15

Variation in Regimes

(Tilly & Castaeda 2007)

16

Crude Regime Types

(Tilly & Castaeda 2007)

17

Rough Placement of Selected Regimes in


2007

(Tilly & Castaeda 2007)

18

Revolutions, Social Movements, and Contentious Politics


Spring 2007

Networks, Identities, and Boundaries

Lecture
January 29th, 2007
Ernesto Castaeda

Networks

(Tilly & Castaeda 2007)

20

Relational Account
Georg Simmels (1858-1918) Formal Analysis
Dyad

Triad

Web of Social Affiliations


or Social Network

C
A

Some Types of Ties


Social Tie
Transaction,
Conversation,
Routine contact,
Relationship

Professional

Family
Romance

Business

21
(Tilly & Castaeda 2007)

Triad Power Dynamics


tertius gaudens

(Tilly & Castaeda 2007)

22

Social Networks

Florentine alliances (Padgett 1993).

(Tilly & Castaeda 2007)

23

High school friendship: James Moody, Race, school integration, and friendship segregation in America,
American Journal of Sociology 107, 679-716 (2001).
(Tilly & Castaeda 2007)

24

Identities

(Tilly & Castaeda 2007)

25

Medieval
Model
Independent corporations with specific attributes, obligations, and rights (Simmel).
Nobility

Army

Church
Franciscans
Guild

Burgers and
Bourgeoisie

Peasantry
26
(Tilly & Castaeda

Identity is Relational
In modern times, and
especially in cities,
identity depends on the
context and the public:
(home/work/leisure).

27
(Tilly & Castaeda 2007)

Embedded and Detached Identities


(Tilly)
DETACHED

Many

Democrat/
Republican

Social
settings

ACLU
member
AA

Grassroots
organizations
Friends
Roommate
Family

EMBEDDED

One

Little

All

Social life
(Tilly & Castaeda 2007)

28

Networks, Identities, and


Boundaries

(Tilly & Castaeda 2007)

29

Some Trouble with Cows


Beth Roy (1994)

This trouble occurs in 1954 in Panipur which, after successive partitions belonged to India,
then to Pakistan, and then to Bangladesh. At that time, Panipur belonged to Pakistan, a
predominantly Muslim state with a substantial Hindu minority; only later would its region,
East Pakistan, acquire independence as overwhelmingly Muslim Bangladesh.
The village includes households labeled as Hindu or Muslim, but who live from day to day
with a much finer and often cross-cutting set of distinctions of: caste, class, property,
and gender.
What happened in 1954?
Golam Fakirs cow got loose, strayed across the limits of Golams property, and ate lentils in
Kumar Tarkhanias field. Instead of settling their differences immediately, however, both
farmers called in kinfolk, patrons, and allies. As a result, a minor dispute precipitated
broader and broader alignments of bloc against bloc. Escalation continued. Supporters
eventually took up available weapons.
Police intervened and eventually fired on the crowd.
Local and regional authorities sought pacification.
With each step outward and upward, redefinition of the conflict proceeded; the farther and
higher the incident went, the less it concerned complex, caste-and-class-mediated local
relations among farmers and the more it became part of national level communal struggles
between Hindus and Muslims.
The collective memories of the event were shaped not by the embedded, complex identities
but from the detached identities and larger categories.
(Tilly & Castaeda 2007)

30

India

Pakistan

ENGLAND

Panipur

A BENGALI SOCIETY

Bangladeshis

State Officials

Hindus

Police

Mussalmans

Brahmins

Muslim officials

Kayasthas

Muslim Peasants

Namasudras

Converted Hindus

Kumar Tarkhania

Golam Fakir

(Tilly & Castaeda 2007)

31

Boundaries, Ties, and Identities (Tilly)

Shared
stories
about
history,
social
boundaries,
and identity.

boundary

Ys

Xs
relations
within Xs

relations
relations across boundary

(Tilly & Castaeda 2007)

within Ys

32

POWER
Power depends on network location and not on intrinsic
characteristics of the actors but on the social structure.
Power is spread through society (see Foucault) since it
depends on social relations, tacit consent and implicit
and explicit laws.
Power relations depend on embodied social knowledge
and norms which allow for social reproduction of durable
inequalities and power allocation (ideology, hegemony,
habitus, etc.)
Social movements are times where people take action
to change relations of power and the existing social
arrangements. The results are contingent.
(Tilly & Castaeda 2007)

33

Political Identities and Social Movements

In social movements, political identities are at stake. Claim-makers are acting


out answers to the question, "Who are you?

In social movements a common identity is constructed and put forward.


Members have to show "WUNC": worthy, united, numerous, and committed.

Social movements link two complementary activities: assertions of identity


and statements of demands.

Social movements grew up in the nineteenth century as means by which


people currently excluded from political power could band together and
claim that power-holders should attend to their interests, or the interests
they represented.

Recognition of their claimed identities as wronged workers, dispossessed


peasants, or persecuted religious minorities constituted them as political
actors, but also drew them into bargaining collectively with existing holders
of power. That stress on identity assertion persists in social movements,
especially in their earlier stages, to the present day. Social movements
continue to assert the right to respect and political voice of indigenous
peoples, gays, conservative Christians, unborn children, etc.

Adapted from: Contentious conversation. Charles Tilly. Social


Research. New York: Fall 1998.Vol.65, 3; pg. 491, 20 pgs.
(Tilly & Castaeda 2007)

34

Conclusions
Violent conflict stems from relations that may or may not be
primarily violent.
humans turn out to be interacting repeatedly with others,
renegotiating who they are, adjusting the boundaries they occupy,
modifying their actions in rapid response to other people's
reactions, selecting among and altering available scripts,
improvising new forms of joint action, speaking sentences no one
has ever uttered before, yet responding predictably to their
locations within webs of social relations they themselves cannot
map in detail. They tell stories about themselves and others that
facilitate their social interaction rather than laying out verifiable
facts about individual lives. They actually live in deeply relational
worlds. If social construction occurs, it happens socially, not in
isolated recesses of individual minds (Tilly 1998).
(Tilly & Castaeda 2007)

35

Bibliography
Hanneman, Robert A. and Mark Riddle. Introduction to social network methods
http://faculty.ucr.edu/~hanneman/nettext/index.html
Hogan, Richard. Charles Tilly Takes Three Giant Steps from Structure toward Process: Mechanisms for
Deconstructing Political Process. Contemporary Sociology, Vol. 33, No. 3. (May, 2004), pp. 273-277. Stable
URL: http://links.jstor.org/sici?sici=00943061%28200405%2933%3A3%3C273%3ACTTTGS%3E2.0.CO
%3B2-2
Newman, Mark. Gallery of network images. http://www-personal.umich.edu/~mejn/networks/
Padgett, John F., Christopher K. Ansell. Robust Action and the Rise of the Medici, 1400-1434. American Journal
of Sociology, 98: 1259-1319, 1993
Pescosolido, Bernice A.; Beth A. Rubin. 2000. The Web of Group Affiliations Revisited: Social Life,
Postmodernism, and Sociology. American Sociological Review, Vol. 65, No. 1
Roy, Beth. 1994. Some Trouble with Cows: Making sense of Social Conflict. University of California Press.
Berkeley: CA.
Tilly, Charles. 2002. Stories, Identities, and Political Change. Rowman & Littlefield.
Tilly, Charles. 1998. Contentious conversation. Social Research. New York: Fall 1998.Vol.65, Iss. 3; pg. 491.
Simmel, Georg. 1955. Conflict and the Web of Group Affiliations. Translated by K.H. Wolff and R. Bendix. New
York. Free Press.
(Tilly & Castaeda 2007)

