Alien Rule and its Discontents Michael Hechter School of Global Studies Arizona State University

The difference between inbred oppression and that which is from without is essential, inasmuch as the former does not exclude from the minds of the people a feeling of being self-governed; does not imply (as the latter does, when patiently submitted to) an abandonment of the first duty imposed by the faculty of reason. - William Wordsworth, The Convention of Cintra (1809) - William Wordsworth, The Convention of Cintra (1809)

Self-government is better than good government. - Sir Henry Campbell- Bannerman

Actions are held to be good or bad, not on their own merits, but according to who does them, and there is almost no kind of outrage – torture, the use of hostages, forced labour, mass deportations, imprisonment without trial, forgery, assassination, the bombing of civilians – which does not change its moral colour when it is committed by ‘our’ side. - George Orwell

Alien Rule and Its Discontents Why the preference for self-rule? Why the preference for self-rule? Biological drive for self-determination Biological drive for self-determination Homophily Homophily Values Values Ignorance about ‘facts on the ground’ due to remoteness of decision-makers Ignorance about ‘facts on the ground’ due to remoteness of decision-makers Inhumanity of alien rule Inhumanity of alien rule Lack of accountability Lack of accountability Lack of stakeholding Lack of stakeholding Discrimination against natives, etc. Discrimination against natives, etc.

For critics of alien rule, identity trumps competence as a criterion for governance However, the principal distinguishing characteristic of the modern social order is that officials and staff are selected on the basis of their technical competence and expertise – not their identity However, the principal distinguishing characteristic of the modern social order is that officials and staff are selected on the basis of their technical competence and expertise – not their identity

Alien Rule and its Discontents Even when it comes to governance, these explanations for the failure of alien rule are inadequate Even when it comes to governance, these explanations for the failure of alien rule are inadequate Antipathy to alien rule is overdrawn Antipathy to alien rule is overdrawn Alien rule problematic only after emergence of norm of national self-determination (French Revolution) Alien rule problematic only after emergence of norm of national self-determination (French Revolution) Definition of “alien” is a social construction Definition of “alien” is a social construction Alien rule not always scorned Alien rule not always scorned

Carlos Ghosn – French CEO of Japan’s Nissan Motors

Howard Stringer, Welsh CEO of Japan’s SONY Corporation

Vikram Pandit, Indian CEO of US’s Citigroup

Enlightenment theorists regarded European rule in Africa and Asia as a progressive force Enlightenment theorists regarded European rule in Africa and Asia as a progressive force

Some successful instances of alien rule American occupation of Germany and Japan American occupation of Germany and Japan (Some) beneficial consequences of British and Japanese colonial rule (Some) beneficial consequences of British and Japanese colonial rule (Some) UN peacekeeping operations (Some) UN peacekeeping operations

The case for alien rule Alien rulers are objective – can defuse internal disputes Alien rulers are objective – can defuse internal disputes Can provide superior organizational models Can provide superior organizational models legal and financial institutions legal and financial institutions Can provide wider access to science, technology, markets, credit Can provide wider access to science, technology, markets, credit

Legitimacy of alien rule Depends on net benefits provided by alien rulers Depends on net benefits provided by alien rulers Hypothesis: Legitimacy maximized to the degree that rulers are fair and effective Hypothesis: Legitimacy maximized to the degree that rulers are fair and effective Fairness (procedural justice) Fairness (procedural justice) Behind the veil of ignorance, people support procedures that lead to fair allocation. Even if they fail to win on this round, they know they have a good chance of winning on subsequent rounds Behind the veil of ignorance, people support procedures that lead to fair allocation. Even if they fail to win on this round, they know they have a good chance of winning on subsequent rounds Effectiveness Effectiveness People will accept institutions that have been demonstrated to improve their welfare People will accept institutions that have been demonstrated to improve their welfare

Alien Rule and its Discontents Alien rule can be: Elected Elected Legitimacy – and alien ruler – comes from the ruled Legitimacy – and alien ruler – comes from the ruled Imposed Imposed Legitimacy is problematic Legitimacy is problematic So is persistence So is persistence

Alien Rule and its Discontents Elected Alien Rule: The Podesteria of Genoa (13 th C)

