-Caveat Lector-

http://lark.cc.ukans.edu/~ronfran/dictatorsdilemma.htm


The Dictator’s Dilemma

Ronald A. Francisco
Department of Political Science
University of Kansas
1541 Lilac Lane, Lawrence KS 66044

e-mail: [EMAIL PROTECTED]
telephone: 785-864-9023
fax: 785-864-5700
website: http://lark.cc.ukans.edu/~ronfran/
data site: http://lark.cc.ukans.edu/~ronfran/data/index.html

Paper prepared for the Conference on Repression and Mobilization: What
Do We Know and Where Do We Go From Here?
University of Maryland, June 21-24, 2001


The Dictator’s Dilemma[1]


“History has already made its judgment. We were simply forced to act. We
didn’t want to. . . . In ten or twenty years you will come to realize that
these measures were necessary for the stability of China and for world
peace.” Speaking in Austria in 1994, China’s Prime Minister Li Peng
defended the 1989 massacre in Tiananmen Square (Reuters, July 1, 1994).
Will an evaluation in eight more years show this self-serving statement to
be correct? Does a massacre enhance stability and the endurance of
dictatorship? How do dissidents and their leaders view these repression
events? Do they in fact retreat in model obedience to the state? Or do
they lash out at the state and its violence? These questions ground this
paper. It was once accepted that dictatorship was stable and enduring.
Recent regime collapses have altered this perception, but dictatorships
aplenty still remain—many for decades. Long-lasting autocracies have little
or nothing to do with citizen support of the dictator. Instead long-lived
dictatorships imply that the dictator a repressive and monitoring force
that has not repressed sufficiently for dissidents to backlash and mobilize
(Wintrobe 1998). Dictators do not require “legitimacy” or popular support,
much as they might desire it. Control is the vital ingredient here. Yet most
dictators are surprised at their lack of control over dissident acts.
Unexpected events, harsh repression, and natural disasters can weaken
state control over citizens’ actions. In this study, we concentrate on
harsh repression and consequent citizen backlash. From the dictator’s
perspective we investigate the backlash threshold? How much repression is
sufficient to deter protest without causing backlash and high-level
mobilization? This, essentially, is the dictator’s dilemma.

Definitions and Cases What is a dictator? Thomas Jefferson’s definition
serves well even in the twenty-first century: “a dictator [is] invested with
every power: legislative, executive, and judiciary, civil and military, of life
and death over persons and property” (Malone 1948, 360). Given
Jefferson’s definition, foreign military occupiers of a country are also
dictators (e.g., the British in India, Portugal in Guinea-Bissau or Israel in
the West Bank and Gaza Strip). While an eighteenth- century definition
works for current dictatorships, the role dictators’ methods of repression
changed in the twentieth century. As Hannah Arendt (1973, 6) notes: “A
fundamental difference between modern dictatorships and all other
tyrannies of the past is that terror is no longer used as a means to
exterminate and frighten opponents, but as an instrument to rule masses
of people who are perfectly obedient.” What is repression? Wintrobe
(1998, 34) defines repression as “restrictions on the rights of citizens to
criticize the government, restrictions on the freedom of the press,
restrictions on the rights of opposition parties to campaign against the
government, or, as is common in totalitarian dictatorship, the outright
prohibition of groups, associations, or political parties opposed to the
government.” We are concerned with harsh repression, including
massacres, Bloody Sunday (or any other “bloody” day), all involving the
one-sided and overwhelming use of state force. Massacres in real civil wars
generally lie outside our purview (e.g., the massacres in the English civil
war [Coster 1999]).  What is backlash? The goal of this paper is to study and
analyze at least some instances when the entire population is not
perfectly obedient. In particular, it attempts to account for the causes of
backlash, i.e., massive, rapid and accelerating mobilization in the wake of
harsh repression. Backlash generally forms a point of inflection, i.e., the
concavity of the mobilization level shifts from down to up (Francisco 1996).
What is a security police? All dictators depend on forces of political police,
secret police, riot police, prison guards, cadres of military officers and all
judges in courts. As Wintrobe (1998) notes, the security force is often of
dubious loyalty and constitutes the main threat to the dictator. The ways
a dictator rewards and controls the state security force is a principal
determinant of the probability of backlash. Backlash in democratic
countries is easy to understand, but why does it happen in dictatorships?
Particularly vexing is the fact that backlash does not always occur. That is,
in some instances harsh coercion dampens public protest, but in others it
accelerates mobilization (Lichbach 1987). This forms the principal puzzle
that has been partially solved, but does the solution relate to the problem
of mobilization after a massacre? This paper focuses upon a narrow, but
heretofore-unanalyzed piece of the repression/backlash puzzle. While
Lichbach (1987) solved the general problem of the relationship of protest
and repression, we still find niches or contexts that are not fully explored
empirically. Lichbach (1987 and 1995) proved that rational dissidents shift
tactics based upon the level and consistency of state repression. The
cases considered in this paper are all single-day harsh repressions
perpetrated either by dictators or foreign military occupiers who play the
role of dictator. For every case the repression is consistent and harsh
both before and after the massacre. Under these objective circumstances
we would expect to find a strong deterrent to public protest. Indeed, at a
high and broad level, this seems to be the case. Yet sometimes dissidents
seem spontaneously to act collectively; often this directly follows a
massacre or repression of outrageous proportion. Why does this happen?
How do dissidents know that others will act as well? Why do risk- averse
dissidents come out on the street after harsh repression, but generally
not before it occurs? Above all, why do they seem to act only on the basis
of the public good itself, not on the basis of selective benefits (Karklins
and Peterson 1993)? An analysis of these questions includes a set of ten
twentieth-century harsh coercions selected for repression events claiming
many dissident deaths and injuries, but few regime casualties. Table 1
reports the basic information on these well-known middle-level massacres.
Table 1 Short & Long-Term Results of Harsh Repressions