36

Political
Identities and
the Census

(Tilly & Castaeda 2007)

37

Definitions from Appendix One of


Contentious Politics (2006)
Government: within a given territory, an organization controlling the principal concentrated
means of coercion and exercising priority over all other organizations within the same
territory in some regards. In England of 1785, the organization included a king, ministers,
civil servants, Parliament, and a network of appointed agents throughout the country.
Political actors: recognizable sets of people who carry on collective action in which
governments are directly or indirectly involved, making and/or receiving contentious
claims. In Ukraine, supporters of outgoing president Kuchma, backers of presidential
candidate Yushchenko, Interior Ministry troops, and external sponsors on both sides all
figured as weighty political actors.
Political identities: as applied to political actors, organized answers to the questions Who
are you? Who are they? and Who are we? In late eighteenth-century England, some
of those answers included Abolitionists, slaveholders, and Parliament.

(Tilly & Castaeda 2007)

38

Definitions 2
Contentious politics: interactions in which actors make claims that bear on someone elses
interests, leading to coordinating efforts on behalf of shared interests or programs, in which
governments are as targets, the objects of claims, or third parties.
Contentious performances: relatively familiar and standardized ways in which one set of
political actors makes collective claims on some other set of political actors. Among other
performances, participants in Ukraines Orange Revolution used mass demonstrations as
visible, effective performances.
Contentious repertoires: arrays of contentious performances that are currently known and
available within some set of political actors. Englands antislavery activists helped to invent
the demonstration as a political performance, but they also drew on petitions, lobbying, press
releases, public meetings, and a number of other performances.

(Tilly & Castaeda 2007)

39

Definitions 3
Institutions: within any particular regime, established, organized, widely recognized routines,
connections, and forms of organization employed repeatedly in producing collective
action. Eighteenth-century antislavery activists could work with such available institutions
as religious congregations, parliamentary hearings, and the press.
Social movements: sustained campaigns of claim making, using repeated performances that
advertise that claim, based on organizations, networks, traditions, and solidarities that
sustain these activities.
We divide social movements into the following:
Social movement campaigns: sustained challenges to power holders in the name of a
population living under the jurisdiction of those power holders by means of public displays
of that populations worthiness, unity, numbers, and commitment [WUNC].
Social movement bases: the social background, organizational resources, and cultural
framework of contention and collective action.

(Tilly & Castaeda 2007)

40

Major Explanatory Concepts in


Contentious Politics
Sites of contention: human settings that serve as originators, objects, and/or arenas of
contentious politics. Example: Armies often play all three parts in contention.
Conditions: characteristics of sites and relations among sites that shape the contention
occurring in and across them. Initial conditions are those that prevail in affected sites at
the start of some process or episode. Example: In Italy of 1966, an array of political
organizations and the existing connections among them provided the background for the
cycle of conflict that occurred over the next seven years.
Streams of contention: sequences of collective claim at or across those sites singled out for
explanation. Example: a series of strikes by workers in a given industry against their
firm(s).
Outcomes: changes in conditions at or across the sites that are plausibly related to the
contention under study, including transformations of political actors or relations among
them. Example: During or after a series of strikes, management fires workers, changes
work rules, and/or raises wages.
(Tilly & Castaeda 2007)

41

Major Explanatory Concepts 2


Regimes: regular relations among governments, established political actors, challengers,
and outside political actors including other governments; eighteenth-century England and
twenty-first-century Ukraine obviously hosted very different regimes.
Political opportunity structure: features of regimes and institutions (e.g., splits in the ruling
class) that facilitate or inhibit a political actors collective action; in the case of Ukraine
20042005, a divided international environment gave dissidents an opportunity to call on
foreign backers in the name of democracy.
Mechanisms: events that produce the same immediate effects over a wide range of
circumstances. Example: Diffusion of tactics from one site to another often occurs during
major mobilizations, thus altering action at origin and destination as well as facilitating
coordination among the affected sites.
Processes: combinations and sequences of mechanisms that produce some specified
outcome. Example: Major mobilizations usually combine brokerage and diffusion with
other mechanisms in sequences and combinations that strongly affect the collective action
emerging from the mobilization.
(Tilly & Castaeda 2007)

42

Major Explanatory Concepts 3


Episodes: bounded sequences of continuous interaction, usually produced by an
investigators chopping up longer streams of contention into segments for purposes of
systematic observation, comparison, and explanation. Example: We might compare
successive petition drives of antislavery activists in Great Britain (each drive counting as a
single episode) over the twenty years after 1785, thus not only seeing how participants in
one drive learned from the previous drive but also documenting how the movement as a
whole evolved.

(Tilly & Castaeda 2007)

43

Mechanisms used in Contentious Politics


Attribution of similarity: identification of another political actor as falling within the same
category as your own.
Boundary activation/deactivation: increase (decrease) in the salience of the us-them
distinction separating two political actors.
Boundary formation: creation of an us-them distinction between two political actors.
Boundary shift: change in the persons or identities on one side or the other of an existing
boundary.
Brokerage: production of a new connection between previously unconnected or weakly
connected sites.
Certification: an external authoritys signal of its readiness to recognize and support the
existence and claims of a political actor. (Decertification: an external authoritys signal that
it is withdrawing recognition and support from a political actor.)
(Tilly & Castaeda 2007)

44

Mechanisms 2
Co-optation: incorporation of a previously excluded political actor into some center of power.
Defection: exit of a political actor from a previously effective coalition and/or coordinated action.
Diffusion: spread of a contentious performance, issue, or interpretive frame from one site to
another.
Emulation: deliberate repetition within a given setting of a performance observed in another
setting.
Repression: action by authorities that increases the costactual or potential of an actors
claim making.
For more explanations, examples, and processes see source:
Tilly and Tarrow. 2006. Contentious Politics. Appendix A and B. Paradigm Publishers.