Alien Rule and its Discontents The podestà – an alien ruler elected by the Genoese (Greif 1998) The podestà – an alien ruler elected by the Genoese (Greif 1998) A non-Genoese elected by Genoese A non-Genoese elected by Genoese Installed to end interclan conflict Installed to end interclan conflict Institution lasted for 150 years Institution lasted for 150 years

Alien Rule and its Discontents Legitimacy of the institution derives from constraints instituted by the Genoese. The podestà Legitimacy of the institution derives from constraints instituted by the Genoese. The podestà Governed for a year, then had to leave Governed for a year, then had to leave Received high wages and bonus if social order maintained Received high wages and bonus if social order maintained Was selected by members of different clans Was selected by members of different clans Ties to Genoese minimized Ties to Genoese minimized Administrator controlled Genoa’s finances Administrator controlled Genoa’s finances

Alien Rule and its Discontents Imposed Alien Rule The Chinese Maritime Customs Service (CMCS) The Chinese Maritime Customs Service (CMCS)

Alien Rule and its Discontents The CMCS – an imposed alien ruler, British-run The CMCS – an imposed alien ruler, British-run Established to manage disorder arising from the importation of opium and to collect duties on maritime trade Established to manage disorder arising from the importation of opium and to collect duties on maritime trade Lasted almost 100 years ( ) Lasted almost 100 years ( ) Over time, it provided a panoply of public goods Over time, it provided a panoply of public goods Domestic customs administration Domestic customs administration Postal administration Postal administration Harbor and waterway management Harbor and waterway management Weather reporting Weather reporting Anti-smuggling operations Anti-smuggling operations Mapped, lit, and policed the China coast and the Yangzi. Mapped, lit, and policed the China coast and the Yangzi. Involved in loan negotiations, currency reform, and financial and economic management Involved in loan negotiations, currency reform, and financial and economic management Developed its own military force Developed its own military force

Alien Rule and its Discontents Persistence – check on CMCS power – explained by: Persistence – check on CMCS power – explained by: CMCS’ interests precluded its confiscating too much revenue CMCS’ interests precluded its confiscating too much revenue CMCS devoted to Qing regime via treaties CMCS devoted to Qing regime via treaties Corruption would have created friction, hindered business opportunities Corruption would have created friction, hindered business opportunities

Alien Rule and its Discontents CMCS adopts due process and bureaucratic norms: CMCS adopts due process and bureaucratic norms: Transparency of administration and inclusion of Chinese Transparency of administration and inclusion of Chinese In contrast with ‘No dogs or Chinese…..’ In contrast with ‘No dogs or Chinese…..’ Chinese linguists, writers/copyists Chinese linguists, writers/copyists Chinese were given high position in the bureaucracy -- Superintendents Chinese were given high position in the bureaucracy -- Superintendents Preventative measures against corruption Preventative measures against corruption Duties assessors were alien, duties collectors were Chinese Duties assessors were alien, duties collectors were Chinese Port spending highly monitored Port spending highly monitored Inspector General and audit secretary inspected ports Inspector General and audit secretary inspected ports Sanctions for offenders Sanctions for offenders

Alien Rule and its Discontents Outcomes of CMCS Reduced warlord conflict Reduced warlord conflict Provided public goods Provided public goods Provided Chinese government with international credit Provided Chinese government with international credit Evidence of acceptance Evidence of acceptance CMCS powers increased, yet the institution persisted even after the nationalist revolution of 1911 CMCS powers increased, yet the institution persisted even after the nationalist revolution of 1911

Alien rule in Genoa and China emerged from social disorder The institutions used to control the alien rulers and the rival subjects differ markedly in the two cases. The institutions used to control the alien rulers and the rival subjects differ markedly in the two cases. The Genoese could impose much greater constraints on the podestà than the Qing could on the CMCS The Genoese could impose much greater constraints on the podestà than the Qing could on the CMCS Despite this, this comparison suggests that if conducted according to bureaucratic norms, even imposed alien rule can become accepted – and legitimate -- in time Despite this, this comparison suggests that if conducted according to bureaucratic norms, even imposed alien rule can become accepted – and legitimate -- in time

Implications (1) Role of third parties (1) Role of third parties In cases where native society is rent be major social divisions, competing groups cannot credibly commit to a cooperative equilibrium In cases where native society is rent be major social divisions, competing groups cannot credibly commit to a cooperative equilibrium The foreign power can act as a neutral (third) party that makes it possible for competitors to cooperate The foreign power can act as a neutral (third) party that makes it possible for competitors to cooperate