Event
Date
Killed
Injured
Short-Term Result
Long-Term Outcome
Endurance of Dictator

Amritsar, India massacre
4/13/ 1919
530
3001
backlash
Gandhi’s campaign
29 years

Bloody Sunday, Derry, Ulster
1/30/ 1972
13
14
backlash
Provisional IRA terror
26 years

Bachelor’s Walk massacre, Dublin
7/26/ 1914
4
29
backlash
Easter Rising, 1916 & IRA campaign
7 years

Pidjiguiti, Guinea- Bissau massacre
8/3/1959
50
101
retreat
guerrilla war
14 years

Prague repression
11/17/ 1989
0
44
backlash
Resignation
20 days

Sharpeville massacre, South Africa
3/21/ 1960
67
186
backlash
terror & imprisonment of leaders
30 years

Soweto massacre, South Africa
6/15/ 1976
1,000
3,000
backlash
continued struggle against apartheid
14 years

Bloody Sunday, St. Petersburg, Russia
1/9/ 1905[2]
175
625
backlash
accession & 1917 revolution
12 years

Tiananmen Square massacre, Beijing, PRC
6/4/1989
2,600
3,000
backlash
little protest; communist party still rules PRC
12+ years

Wujek mine massacre, Poland
12/16/ 1981
16
39
backlash
tactical shift to clandestine protest
8 years

  Sources: Bell 1993; Furneax 1963; Fein 1977; Forrest 1992; Goldstone 1998;
Honda 1999; Jackson 1999; Lopes 1987; Mandela 1994; Meredith 1977;
Mullan 1997; Nan 1992; Sablinsky 1976; and Suhr 1989.
  The events in Table 1 are selected to provide diversity across space and
time. They occur in a wide variety of  cultural and geographic contexts at
widely varying times. The cases exclude several other twentieth-century
massacres. For example, the 1981 massacre at El Mozote in El Salvador
(Danner 1993). The El Salvadorian army elite battalion killed everyone in the
village except one hidden woman and one fleeing child. There was no one
left to lash back. Similarly, few escaped the Japanese army massacre in
Nanjing, China in December 1937 (Honda 1999). The paper also ignores
systematic, long-term state genocide such as the Holocaust and ethnically
based slaughters, e.g., Rwanda in 1994 (Gourevitch 1998). Instead, massacre
figures shown in Table 1 represent populations in which the majority of
citizens survived the event and were able to initiate public responses.



The Dictator’s Illusions Dictators and their agents regularly make
assumptions or simply take actions to preserve the stability of their
country. Serious and effective repression, they believe, will deter public
protest. Additionally, they assume that known dissident leaders foment
most protest. So, arrest all the dissident leaders and no protest emerges.
We investigate these policies along with several e dictatorships or
countries under foreign military occupation.

Does Harsh Repression Deter Protest? Does consistently severe repression
actually preclude public protest? Consider two examples of short-term
deterrence and immediate backlash. On August 3, 1959, Portuguese police
confronted a dock worker strike in Pidjiguiti (presently in Guinea-Bissau).
Police opened fire, killing 50 workers and wounding more than 100. This
massacre caused dissidents to retreat but then to reemerge in a guerrilla
war against the Portuguese colonial army. There was no immediate public
backlash (Forrest 1992; Lopes 1987). Contrast this with the Czechoslovak
experience. On November 17, 1989 a rumor circulated that Czechoslovak
police had killed one student and wounded dozens in a banned Prague
demonstration. In each of the succeeding three days, mobilization
accelerated in one order of magnitude per day (see Table 2). Within 20
days protesters overwhelmed the state’s repression force and caused the
regime to collapse.[3] The question then becomes, what limits the must
the dictator recognize? When and how can the dictator repress harshly
and dampen repression without backlash? Consider the following
illustration of the assumption that harsh repression stills dissent. On April
13, 1919 British General Reginald Dyer ordered the massacre at Amritsar in
India in which 530 died and thousands were injured. The general later said:
“It was a horrible duty I had to perform. I think it was the merciful thing. I
thought I should shoot well and shoot strong, so that I or anybody else
should not have to shoot again” (Payne 1969, 340). In the long term, and
even often in the short term, it is my conjecture that massacres and other
acts of harsh repression are rarely efficacious for dictators. The obverse,
of course, is that harsh repression, in the long run, helps dissidents to
eliminate dictatorship. If that is the case, the dictator’s dilemma is better
termed the dictator’s illusion. Even if immediate backlash does not occur,
often clandestine and guerrilla conflict arise. A dictator who faces a daily
guerrilla war is not a happy dictator.