(Tilly & Castaeda 2007)

45

Political Opportunity, Political Threat, and


Their Impacts on Contention
Shifts in Opportunity = changes in the environment of political actors (in this case, idealized single
challenger) that signal shifts in likely consequences of different interactions with other actors

Category
Increasing Threat
Increasing Opportunity
openness of regime
regime closing down regime increasingly open
coherence of elite
increasing solidarity of elite
increasing divisions within elite
stability of political alignments
increasing stability
rising instability
availability of allies
potential allies disappear or lose new allies in regime available to
challengers
repression/facilitation decreasing facilitation, rising
repression

increasing facilitation, declining

power
repression

This also applies cross-sectionally: if regime A is more open, its elites more divided, more generally
unstable, richer in potential allies, and less repressive than regime B, similar challengers will
contend more extensively and effectively in regime A

(Tilly & Castaeda 2007)

46

Aerial Graph of Contention in Russia


(based on Bessinger 2001).

(Tilly & Castaeda 2007)

47

(Tilly & Castaeda 2007)

48

(Tilly & Castaeda 2007)

49

Contentious Conversation
Subject Verb Object (of claims)
E.g. Union demands that the government __.

(Tilly & Castaeda 2007)

50

Contrasting Principles of 18th and 19th Century


Repertoires in Western Europe
Eighteenth Century

Nineteenth Century

Local object

Abstract object

Parochial

Cosmopolitan

Particular

Modular

Bifurcated

Autonomous

(Tilly & Castaeda 2007)

51

(Tilly & Castaeda 2007)

52

Building a Social Movement


Campaigns

Campaign

Repertoires

Repertoire

WUNC
Displays

WUNC
Display
(Tilly & Castaeda 2007)

53

(Tilly & Castaeda 2007)

54

Sample Exam Questions:


1.

We have looked at old and new repertoires of contention in Western Europe. Name three characteristics
of claim-making performances in each repertoire and give two examples of performances that fit the
descriptions.

CHARACTERISTICS
OLD

NEW

1)
2)
3)
EXAMPLES
1)
2)
(Tilly & Castaeda 2007)

55

Sample Exam Questions

Circle one of these episodes: nationalist mobilization in the USSR 1987-1992, student claim making in
Beijing 1989, antislavery activism in 19th century US and Britain, American resistance to British rule
during the 1760s. In a sentence, describe one performance that participants employed in that episode.

In a sentence, say whether that performance comes closer to the old or new repertoire, and give
one reason for your answer.

(Tilly & Castaeda 2007)

56

Waves of Democratization
Wednesday March 21st, 2007
Ernesto Castaneda

Waves of Democracy (Tilly vs. Huntington)


Democracy and Contention
Democracy and Social Movements
Switzerland
Mexico
(Tilly & Castaeda 2007)

57

Waves of Democracy (Huntington)


First wave, long 1828-1926 (29)
First reverse wave 1922-1942 (12)
Second, short 1943-1962 (32)
Second reverse wave 1958-1975 (30)
Third wave 1974-1991 (60)
Huntington writes. "Economic development makes democracy possible;
political leadership makes it real." [Top down perspective]
Samuel P. Huntington. 1991. The Third Wave: Democratization in the
Late Twentieth Century. Norman: University of Oklahoma Press.
(Tilly & Castaeda 2007)

58

Waves of Democracy (Tilly)

1789-1800
1830-1848
After WWI
After WWII
1989-

(Tilly & Castaeda 2007)

59

What is the relationship between


democracy and social movements?

Democracy
Social mobilization

(Tilly & Castaeda 2007)

60

Democracy and Social Movements


Possible causal pathways

Background causes. Historical Context.

Social Movements

Democratization

De-democratization

(Tilly & Castaeda 2007)

61

A Chronology of Contentious Politics


in Switzerland, 1830-1848

A Chronology of Contentious Politics in Switzerland, 1830-1848


1830, 4 July

reformist constitution in Ticino

1830, July

revolution in France

1830, Fall

throughout Switzerland, except Neuchtel (member of federation, but ruled by King of Prussia) and Basel: clubs, local public meetings,
pamphleteering, petitions, press campaigns, and marches to cantonal capitals on behalf of cantonal elections for constituent assemblies
by manhood suffrage

1830, Fall

elections of constituent assemblies

1831, Jan

Basel: armed uprising of country people against urban domination, put down by cantonal troops

1831, JanMarch

meetings of assemblies, enactments of new cantonal constitutions, generally asserting


popular sovereignty and declaring civil liberties but restricting suffrage significantly by property, education, gender, and age

1831, 13 Sep

Neuchtel: after overlord king of Prussia grants moderate constitution, republicans attempt to seize power by force of arms, but Swiss
federal executive (fearing external intervention) sends troops to put them down

1831-1832

bitter political struggles between radicals and conservatives in Basel, ending in split of Basel into two half-cantons, central city vs. rural
areas; on 14 May 1832 the rural half-canton adopts a broadly democratic constitution

1832

Schwyz: communes of canton's dependent territories declare themselves an independent half-canton, only to receive military occupation
by Innerschwyz; federal authorities broker new constitution enfranchising outer territories

1832, July

appointment of commission to revise the federal constitution (strictly speaking, the Pact)

1833, March

after liberal cantons attempt to force revision of the federal pact of 1815 through the Diet, cantonal authorities of Schwyz send troops to
repress liberals and radicals in the neighborhood of Kssnacht, Outer Schwyz; Diet calls up 16,000 troops to advance on Kssnacht,
Schwyz troops withdraw; separation of Schwyz into two half cantons becomes definitive

1833, JulyAugust

Basel: rural uprising against citys dominance; battle (3 August 1833) at Pratteln in which country people suffer five deaths and
Basel troops fifty four

1834, Jan

armed band including Mazzini raids Carouge (Savoy), sacks customs post, but is overwhelmed by Geneva police

1834

liberals from seven cantons meet to plan anticlerical program, then propose to create cantonal councils; liberal clergy stop movement, but
"unrest" in Aargau brings in troops from neighboring cantons

(Tilly & Castaeda 2007)

62

Switzerland 2
1836

Glarus: after new constitution abolishes separate Protestant and Catholic Landsgemeinden, Catholics try to hold their own separate
assembly, but federal occupation of communes Nfels and Oberurnen ends Catholic resistance

1838

half canton of Outer Schwyz: Landsgemeinde of Rothenthurm breaks up in brawl between supporters of Hooves (small peasant liberals)
and Horns (large peasant conservatives)

1839, Feb-Sep

Zrich: when by a bare majority the cantonal education council appoints to the university a liberal theologian (David Friedrich Strauss of
Tbingen), committees of protest form throughout the hinterland, localities send petitions; Zrich authorities pension off Strauss before he
begins teaching

1839

Valais: when liberals (mainly from Lower Valais) try to force a new constitution through the Diet of Sion, conservatives (mainly from Upper
Valais) withdraw and form their own separate government at Sierre

1839, 6 Sep

Zrich: 1,500 armed country people assemble and march to town singing hymns, scuffle with government troops, finally disperse

1840

Valais: troops from Upper and Lower Valais confront each other before settlement backed by federal Diet reunifies cantonal government