Implications (2) Response to alien rule is contingent, not universal (2) Response to alien rule is contingent, not universal Depends on alien rulers’ incentives to provide good governance Depends on alien rulers’ incentives to provide good governance

Implications (3) The ruled should never be considered a homogeneous group (3) The ruled should never be considered a homogeneous group Every instance of alien rule produces ‘collaborators’ who support the intervention Every instance of alien rule produces ‘collaborators’ who support the intervention Tories in the American Revolution Tories in the American Revolution Reconstruction and Jim Crow Reconstruction and Jim Crow Occupation regimes ( Ophuls, The Sorrow and the Pity) Occupation regimes ( Ophuls, The Sorrow and the Pity)

Example: Differential resistance to alien rule in Taiwan and Korea Significant resistance during the initial phase of alien rule Significant resistance during the initial phase of alien rule Thereafter, greater resistance in Korea Thereafter, greater resistance in Korea More strikes and protests in Korea than Taiwan More strikes and protests in Korea than Taiwan Much greater number of Taiwanese than Korean volunteers in Japan’s military Much greater number of Taiwanese than Korean volunteers in Japan’s military More contemporary criticism of collaborators in Korea than Taiwan More contemporary criticism of collaborators in Korea than Taiwan Differential pattern of policing over time Differential pattern of policing over time

Policing in Taiwan and Korea

The key role of collaborators Taiwanese elite smaller and more dependent than Korean Taiwanese elite smaller and more dependent than Korean Many left Taiwan after the Japanese took control, assuming positions in Qing China Many left Taiwan after the Japanese took control, assuming positions in Qing China This created opportunity for less privileged Taiwanese to take their place. This created opportunity for less privileged Taiwanese to take their place. These Taiwanese owed their status to Japan These Taiwanese owed their status to Japan Korean elite had no exit without losing their status Korean elite had no exit without losing their status They led nationalist resistance to alien rule (Hechter, Matesan and Hale: In press). They led nationalist resistance to alien rule (Hechter, Matesan and Hale: In press).

Conclusion Conclusion Legitimacy of alien rule depends on the rulers’ fairness and effectiveness Legitimacy of alien rule depends on the rulers’ fairness and effectiveness What incentives do alien rulers have to govern well? What incentives do alien rulers have to govern well? In classical colonialism, no such incentives existed; alien rule tended to have malign consequences In classical colonialism, no such incentives existed; alien rule tended to have malign consequences Only available incentives: when alien rulers themselves profit by enacting fair and effective alien governance. Only available incentives: when alien rulers themselves profit by enacting fair and effective alien governance. 2 conditions 2 conditions Trade: they reap gains from heightened trade Trade: they reap gains from heightened trade Security: Security: They support native collaborators who serve as indirect rule (Taiwan) They support native collaborators who serve as indirect rule (Taiwan) They prop up failed states – a source of global social disorder (international peacekeeping) They prop up failed states – a source of global social disorder (international peacekeeping)

Other applications of the theory Differential acceptance of corporate mergers and acquisitions (Demeritt 2008). Differential acceptance of corporate mergers and acquisitions (Demeritt 2008). Diffusion of city manager movement in US and Europe Diffusion of city manager movement in US and Europe

References M. Hechter, “Alien Rule and Its Discontents.”American Behavioral Scientist, In press. M. Hechter, “Alien Rule and Its Discontents.”American Behavioral Scientist, In press. M. Hechter, ed. “Special Issue: Legitimacy in the Modern World,” American Behavioral Scientist, In press. M. Hechter, ed. “Special Issue: Legitimacy in the Modern World,” American Behavioral Scientist, In press. M. Hechter, E. Matesan, and C. Hale, “Differential Resistance to Alien Rule in Taiwan and Korea.” Nations and Nationalism, In press. M. Hechter, E. Matesan, and C. Hale, “Differential Resistance to Alien Rule in Taiwan and Korea.” Nations and Nationalism, In press. A. Demeritt, “Legitimate Authority in Mergers and Acquisitions.” M.A. Thesis, University of Washington (Sociology). A. Demeritt, “Legitimate Authority in Mergers and Acquisitions.” M.A. Thesis, University of Washington (Sociology).