Arrest All the Dissident Leaders Arresting all the usual suspects, or
certainly all the dissident entrepreneurs is a common dictatorial policy. It
is analogous to the United States policy of sentencing criminals and drug
dealers in prison to long prison terms. The idea in both cases is that within
the controlled environment of prison, inmates can initiate neither public
protest events nor. Success of the U.S. criminal policy is still
undetermined, but incarcerating protest leaders has failed many times.
The idea of forced imprisonment assumes that the current dissident
entrepreneurs are the last of their lot. When South Africa sent Nelson
Mandela and Walter Sisulu of the ANC and Robert Sobukwe of PAC as well
as many other leaders to Robben Island, the government assumed victory
for apartheid (Mandela 1994; Meredith 1998). This was an illusion of the
first order. Conditions that bred Mandela, Sisulu and Sobukwe had, if
anything, increased. Illegal strikes, the Soweto rising, Steve Biko and
other, increasingly violent challenges revealed dissident entrepreneurs
who were even more virulently anti-apartheid than those languishing on
Robben Island. The Shah of Iran likewise thought he had solved his
dissident problems. By 1976 the Shah’s SAVAK security force had either
incarcerated or killed 90 percent of the members of the Mojahendin-e
Khalq and Fedaii organizations (Colburn 1994). Furthermore, the Ayatollah
Khomeni was safely exiled in Iraq. But three years later the Shah fled Iran,
driven by a coalition of Shia Islamists and middle-class citizens. There are
two concomitant disadvantages of putting dissident entrepreneurs in
prison. The first is that a prison sentence confers on the inmate a badge
of honor. One reason that Nelson Mandela was feted after his release from
Robben Island was the many decades he spent there as a martyr. Vaclav
Havel’s moral authority was enhanced considerably by his long prison
sentence that lasted from January 1989 until the Czechoslovak revolution
began. In India in the early 1930s, Mahatma Gandhi’s Yeravda jail cell
became the prime dissident publication source, with Gandhi’s writings
receiving rapid publication and distribution (Payne 1969). The fact that the
material emanated from prison enhanced their effectiveness as mobilization
devices. A second and related problem of imprisoning dissident leaders is
the probability that dissident movements will shift their tactics to increase
their productivity (Lichbach 1995). For example, when Charles Stewart
Parnell, head of the Irish National Land League in 1881, was imprisoned by
the British for treason, he said that “Captain Moonlight” would take his
place (Jackson 1999). Captain Moonlight referred to agrarian terror—and it
did certainly take place. Under cover of night aristocrats and British
officers were killed in rural areas in Ireland. In South Africa, after Mandela
and his colleagues were jailed on Robben Island, black South Africans
collectively withheld their labor and organized unions, despite their being
forbidden by the state, and forced concessions regarding working
conditions and rules.

The Paradox of Democratic Countries’ Repression in Colonies No one
should be surprised that Portuguese police under orders from dictator
Salazar shot and killed striking dock workers in colonial West Africa.
Nonetheless, three of our cases are in the colonies of the United
Kingdom. While no such massacres occurred within the UK, India, Ireland
and Northern Ireland suffered consistent harsh repression during the first
three-quarters of the century. Foreign military occupation by democratic
countries does not necessarily imply democratic governance in colonies.
The tenacity of foreign military occupation is also remarkable. The
Portuguese fought a debilitating guerrilla war against insurgents in Guinea-
Bissau, steadily losing land over a period of nine years. By 1969 Portugal
controlled only one-quarter of the country, but it stayed for five more
years. British occupation of India and Ireland was finally ended by dissent,
but only after long periods of struggle. Given the findings in this paper, as
long as the casualty rate stays at a ratio of approximately 10 to 1, i.e., ten
of native dissidents, one of the foreign occupation state, then colonial
leaders have no incentive to grant independence to native citizens. Once
the ratio moves to a lower level, costs become a significant issue at home.
The Analytical Problem of Backlash Against Consistent Repression The
driving conjecture of this paper, as noted above, is that consistently harsh
repression is never optimal for a dictator in the long run—and frequently
not in the short run. This view conforms to the theorems Lichbach (1984)
proved on optimality policies of a regime. Lichbach’s theorems
demonstrate that consistent repression necessarily increases the amount
of revolutionary zeal in a country. From Lichbach’s work, one would
expect a consistently repressive dictator to be an embattled dictator.
Certainly the notion of a battle-weary dictator relates to the United
Kingdom’s experience with Ireland and India, to Guinea-Bissau’s guerrilla
war against the Portuguese army, to the East European dictators in 1989,
as well as to the South African dictators’ experience. The price of
consistent repression is revolutionary action. The price of extremely harsh
repression, however, is sometimes even higher. In order to analyze the
cases for the paper, we must consider the relationship between the
dictator and his (there has never been a female dictator) security force.