1841, January

Aargau: cantonal authorities decree suppression of convents, Catholics storm capital under arms and are r epelled by government troops;
Swiss Diet brokers compromise reopening nunneries, but not houses of male orders

1841

Lucerne: newly-elected Legislative Assembly asks Jesuits to take over secondary education; widespread demands in Protestant cantons
for expulsion of Jesuits, formation of anti-Jesuit societies

1842, fall

free corps (Freischaren) of volunteers form, attempt military expeditions against Lucerne

1844, May

Valais: after cantonal government asks Lucerne authorities to intervene against adherents of Young Switzerland in Lower Valais,
inhabitants of region ambush emissary (Bernhard Meyer) on his way to deliver decree against them

1844

Basel: national shooting festival occasion for manifestations (speeches, cheers, etc.) by Catholics and (especially) radicals

1844, 8 Dec

Lucerne: a "few hundred" men in armed bands from Zrich and elsewhere head for city to overthrow government, but give up en route; in
the city, radical anti-Jesuit "riot" put down by government forces

(Tilly & Castaeda 2007)

63

Switzerland 3
1845, spring

musters of free corps in a number of rural locations

1845, March

skirmishes between free corps and government troops

1845,
31 March

canton of Lucerne: 3,600 radical volunteers (Freischrler) enter from Aargau under command of Bernese Ulrich Ochsenbein
(former member of Mazzini's Young Europe), march to capital, where government troops repel them, killing 105 (or 115) and jailing 1785;
Lucerne celebrates with a religious procession

1845, spring

Lucerne: petition campaign to save Jacob Steiger, military leader of March raid, from Lucerne's death penalty; when Steiger escapes
from his prison in Savoy, widespread radical celebrations, honorary citizenship for Steiger in Zrich and Bern

1845

Lausanne: mass march of country people to government building, demanding removal of conservative council; radical leader takes over

1845,
December

Catholic cantons (Lucerne, Uri, Schwyz, Unterwald, Zug, Fribourg, Valais) form mutual defense league (Sonderbund), approach
Austrian, Sardinian, and French governments for aid

1846, July

Bern adopts a new constitution strengthening state powers and broadening political participation, thus increasing power of radicals

1847

widespread mobilization of Catholics: pilgrimages to Saints' tombs, collective attendance at masses

1847, spring

Geneva: popular uprising (radical-led peasants, artisans, and factory workers); after arrest of leaders, street barricades against
conservative-liberal militia; radical-dominated provisional government comes to power, enacts more democratic constitution

1847, spring

radical coup d'tat in Lausanne displaces conservative militia and government

1847, spring

elections favorable to radicals elsewhere

1847, spring

Fribourg: failed radical coup attempt

1847, July

Diet (by twelve votes to ten) demands dissolution of Sonderbund

1847, 10 Oct

Valais: voters approve cantons adhesion to Sonderbund

(Tilly & Castaeda 2007)

64

Switzerland 4
1847, 4 Nov

Diet orders dissolution of Sonderbund by force of arms, mobilizes cantonal troops, begins military oper ations under General Dufour,
relatively moderate veteran of Bavarian and Dutch armies

1847, 14 Nov

Fribourg surrenders to Dufour

1847, 22 Nov

Zug capitulates without a fight; Dufour proceeds to Lucerne, where general exit of authorities begins

1847, 24 Nov

Dufour attacks Lucerne, which surrenders; Sonderbund collapses after minor skirmishes elsewhere (e.g. Schwyz, 26 November)

1847, 29 Nov

end of hostilities; within next few days, federal troops occupy all Sonderbund cantons, including Valais

1847, 7 Dec

Diet refuses French offer of mediation, rejects all intervention in settlement by external powers

1848

new Swiss constitution approved by referendum establishes federal government (bicameral assembly, Federal Council, Federal
Tribunal), divides sovereignty between federal government and cantons, establishes federal citizenship including rights of mobility and
settlement throughout the state

1848, Feb

on news of February revolution in Paris, democratic force invades Neuchtel (Neuenburg) from Chaux de Fonds, establishes republican
regime on 2 March

1848, April

referendum in Neuchtel endorses republican constitution 5800 to 4400; rejected by Prussian king

1848, April

canton of Basel: when Johann Ludwig Becker starts recruiting a German Legion to support revolutionaries in Baden, federal government
sends troops to seal borders with Baden and Alsace

1848

as German revolutions begin in March, German workers in Switzerland meet and organize in support, eventually forming military forces
to support revolutionary activity in various German territories

(Tilly & Castaeda 2007)

65

Fluctuations in Swiss National Regimes, 1790-1848


Zone of
Authoritarian
Citizenship

Zone of
Authoritarianism

GovernMental
Capacity

Zone of
Citizenship

1848
1798
1830
1815

1847
1790

0
0

1
Protected Consultation

Zone of
Fragmented Tyranny

(Tilly & Castaeda 2007)

66

Mexican Democratization
minimal timeline
1876-1911

Porfirio Diazs Dictatorship

1910-1920

Mexican Revolution

1917

Federal Constitution

1929

PNR (PRI) is founded

1934-1940

Lzaro Cardenas (land reform, oil expropriation and party consolidation)

1968

Tlatelolco Massacre / Olympic Games

1982

Peso crash

1983-present

Neo-liberal reform

1985

Earthquake, millions die in Mexico City

1988

Competitive but unfair election between Carlos Salinas and Cuauhtmoc Cardenas

1989

PAN wins Baja Californias governorship

(Tilly & Castaeda 2007)

67

Mexican Democratization 2
January 1st, 1994

NAFTA takes effect. EZLN rebellion in Chiapas begins.

1994

Luis Donaldo Colosio is assassinated as well as Ruiz Massieu.

December 1994

Ernesto Zedillo becomes president.


Pesos crashes again economic crisis.

July 1997

Cuauhtmoc Cardenas is elected the First Mayor of Mexico City.

July 2000

Vicente Fox of the PAN is elected

2000-2005

Andres Manuel Lopez Obrador (AMLO) of the PRD becomes mayor of Mexico City

Summer 2006

Revolts in Oaxaca.

July 2006

Election between AMLO and Felipe Calderon (PAN). Election results are contested but IFE gives
victory to Calderon.

2006

AMLO does not recognize the election results and carries out a series of contentious events.

68

Class Goal
To correctly match
Episodes Concepts Analytic Devices

(Tilly & Castaeda 2007)

69

Concept:
Standing Claims
Standing claims, say that the actor or group belongs and represents an
established certified category within the regime and therefore deserves
the rights and respect that members of that category should receive
(see Tilly and Tarrow 2005:82).
E.g. EZLN posing as representatives of Chiapas indigenous people

(Tilly & Castaeda 2007)

70

Contention Events in Venezuela


Monday April 2nd, 2007
Ernesto Castaeda

(Tilly & Castaeda 2007)

71

1947-48

President Romulo Gallegos, Venezuela's first democratically elected leader,


overthrown within 18 months in military coup led by Marcos Perez Jimenez, who forms
government with backing from the armed forces and the US.

1958

Admiral Wolfgang Larrazabal ousts Marcos Perez Jimenez; leftist Romulo Betancourt
of the Democratic Action Party (AD) wins democratic presidential election (1959-1964).

1964

Venezuela's first presidential handover from one civilian to another. Dr Raul Leoni (AD)
is elected president.

1973

Venezuela benefits from global oil boom. Oil and steel industries nationalized.

1982-84

In 1982 On the so-called Black Friday the Venezuelan currency suffers an important
devaluation. Fall in world oil prices generates unrest and cuts in welfare spending. Dr
Jaime Lusinchi (AD) elected president signs pact involving government, trade unions
and business.

1989

Carlos Andrs Prez (AD) elected president against a background of economic


depression. President imposes austerity measures and takes an IMF loan. Social and
political upheaval includes riots. Violent riots erupt in the streets of Caracas, "El
Caracazo, at least 300 people die. Martial law and a general strike follow.

1992

Some 120 people are killed in two attempted coups, the first led by junior military
officer Colonel Hugo Chavez, and the second carried out by his supporters. Chavez is
jailed for two years before being pardoned.

1993-1996

President Carlos Andrs Prez impeached on corruption charges.


Ramon Jose Velasquez becomes interim president. Rafael Caldera elected president.
Carlos Andres Perez is later convicted and imprison for corruption.

December 1998

A military engineer and the son of schoolteachers, Hugo Chavez Frias is elected the
38th president of Venezuela with 59 percent of the vote. His political party, the
Movement of the Fifth(Tilly
Republic
(MVR), ended
& Castaeda
2007) three decades of democratic rule by two
72
parties, Democratic Action (AD) and the Social Christian Party of Venezuela (COPEI).

Venezuela 2
August 1999

131 elected officials of the National Constituent Assembly convene to draft a new
Constitution. Ratified with 70 percent approval among voters, the 1999 constitution
defines Venezuela's current system.
Among other things the new Constitution calls for the construction of neighborhood
groups to promote the "Bolivarian Revolution" with estimates of more than 70,000.

1999

Chavez prohibits U.S. aircrafts from flying over Venezuela to patrol drug trade in
neighboring Colombia.

2000

Foreign Minister Jose Vicente Rangel discloses plot to kill Chavez.


Chavez wins another six years in office and a mandate to pursue political reforms.

2001

First head of state to visit Iraq since the 1991 Gulf War.

November 2001

President Chavez appears on TV to hail 49 decrees, including land and oil industry
reforms. With this Chavez ends many traces of neo-liberal policies. The opposition
starts to get radicalized and tries to bring Chavez down by any means.

February 2002

Government scraps exchange rate controls. National currency, the Bolivar, plummets
25% against the US dollar.

February 25, 2002

Chavez appoints new board of directors to state oil monopoly Petroleos de Venezuela
(PDVSA) in move opposed by executives of the state company.

April 9, 2002

Trade unions and the Fedecamaras business association declare general strike to
support Petroleos de Venezuela dissidents (supported with $US877,000 by US
& Castaeda 2007)
government NYT April(Tilly
26 2002)

73

Venezuela 3

April 11 2002

Some 150,000 people rally in support of strike and oil protest. National Guard and proChavez gunmen clash with protesters - more than 10 are killed and 110 injured. Military
high command rebels and demands that Chavez resign.

April 12 2002

Armed forces head announces Chavez has resigned, a claim later denied by Chavez.
Chavez is taken into military custody in a Island in the Caribbean. CIA airplane
involved.
Military names Pedro Carmona, one of the strike organizers, as head of transitional
government.
The coup arises from a national strike called by Fedecmaras, La Confederacin de
Trabajadores de Venezuela (CTV) and the so-called Coordinadora Democrtica.

April 14 2002

Chavez returns to office after the collapse of the interim government.

December 2002

Opposition strike cripples the oil industry. Organizers demand that Chavez resign. The
nine-week stoppage leads to fuel shortages.

May 2003- 2004

Opposition delivers petition with more than three million signatures demanding
referendum on Chavez's rule. Government and opposition sign deal brokered by
Organization of American States (OAS) which sets out framework for referendum on
Hugo Chavez's rule. Referendum on August 2003. Carter and other international
observers validate Chavez popular victory in the referendum.

March 2004

The opposition calls for a general strike. During the recent general strike, independent
media stations broadcast an estimated 700 pro-strike (and anti-Chavez)
advertisements a day, according to government reports. During the same two-month
period, President Chavez used 40 hours of airtime, in addition to his weekly television
and radio program Hello President.
(Tilly & Castaeda
2007)
Clashes between opponents
and supporters
of President Chavez, several people are74
killed and many are injured.

Venezuela 4
January 2005

President Chavez signs decree on land reform which aims to eliminate Venezuela's
large estates. President says land redistribution will bring justice to rural poor; ranchers
say move is an attack on private property.

December 2005

Parties loyal to President Chavez make big gains in parliamentary elections.


Opposition parties boycott the poll, leaving parliament entirely made up of supporters
of the president.

December 2006

Hugo Chavez wins a third term in presidential elections with 63% of the vote.

January 2007

Chavez announces that key energy and telecommunications companies will be


nationalized.
National Assembly grants President Chavez sweeping powers to rule by decree for the
next eighteen months (this is stipulated in the present and previous constitution and
has been granted to many previous presidents).
Chavez announces the formation of the Partido Socialista Unido de Venezuela which
aims to unite all the forces from the left under his command including groups that have
called for Chavismo without Chavez.

(Tilly & Castaeda 2007)

75

Figure 3.4: Freedom House Ratings for Venezuela, 1972-2000

1989
1976
1996 1972

2000
Political
Rights

1992

4
1999

1
1

7
Civil Liberties
Note: We have inverted the actual Freedom House ratings, which run from 1 (high) to 7
(low).
Source: Freedom House 2000.

(Tilly & Castaeda 2007)

Taken From: Tilly and Tarrow (2007:65)

76

Analytic Devises
I.

Forms of struggle change in time and in relation to the POS and


regime type.

II. We observe a rise in the intensity of claim making along with


changes in the regime and other contentious events. The waves
observable in Venezuela 1983-1999 are comparable to
Beissinger USSR 1987-1992, and Tarrows Italy 1966-1973.