Rewarding and Punishing the Security Force The dictator’s relationship to
the security force is similar to Calvert’s (1987) leadership dilemma that was
analyzed with game theory. Calvert attempts to discover how a political
leader most effectively sanctions followers’ uncooperative behavior.
Directly concerned about legislative leaders, Calvert even denies that his
paper has any relevance to a national leader. Nonetheless, the problem is
analogous to those faced by dictators. A leader must have cooperative
behavior of his minions. If a follower rebels, the dictator faces a choice.
To deter future defection, punishment is in order. Yet punishment might
jeopardize the dictator’s unassailable leadership position. Calvert shows
that only the leader can know the initial cost of a follower’s punishment.
Consequently, dictators will punish when the cost is minimal. Disgruntled
followers learn ever more about costs over time, but a resolute dictator
can establish a reputation that deters rebellion. Considering Calvert’s
outcome, we can assume that dictators both readily reward and punish
their security forces in order to develop a consistent reputation. Joseph
Stalin solved the dictator’s problem with the security force by subdividing
his security and military ministries into several separate divisions. Stalin
punished severely any section that he thought disobeyed him, thereby
establishing a reputation of ruthlessness that in turn kept other sections
in line (Hingley 1974; McNeal 1988). South African dictators attempted to
protect themselves from the majority population by recruiting black police
to control black African villages and townships. The disadvantage of this
approach, of course, was the relative ease of persuading black police to
defect during instances of conflict in black villages or townships. Defection
of the police or militia was a major factor in the Russian revolution of 1917,
the Iranian revolution of 1979, the Philippine revolution of 1986 and in
almost all of the East European revolutions in 1989 (see, for example, Süß
1999). In all of these circumstances, dictatorial regimes fell because the
security force could not or would not repress dissident citizens. The
obvious solution to these problems is to reward a security force well for
obedience (i.e., consistent repression) while at the same time maintaining
a reputation of toughness and ruthlessness (Wintrobe 1998). Even under
these circumstances, however, loyal security personnel can go too far by
repressing dissidents so harshly that backlash against the state occurs.
Backlash is a perilous event for a dictator. By definition it involves large
and accelerating mobilization. Any mobilization approaching four percent
of a population, or even of the urban population, is usually sufficient to
overwhelm security forces. As Lichbach (1995) notes, no more than five
percent of any population is ever mobilized, so three or four percent of a
local population is a formidable challenge to any government. Dictators
know all of this, of course, but they cannot always elude backlash.

Why Do Rational Dissidents Backlash After Harsh Repression? The real
puzzle resides with the dissidents. Why do they emerge after harsh
coercion—in these cases, massacres—of a consistently repressive state?
Backlash seems to contradict what we know about mobilization. First,
usually no dissident entrepreneur appears to be present during backlash.
Dissidents emerge on their own—seemingly spontaneously. Second, no
visible selective incentive is apparent in backlash mobilization. The public
good itself stands as the solitary putative cause of action. Third, there is
neither regime accommodation nor inconsistent regime action. The regime
policy in all of our cases is consistent harsh repression against dissent.
Finally, the risk of action is large. If the regime has just committed a
massacre, why would it not commit another? In the absence of
accommodation from the regime, why would dissent action accelerate?
Answering these questions necessitates a close examination of the ten
cases in this study and at previous literature findings. We have four puzzles
from the dissident perspective: no mobilizing leader, no selective
incentive, consistent regime policy of repression and great danger of
injury or death. Let us take these four puzzles in turn and attempt to
understand the mechanism of backlash in a dictatorship.

No Mobilizing Leader Except perhaps for the Bachelor’s Walk massacre,
dissident leaders organized all ten of our basic repression events. Punjab
Sikh leaders amassed 15,000 citizens to stand quietly holding hands in an
Amritsar park before General Dyer ordered them shot. The Northern
Ireland Civil Rights Association organized the Bloody Sunday demonstration,
after leaders had secured assurance from the IRA that it would stay away
from the demonstration in order to remove all possible provocation (Mullan
1997). The Bachelor’s Walk incident was inspired by the Irish Volunteers’
success in importing illegal firearms. A great crowd assembled when, at
6:30 pm, troops misunderstood a command and fired into the crowd. Many
fell or were injured in the ensuing chaos. The African Party for the
Independence of Guinea and Cape Verde organized the dock strike that
triggered the Portuguese army action in 1959. In Prague forces in Charter
77 and incipient dissident organizations formed the November 17, 1989
demonstration that led to harsh repression. The Sharpeville massacre was
one tragic result of a nation-wide mobilization by the Pan African Congress
against a new policy in South Africa requiring women to have passes.
Student leaders organized the Soweto rising of students against the hated
Afrikaans language requirement. Father Gapon, an idealistic cleric, led the
1905 Bloody Sunday demonstration in St. Petersburg in order to secure
more food and better living conditions for his flock. The Federation of
Beijing Autonomous Unions set up almost all of the protests that
culminated in the Tiananmen Square massacre. Finally, the Wujek mine
workers protesting against martial law in 1981 were all members of
Solidarity. There was no absence of leadership, then, at the outset of
these events. What happens after the massacre? Does leadership vanish?
Surprisingly, it seems to continue in almost all of these cases. Subsequent
to the Amritsar massacre, Punjab union organizations led strikes and
sabotage. Religious leaders urged all citizens in Punjab to perform hartals,
a religious ritual of fasting and desisting from daily business which became
an Indian version of a general strike against the British (Fein 1977). And, of
course, Gandhi used the massacre to build momentum for his own
nonviolent, hartal-based campaign. Backlash in Derry after Bloody Sunday
took the form of a general strike, terror in Belfast, and then a vigil and
funeral procession in Derry. The general strike was apparently universal
among Catholics, to the point that grocery stores and banks opened for
only a few specified hours, and then immediately closed. Clearly, there
was extreme coordination power within the Catholic region. Planning
began two hours after the massacre. A crowd gathered in a vacant shop.
An official IRA member moved for a general strike; the motion was
seconded by a provisional IRA member. The motion passed unanimously. It
was then transmitted to journalists, broadcast the call over Northern
Ireland and Ireland itself McCann 1992). In the earlier Bachelor’s Walk
incident in Dublin, a similar pattern emerged. First, it was a continuous
backlash. Young men milled around British soldiers’ barracks all night after
the massacre. Second, in a union meeting rank-and-file police refused to
disarm Irish Volunteers, even as 2,000 armed Volunteers appeared on the
street in protest of the massacre. Dublin police met again on the third day
to demand reinstatement of police who were fired for refusing to disarm
Volunteers. Finally, a massive funeral procession moved slowly through
Dublin on the third day. The situation in Guinea-Bissau is the stark
exception in the 10 cases. The independent leadership that organized the
strike learned from it. The African Party for the Independence of Guinea
and Cape Verde ordered a retreat and reorganized the movement as a
guerrilla war against the Portuguese (Forrest 1992; Lopes 1987). Leadership
was constant throughout the massacre—and that is the reason no backlash
occurred. The dissidents’ leaders realized that urban protest would never
be successful against Portuguese colonial police. The accelerating
demonstrations in Prague in November 1989 had organized leadership that
was abetted by knowledge of what was happening in East Germany,
Hungary, Poland and other collapsing communist countries in East Central
Europe. The demonstrations were accompanied by a massive and almost
complete student strike— including not only university students, but high
school students as well. This was a tremendously effective adaptation
tactic. How could the police reach every apartment to force students into
school? The combination of demonstrations and student strikes brought
the regime to its knees. Pan African Congress (PAC) leadership remained
intact during and after the Sharpeville massacre. In fact, the PAC was the
principal mobilizing force in the backlash demonstrations. The African
National Congress also grew more active in the wake of the massacre, even
though its leadership was under constant pressure from the apartheid
state. Students initially controlled the Soweto rising with backlash, mainly
strikes, occurring throughout the country. Riots continued for over two
days and were met with brutal repression, resulting in over 100 dead and
1,100 injured. Fighting finally ebbed on the third day, mainly due to the
repression, but also because of extremely cold weather and a severe
shortage of food. In St. Petersburg in 1905 Father Gapon suddenly and
mysteriously disappeared after shooting began. In his wake students and
militant workers mobilized the building of barricades. Thereafter,
Menshevik revolutionary leaders directed the backlash—Bloody Sunday had
transformed a welfare-based religious movement into a revolutionary force
dedicated to reducing and even removing the Tsar’s power (Sablinsky
1976). The Tiananmen Square massacre failed to destroy totally the
student movement. Two days after the event, an estimated half-million
dissidents blocked a critical bridge, even as the army roamed throughout
Beijing firing indiscriminately at any challengers. Eventually the obstruction
dissolved and the state arrested or deported most of the student
leadership. Finally, the Wujek mine massacre emerged from a protest
against the previous imposition of martial law. Coal miners had refused to
leave the mine, refused to acknowledge martial law and refused to
recognize the proscription of Solidarity. Workers continued to resist when
security forces marched in to clear the mines; in response, police opened
fire and 16 men lay dead. Other mines and factories held out for as much
as two more weeks. By then Solidarity had adapted to the repression by
changing its structure and tactics. Thus was Underground Solidarity born;
it came to dominate all planning and implementing of dissent within Poland
for the next four years.  It is apparent from our investigation that
leadership after a massacre either remains intact or new leaders emerge
almost immediately. Typically, the new dissident entrepreneurs are more
radical than those they supplant. In none of our cases was backlash
mobilization bereft of leadership and direction.