Take home point:


Venezuelan forms of collective claim making change with the
struggles over the character of the regime. So as regime
transition occur, with Chavez in 1999, there is a peaking on the
number and intensity of struggles because both losers and
winners are stepping up their claims.
(Tilly & Castaeda 2007)

77

Contention in Venezuela
Lopez Maya et al. (2002)
Figure 3.1: Protest Events in Venezuela, 1983-1999
400

Cumulative Number of Events

350

300

250
Violent
Confrontational
Conventional

200

150

100

50

0
1983

1988

1993

1998

Year

(Tilly & Castaeda 2007)

78

Sources
Event catalogue compiled by Ernesto Castaeda from:
Lpez Maya, Margarita cited in Charles Tilly and Sidney
Tarrow. 2005.Contentious Politics. Boulder: CO. Paradigm
Press. And Chapter III in Tilly and Tarrow 2005.
Lpez Maya, Margarita Venezuela en la encrucijada
http://www.aporrea.org/actualidad/a1670.html
PBS online
http://www.pbs.org/frontlineworld/stories/venezuela/facts.ht
ml
BBC Online
http://news.bbc.co.uk/2/hi/americas/country_profiles/122934
8.stm
(Tilly & Castaeda 2007)

79

Tilly (2007)

(Tilly & Castaeda 2007)

80

Tillys Definition of Regime


Regime,
Regime set of relations between states and
citizens, and major political actors, including
groups such as parties, corporations, labor
unions, organized ethnic groups, patronclient networks, warlords, etc. (adapted from
Tilly 2007:12).

(Tilly & Castaeda 2007)

81

The Simple Regime Model


Challenger

Regime
Member

Outside
Actor

Government

Regime

Limits of
Governments
Jurisdiction

Outside of Regime

Coalitions

(Tilly & Castaeda 2007)

82

Regimes and Democracy


(make up for March 19th lecture)
Capacity and Consultation
State capacity and its relation with state-society
consultation; institutionalized relations among
governments and political actors, especially at state
level.
Governmental capacity: extent of control by state
agents over people, activities, and resources within
the government's claimed jurisdiction; e.g. compare
China with Rwanda.
Extent of protected consultation: collective control
by subjects over governmental personnel,
resources, and action; at high end, democracy.
(Tilly & Castaeda 2007)

83

Democratization and De-Democratization


(make up for lecture on March 26th)
Democratization occurs when a regime moves toward these
conditions:
regular and categorical, rather than intermittent and
individualized, relations between the government and its
subjects: citizenship
those relations include most or all subjects: breadth
those relations are equal across subjects and categories of
subjects: equality
governmental personnel, resources, and performances change
in response to binding collective consultation of subjects:
binding consultation
subjects, especially members of minorities, receive protection
from arbitrary action by governmental agents: protection
Moves away from these conditions qualify as de- democratization
(Tilly & Castaeda 2007)

84

These processes generally promote democratization:


democratization
increases in the sheer number of people available for
participation in public politics and/or in connections among
those people
equalization of resources and connections among those
people
insulation of public politics from existing social inequalities
integration of interpersonal trust networks into public politics
reversals of these processes promote de-democratization
Major forms of struggle that have often activated these
processes:
processes

revolution
conquest
confrontation
colonization and de-colonization

85
(Tilly & Castaeda 2007)

Freedom House Checklist for Political


Rights and Civil Liberties
Political Rights

Is the head of state and/or head of government or other chief authority elected through free
and fair elections?
Are the legislative representatives elected through free and fair elections?
Are there fair electoral laws, equal campaigning opportunities, fair polling, and honest
tabulations of ballots?
Are the voters able to endow their freely elected representatives with real power?
Do the people have the right to organize in different political parties or other competitive
political groupings of their choice, and is the system open to the rise and fall of these
competing parties or groupings?
Is there a significant opposition vote, de facto opposition power, and a realistic possibility for
the opposition to increase its support or gain power through elections?
Are the people free from domination by the military, foreign powers, totalitarian parties,
religious hierarchies, economic oligarchies, or any other powerful group?
Do cultural, ethnic, religious, and other minority groups have reasonable self-determination,
self-government, autonomy, or participation through informal consensus in the decisionmaking process?
(Discretionary) For traditional monarchies that have no parties or electoral process, does
the system provide for consultation with the people, encourage discussion of policy, and
allow the right to petition the ruler?
(Discretionary) Is the government or occupying power deliberately changing the ethnic
composition of a country or territory so as to destroy a culture or tip the political balance in
favor of another group?
(Tilly & Castaeda 2007)
86

Freedom House Checklist for Political


Rights and Civil Liberties
Civil Liberties

Is there freedom of assembly, demonstration, and open public discussion?


Is there freedom of political or quasi-political organization, including political parties, civic organizations,
ad hoc issue groups, etc.?
Are there free trade unions and peasant organizations or equivalents, and is there effective collective
bargaining? Are there free professional and other private organizations?
Is there an independent judiciary?
Does the rule of law prevail in civil and criminal matters? Is the population treated equally under the law?
Are police under direct civilian control?
Is there protection from political terror, unjustified imprisonment, exile, or torture, whether by groups that
support or oppose the system? Is there freedom from war and insurgencies?
Is there freedom from extreme government indifference and corruption?
Is there open and free private discussion?
Is there personal autonomy? Does the state control travel, choice of residence, or choice of employment?
Is there freedom from indoctrination and excessive dependency on the state?
Are property rights secure? Do citizens have the right to establish private businesses? Is private business
activity unduly influenced by government officials, the security forces, or organized crime?
Are there personal social freedoms, including gender equality, choice of marriage partners, and size of
family?
Is there equality of opportunity, including freedom from exploitation by or dependency on landlords,
employers, union leaders, bureaucrats, or other types of obstacles to a share of legitimate economic
gains?

Adapted by Tilly from Karatnycky 2000: 584-585.


(Tilly & Castaeda 2007)

87

Democracy Today and Tomorrow


(make up for March 28th)
Measuring Democratization

Freedom House monitoring defines democracy as civilian government


competitively elected by general adult suffrage, with parties having significant
public access to voters [weak criterion].

Freedom House also makes more refined ratings of political rights and civil
liberties, based on with scores from 1 (high) to 7 (low) on each item.
Free means that ratings for political rights and civil liberties averaged 3 or less;
Not Free meant average greater than 5.5.