Mobilization without Selective Incentives? Muller and Opp (1986) argued
that the public good itself is the most important incentive to perform
rebellious action. Karklins and Peterson (1993) also note the absence of
selective incentives in the Eastern Europe revolutions. But while selective
incentives are a major factor in Olson’s (1965) collective action theory,
Lichbach (1995) demonstrates that these incentives are merely one of
scores of approaches to the solution of collection action. Moreover,
Karklins and Peterson (1993) underscore the special nature of severe
repression. They call it a “focal event”, an event that marks a critical
tipping point in a society. Lohmann (1994) goes even farther. She notes
that extreme public repression of dissident citizens sets in motion an
informational cascade that reveals to an ever-widening public increasing
evidence of the hidden malign nature of the regime. A massacre or Bloody
Sunday is likely to provide that moral tipping point. Kuran (1995) argues
that most citizens in a dictatorial regime rationally falsify their public
preferences. These preferences remain false as long as the regime shows
no vulnerability. When the regime commits a serious error, such as a public
massacre, Kuran (1995, 248) contends that many citizens break through a
revolutionary threshold to mobilize dissidents quickly and to accelerate
their own participation. Should they be able to sustain their activity, they
can quickly imperil the dictatorial regime. If immediate large-scale
organization is impossible, the specter of a massacre still matters—dissident
leaders mobilize more easily on anniversaries of massacres. The act of
harsh repression focuses a spotlight on the regime and makes mobilization
less problematic than if coercion had not occurred.

Mobilization under a Consistent Repression Policy Lichbach (1984; 1987)
demonstrates that a consistent repressive policy reduces violent dissent.
The cases in our sample had (or have in the case of the PRC) a consistent
repressive policy. Even the UK was consistent. After a massacre, the first
step was to rationalize the troops’ actions and defend the state. The
second step established an inquiry committee which inevitably exonerated
the forces that killed the dissidents. Even General Dyer was found
innocent of killing 530 unarmed Sikh Indians in 1919. Governability models
show that consistent repression reduces violence but augments
revolutionary activity (Lichbach, 1984). Karklins (1987) examined the
dissent/coercion nexus in the USSR and discovered that the Soviet Union
allowed some dissent, as long as it did not exceed prescribed limits. In
almost all, if not all of the cases in this paper, authorities perceived
dissidents as having exceeded the country’s low limit of protest. Yet in
every case the dissidents were unarmed and nonviolent. Thus, when state-
sponsored shooting began, a focal event emerged. After a massacre any
tacit bargain with the state is null and void. Such a signal event changes
the threshold level of action. As Geifman (1993) notes, Russians were
ebullient after the Bloody Sunday massacre. A Russian source explained,
“Surprisingly, no one among the Russians was depressed. . . . On the
contrary, [they] were in a lively, uplifted mood. It was clear that 9 January
would be the signal for a victorious struggle” (Geifman, 1993, 263).
Massacres appear to generate a life beyond simple consistent repression.
The real question remaining, then, is the level of risk that backlash
dissidents accepted by acting.

The Repression Risk of Backlash Action Do backlash dissidents know the
probability of repression when they decide to act in response to
particularly harsh repression? They have good reason to be wary. After all,
our cases document massacres. If we assume that our protesters are risk
averse but are nonetheless incensed, what options do they have for
venting their anger? Tables 2 and 3 show backlash mobilization levels,
casualties and the dissidents’ clear shift of tactics. The numbers in Table 2
are basic estimations of mobilization and casualties from the sources
indicated. At minimum, they represent a probable proper order of
magnitude. The principal tale of Tables 2 and 3 is that after a massacre
dissidents adapt their tactics to elude repression while they continue to
protest. This adaptation generally is effective. Tables 4 and 5 show paired
two-sample t-tests between the percentages of death and injuries in the
original event and backlash protest. In each table are the original 10-case
t-test as well as resampling with the bootstrap with 1,000 repetitions.
Differences of injuries and deaths are not statistically significant with only
ten cases, but each difference is significant with the resampling. Zero is
not in any of the bootstrap confidence intervals of Tables 4 and 5.
Backlash adaptation does appear to help to elude repression. The deaths
during backlash are easily explained. First, the only known deaths after the
Tiananmen Square massacre occurred in Shanghai when thirty dissidents
lay down on the rails challenging a stationary train. State agents ordered
the engineer to drive forward and all 30 protesters were killed. In Soweto,
it was rioters who died after the first day of protest—any person who
confronted the police and the army was likely to be shot. Most backlash,
however, took the form of strikes. Protesters adapted after the Wujek
mine massacre. But since the state previously had imposed martial law,
mobile riot police (ZOMOS) and the army rooted miners out of mines and
workers out of factories and eventually arrested the dissidents.
Table 2 Backlash Estimations

Event
Mobilization at event
Post-1 day
Post-2 day
Post-3 day
Deaths
Injuries
Sources










Amritsar, India massacre
15,000
30,000
30,000
60,000
0
0
Fein 1977; Times (London) 4/14-4/30/ 1919; Irish Times 4/14-4/21/1919

Bloody Sunday, Derry
3,000
15,000
18,000
20,000
0
0
Irish Times 1/31-2/2/1972

Bachelor’s Walk massacre, Dublin
1,000
3,000
6,000
9,000
0
0
De Rosa 1990; Times (London) 7/28-7/ 30/1914

Pidjiguiti, Guinea- Bissau massacre
1,000
0
0
0
0
0
Forrest 1992; Lopes 1987

Prague repression
50,100
2,500
20,000
528,700
0
0
http://lark.cc.ukans.edu/~ronfran/data/ index.html
Sharpeville massacre, South Africa
6,000
15,000
30,000
30,300
0
0
Pogrund 1991

Soweto massacre, South Africa
10,000
50,000
70,000
30,000
109
1,100
New York Times 6/18-6/20/1976

Bloody Sunday, St. Petersburg, Russia
16,000
30,000
300,000
300,000
0
0
Sablinsky 1976; Suhr 1989

Tiananmen Square massacre, Beijing
6,000
30,000
30,000
500,100
30
301
Ming Pao News 1989; Salisbury 1989

Wujek mine massacre, Poland
3,001
28,993
315,855
353,127
13
1,039
http://lark.cc.ukans.edu/~ronfran/data/ index.html

            Table 3 Event and Backlash Tactics

Event
Event Tactics
Post-Event Tactics





Amritsar, India massacre
rally
hartals (general strike) & railroad strike

Bloody Sunday, Derry, Ulster
demonstration
general strike; funeral procession

Bachelor’s Walk massacre, Dublin
march
rallies & funeral processions, accompanied by Irish Volunteers

Pidjiguiti, Guinea-Bissau massacre
strike
none; reorganized for guerrilla war

Prague repression
demonstration
strikes and demonstrations

Sharpeville massacre, South Africa
demonstration
rallies & strikes

Soweto massacre, South Africa
stone-throwing & demonstrations
rioting & strikes

Bloody Sunday, St. Petersburg, Russia
demonstration
general strike

Tiananmen Square massacre, Beijing, PRC
occupation
civil disobedience

Wujek mine massacre, Poland
occupation
occupation

  Despite all the problems in backlash mobilization cited above, our
investigation shows that dissidents, at least in these ten cases, solve the
difficulties naturally. Leadership either continues after massacres or is
replaced by still more zealous leaders. The massacre itself becomes a focal
event, rendering the public good against the state more salient than ever.
Perhaps the most remarkable finding is the general acceleration of
mobilization over the three days after the massacre. Tables 6 through 8
show paired two-sample t-tests and resampling t-tests of mobilization
between the massacre day and all three post-days. The day following the
massacre exhibits tentative mobilization—so tentative that not even the
bootstrap t-tests are statistically significant. Nonetheless, subsequent
numbers of dissidents are significant and generally demonstrate
acceleration. The difference between massacre mobilization and the third
day after the massacre is statistically significant even with only ten cases
(Table 8).