By that standard
1900: 0 of 55 independent national regimes;
1950: 22 of 80;
2003: 117 of 192;
(Tilly & Castaeda 2007)

88

Freedom House Ratings of European Countries on


Political Rights and Civil Liberties, 2001
1,3: Bulgaria,
Greece
1

2,4: Moldova

3,4: Albania

1,2: Belgium, Czech Rep.,


Estonia, France, Germany,
Hungary, Italy, Latvia,
Lithuania, Poland,
Slovakia, Slovenia,
Spain, United Kingdom

Political
Rights

4,5: Turkey

5,5: Russia

4,4: Macedonia,
Ukraine

1,1: Andorra, Austria,


Greek Cyprus, Denmark,
Finland, Iceland, Ireland,
Liechtenstein, Luxembourg,
Malta, Netherlands,
Norway, Portugal, San
Marino, Sweden,
Switzerland
2,2: Croatia,
Romania

2,1: Monaco

3,3: Yugoslavia

NO BINDING, GENERAL,
COMPETITIVE
ELECTIONS =
UNDEMOCRATIC

5,4: BosniaHerzegovina

6,6: Belarus

7
7

4
3
(Tilly & Castaeda
2007)
Civil Liberties

89

Source: Compiled from Freedom House 2000

Trajectories of Four Post-Socialist Regimes, 1991-2001

(Tilly & Castaeda 2007)

90

Freedom House Ratings for All Countries by Total Population, 1981-2002

7000

6000

5000

Not Free

4000

Partly Free
Millions of P eople

Free
3000

2000

1000

0
1981

1985

1989

1991

1993

1995

1997

1999

2001

91

note low point of 1994, with some recovery since then (India back in free as of 1999), with about half the worlds unfree population in
China

Violent Specialists
Intra & Interstate Wars
Castaneda April 4th, 2007
Official specialists in coercion: police, military, guards, etc.
Institutionalized coercive systems: paramilitaries, guerrillas,
posses, vigilantes, drug lords, mercenaries, organized
crime, mafiosi, etc.
Non-institutionalized violence: street robbers, sporadic
crime, personal vendettas, etc.
There is a continuum from state agents to thugs (legitimacy
determined by third party support for coercive action from
these groups).
(Tilly & Castaeda 2007)

92

Mafias and Mercenaries


Mafiosi are first and foremost entrepreneurs in one
particular commodityprotection . . . (see Diego
Gambetta 1993).
Mafiosi are sellers of protection; hence privatizers
of public goods. When, then, should we expect
mafias to proliferate? We observe a near
disappearance of Sicilian mafia under fascism, and
reappearance with liberation. Revival in the U.S.
meant a later revival in Italy.
Likewise, mercenaries sell protection but at a
larger scale.
(Tilly & Castaeda 2007)

93

Space, States, and Specialists in Violence

High
S
P
E
C
I
F
I
C
I
T
Y

POLICE
REGULAR ARMY
G
A
N
G
S
MERCENARIES

OF
T
E
R
R
I
T
O
R
Y

MAFIA,
THUGS,
ETC.

Low
Local

(Tilly & Castaeda 2007)


Area

National

94

History of Western Wars


From
Militias
Feudal levies
Mercenaries
Pirates
Bandits

To
Rise of consolidated states
Concentrated coercion
Rise of interstate violence
Militarization of deaths
National armies
Mass conscription
(Tilly & Castaeda 2007)

95

Further resources:
Tilly, Charles. War Making and State Making as
Organized Crime in Bringing the State Back In
edited by Peter Evans, Dietrich Rueschemeyer,
and Theda Skocpol. Cambridge: Cambridge
University Press, 1985 pp. 169191.
Barkey, Karen. 1994. Bandits and Bureaucrats: The
Ottoman Route to State Centralization. Cornell
University Press.

(Tilly & Castaeda 2007)

96

Source: Mary Kaldor. 2006 [1991]. New Wars Old Wars. Blackwell. Figure 2.1

(Tilly & Castaeda 2007)

97

World death rate for large-scale war


Time

Rough amount of
deaths per million of
population.

18th century

90/million

19th century

150/million

20th century

430/million
(Tilly & Castaeda 2007)

98

Increases in civilian deaths


Time

Percent of civilian
casualties

World War I

5 percent

World War II

50 percent

Wars of the 1990s

90 percent
(Tilly & Castaeda 2007)

99

Number of Civil Wars per Year, 1960-1999


30

25

20

15

10

(Tilly & Castaeda 2007)

100

(Tilly & Castaeda 2007)

101

Source: Mary Kaldor. 2006 [1991]. New Wars Old Wars. Figure 5.1

(Tilly & Castaeda 2007)

102

New and Old Wars


Logistical/organizational differences
old wars: vertically organized, territorially
contiguous governments with built-in military
support systems, taxation, conscription.
new wars: relative weakening of states,
cross-cutting organizations, international
networks, segmentary recruitment, related to
flows of precious commodities, including oil,
diamonds, and human labor.
(Tilly & Castaeda 2007)

103

Tillys Conclusions
1)

During the monopolization of force by great states that occurred in the


West from the 17th to 20th centuries domestic violence decreased
dramatically, independent military forces lost ground enormously, but
states engaged in increasingly destructive international warfare,
2) During the 20th century however, civilians increasingly became victims
through bombing and other changes in military tactics,
3) After World War II warfare shifted for a while to anti-colonial struggles, but
interstate wars then declined remarkably in overall frequency and intensity
despite Afghanistan and Iraq!
4) Within newly independent states, military internal struggles for control -civil wars -- multiplied into the 1990s,
5) Once most such struggles got settled in post-socialist states, civil wars
began to decline in frequency, although they didn't disappear as Congo,
Sri Lanka, and Colombia indicate, by U.S. official figures terror attacks
generally declined along with civil wars, despite 9/11. [It certainly doesn't
seem like it from the news, which necessarily emphasizes violent conflict,
but on the whole intrastate and interstate violence are declining. That is
partly a result of the slow, partial advance of semi-democratic regimes].
(Tilly & Castaeda 2007)

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Terror and Politics


April 9th, 2007
What is terror?
Asymmetrical use of violence and threats of
violence against political enemies.
Terror as strategy:
Signals that the target is vulnerable, that the
perpetrators exist, that the perpetrators have the
capacity to strike again.
Signals typically reach three different audiences:
the targets themselves, potential allies of the
perpetrators, and third parties that might cooperate
with one or the other.
(Tilly & Castaeda 2007)

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Terrorism as a political tool


a recurrent strategy of intimidation occurs widely in
contentious politics, and corresponds approximately
to what many people mean by terror
a wide variety of individuals, groups, and networks
sometimes employ that strategy.
the strategy relates systematically to other forms of
political struggle proceeding in the same settings
and populations
specialists in coercion ranging from government
employees to bandits sometimes deploy terror
under certain political circumstances, usually with
far more devastating effects than the terror
operations of non-specialists
examples: Basque country, Rwanda, anti-abortion
106
activism in the U.S.(Tilly & Castaeda 2007)

Typology of Terror-Wielding
Groups and Networks
Specialists

MI LI TIAS

CONSPIRATORS

Degree of
Specialization

ORDI NARY MI LI TANTS

in Coercion

Non-specialists AUTONOMI STS


Home Territory

ZEALOTS
Outside Home Territory

(Tilly & Castaeda 2007)

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Definitions of Terrorism Used in


State Department Reports

No one definition of terrorism has gained universal acceptance. For the purposes
of this report, however, we* have chosen the definition of terrorism contained in
Title 22 of the United States Code, Section 2656(d). That statute contains the
following definitions:
The term terrorism means premeditated, politically motivated violence
perpetrated against noncombatant targets by subnational groups or clandestine
agents, usually intended to influence an audience.
The term international terrorism means terrorism involving citizens of the territory
of more than one country.
The term terrorist group means any group practicing, or that has significant
subgroups that practice, international terrorism.
The US Government has employed this definition of terrorism for statistical and
analytical purposes since 1983.
Domestic terrorism is probably a more widespread phenomenon than
international terrorism. Because international terrorism has a direct impact on US
interests, it is the primary focus of this report. However, the report also describes,
but does not provide statistics on, significant developments in domestic terrorism
(State 2004: xii).
* i.e. State Department reporters
(Tilly & Castaeda 2007)

108

Significant Terrorist Incidents, January 2003,


According to U.S. State Department
Date

Incident

1/5 India: In Kulgam, Kashmir, a hand grenade exploded at a bus station injuring 40
persons: 36 private citizens and four security personnel, according to press reports. No
one claimed responsibility.

1/5 Pakistan: In Peshawar, armed terrorists fired on the residence of an Afghan


diplomat, injuring a guard, according to press reports. The diplomat was not in his
residence at the time of the incident. No one claimed responsibility.

1/5 Israel: In Tel Aviv, two suicide bombers attacked simultaneously, killing 23 persons
including: 15 Israelis, two Romanians, one Ghanaian, one Bulgarian, three Chinese, and
one Ukrainian and wounding 107 others nationalities not specified according to press
reports. The attack took place in the vicinity of the old central bus station where foreign
national workers live. The detonations took place within seconds of each other and were
approximately 600 feet apart, in a pedestrian mall and in front of a bus stop. The al-Aqsa
Martyrs Brigade was responsible.

1/12 Pakistan: In Hyderabad, authorities safely defused a bomb placed in a toilet of a


Kentucky Fried Chicken restaurant, according to press reports. Two bomb explosions in
Hyderabad in recent months have killed a total of four persons and injured 33 others, all
Pakistanis. No one has claimed responsibility.
(Tilly & Castaeda 2007)

109

Significant Terrorist Incidents 2

1/21 Kuwait: In Kuwait City, a gunman ambushed a vehicle at the intersection of al-Judayliyat and
Adu Dhabi, killing one US citizen and wounding another US citizen. The victims were civilian
contractors working for the US military. The incident took place close to Camp Doha, an installation
housing approximately 17,000 US troops. On 23-24 January, a 20-year-old Kuwaiti civil servant,
Sami al-Mutayri, was apprehended attempting to cross the border from Kuwait to Saudi Arabia. AlMutayri confessed to the attack and stated that he embraces al-Qaida ideology and implements
Usama Bin Ladins instructions although there is no evidence of an organizational link. The assailant
acted alone but had assistance in planning the ambush. No group has claimed responsibility.

1/22 Colombia: In Arauquita, military officials reported either the National Liberation Army (ELN) or
the Revolutionary Armed Forces of Colombia (FARC) terrorists bombed a section of the Cano
Limon-Covenas oil pipeline, causing an unknown amount of damage. The pipeline is owned by US
and Colombian oil companies.

1/24 Colombia: In Tame, rebels kidnapped two journalists working for the Los Angeles Times. One
was a British reporter and the other a US photographer. The ELN is responsible. The two journalists
were released unharmed on 1 February 2003.

1/27 Afghanistan: In Nangarhar, two security officers escorting several United Nations vehicles
were killed when armed terrorists attacked their convoy, according to press reports. No one claimed
responsibility.

1/31 India: In Srinigar, Kashmir, armed terrorists killed a local journalist when they entered his
office, according to press reports. No one claimed responsibility.

Source: State 2004: 95-96.


(Tilly & Castaeda 2007)

110

Connection Between Large Inequalities


and Social Unrest
India's Naxalites
Other terrorists attack the Indian state at its strong pointsits
secularism, its inclusiveness, its democracy. Naxalism attacks where it
is weakest: in delivering basic government services to those who need
them most. The Naxalites do not threaten the government in Delhi, but
they do have the power to deter investment and development in some
of India's poorest regions, which also happen to be among the richest in
some vital resourcesnotably iron and coal. So their movement itself
has the effect of sharpening inequity, which many see as the biggest
danger facing India in the next few years, and which is the Naxalites'
recruiting sergeant.
The Economist August 17th, 2006.
cited in Neha Nimmaguddas student memo
http://economist.com/world/asia/displaystory.cfm?story_id=7799247

(Tilly & Castaeda 2007)

111

Considerations

Terrorism paradox, when there is relative peace, terrorism


becomes very visible in the medias, it appears as big
concern for governments, and is therefore more effective
in causing terror among the civilian population.

In high and medium capacity states terrorist and security


threats can provide grounds for growing authoritarianism
to appear.

In low capacity democratizing states, terrorism and


organized crime pose a great threat to democratization
and to a consolidation of state capacity.
(Tilly & Castaeda 2007)

112

References
Goodin, Robert E. and Charles Tilly. 2006. The Oxford handbook of contextual political analysis. Oxford:
Oxford University Press.
McAdam, Doug, Sidney G. Tarrow, and Charles Tilly. 2001. Dynamics of contention. Cambridge:
Cambridge University Press.
Tilly, Charles. 1998. Durable inequality. Berkeley: University of California Press.
. 2002. Stories, identities, and political change. Lanham, MD: Rowman & Littlefield.
. 2003. Contention and democracy in Europe, 1650-2000. Cambridge: Cambridge University Press.
. 2003. The politics of collective violence. Cambridge: Cambridge University Press.
. 2004. Social movements, 1768-2004. Boulder, CO: Paradigm Publishers.
. 2005. Identities, boundaries, and social ties. Boulder, CO: Paradigm Publishers.
. 2005. Popular contention in Great Britain, 1758-1834. Boulder ,CO: Paradigm Publishers.
. 2005. Trust and rule. New York: Cambridge University Press.
. 2006. Regimes and repertoires. Chicago: University of Chicago Press.
. 2006. Why? Princeton: Princeton University Press.
. 2007. Democracy. Cambridge: Cambridge University Press.
. 2008. Contentious performances. Cambridge: Cambridge University Press.
. 2008. Credit and blame. Princeton: Princeton University Press.
. 2008. Explaining social processes. Boulder, CO: Paradigm Publishers.
Tilly, Charles and Sidney Tarrow. 2007. Contentious politics. Boulder, CO: Paradigm Publishers.
(Tilly & Castaeda 2007)

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More on Professor Charles Chuck Tilly


Books
http://web.gc.cuny.edu/dept/bildn/courses/tillybooks.shtml

Bio
http://web.gc.cuny.edu/dept/bildn/courses/tillybio.shtml

Conference in Honor of Tilly


http://www.ssrc.org/hirschman/event/2008/agenda

Castaeda on Tilly
http://ernestoetc.blogspot.com/search/label/Charles%20Tilly

More material at Davenports in Memoriam


http://www.cdavenport.com/
(Tilly & Castaeda 2007)

114

Move to file number 2 for the rest


of the course material.

(Tilly & Castaeda 2007)

115