Table 4
Paired 2-sample t-test: Event Deaths – Post-Event Deaths: Raw Data &
Bootstrapping Tests


t-statistic
N/Repetitions
Mean
Standard Error
95% Confidence Interval

1.686
10
430.4
255.2787
-147.0805   1007.88

1.686001
1000
430.4
0.4971479
0.7104267   2.661574 (normal)





1.192761   3.143427 (percentile)





1.076285   2.393544 (bias corrected)


Table 5
Paired 2-sample t-test: Event Injuries-Post-Event Injuries: Raw Data &
Bootstrapping Tests


t-statistic
N/Repetitions
Mean
Standard Error
95% Confidence Interval

1.8273
10
759.9
415.8594
-180.8394   1700.639

1.8273
1000
759.9
0.8817809
0.0969448   3.557655 (normal)





0.1948344   3.847119 (percentile)





0.1009356   3.582225 (bias corrected)


  The apparent absence of selective incentives is less important than in
conventional mobilization. There is an elevated chance of making a
difference by acting, and the public good can be enhanced to include the
defeat of the state (as in Czechoslovakia in 1989 or St. Petersburg in 1905).
Finally, the risk of repression after a massacre is real, but it is mitigated
effectively by adaptive tactics and refusal to cooperate with the
repressing state.


Table 6

Paired 2-sample t-test: Event Mobilization & Post-Day 1 Mobilization: Raw
Data & Bootstrapping Tests


t-statistic
N/Repetitions
Mean
Standard Error
95% Confidence Interval

1.2662
10
9339.2
7375.739
-26024.28   7345.881

1.266205
1000
7375.739
1.97753
-5.146794   2.614383 (normal)





-6.331904   0.5356 (percentile)





-5.89242   0.6912 (bias corrected)




Table 7

Paired 2-sample t-test: Event Mobilization & Post-Day 2 Mobilization: Raw
Data & Bootstrapping Tests


t-statistic
N/Repetitions
Mean
Standard Error
95% Confidence Interval

1.8338
10
70875.4
38648.62
-158304.6   16553.85

1.83384
1000
70875.4
0.654137
-3.11822   -0.5494611 (normal)





-3.355679   -0.901269 (percentile)





-3.135592   -0.54739 (bias corrected)







Table 8

Paired 2-sample t-test: Event Mobilization & Post-Day 3 Mobilization: Raw
Data & Bootstrapping Tests


t-statistic
N/Repetitions
Mean
Standard Error
95% Confidence Interval

2.6337
10
172012.6
65313.19
-319761.3   -24263.9

2.633658
1000
172012.6
0.7692145
-4.14312   -1.124197 (normal)





-4.54435   -1.492892 (percentile)





-4.4669   -1.449867 (bias corrected)







Modeling Revolutionary Backlash One of the cases in our sample led to
almost immediate dissolution of the Czechoslovak communist state because
of enormous backlash mobilization. The same pattern occurred throughout
East Central Europe in 1989 and early 1990: after a particularly egregious
repression event, the dictator loses control of state security forces,
dissident leaders mobilize easily in a repression-free environment, and the
state collapses under the overwhelming protest. Figure 1 shows the level
of revolutionary mobilization in Czechoslovakia from 1986 through regime
transition on December 10, 1989. The figure’s top level should be 500,000
per day to show all of the backlash. Instead it is set at 100,000 per day in
order to depict at least some of the smaller level protests that preceded
the backlash in late November. A total of 8,767,913 Czechoslovak citizens
protested between November 17 and December 10.  As we have seen,
these exponential bursts in mobilization are not uncommon after especially
harsh repression events. How can we understand the mechanism of these
often startling events? Conventional action- reaction or predator-prey
models are inappropriate for the sudden emergence of huge mobilization
levels. Instead, a more appropriate model is one that explicitly
incorporates exponential growth from a small initial base. One such
mathematical formalism is the insect outbreak model (Murray 1993). This is
a relatively simple logistic single-equation model that can be estimated
from the data available on Czechoslovakia:  where N = mobilization levels, a
= the logistic rate of mobilization in the absence of repression K = the
carrying capacity of the environment b = the declining rate of mobilization
due to repression   This is a biological model, of course, so we must modify
it for our purposes. First, we cannot assume continuity. Dissidents do not
remain constantly on the street. Therefore, we transform the model from
a differential to a difference equation (Elaydi 1996). Second, the notion of
a carrying capacity is irrelevant for our purposes—the street can contain
sufficient numbers of dissidents given the 5 percent rule (Lichbach 1995).
We eliminate the carrying capacity, leaving us with the following
difference equation:  where N = mobilization levels, a = mobilization in the
absence of repression, b = the rate of decline of mobilization due to
repression, and R = repression (arrests, injuries, and deaths)     We
estimated this model with Czechoslovak daily-aggregated data from January
1, 1980 to regime transition on December 10, 1989. The results of this test
are shown in Table 9.


Table 9

Results of the Model Estimation


Parameter
Parameter Estimate
Standard Error
t-value
p(t)







a
0.00000017
0.000000004515
36.88
<0.0001

b
20.342
78.7954
0.26
0.7963
Durbin-Watson = 1.9999

  In this estimation repression does not appear to matter, but of course it
was a single repression event that triggered the enormous backlash
mobilization, with virtually no repression thereafter. The logistic parameter
a is nonetheless highly statistically significant, indicating that the model
mechanism of exponential growth fits well to this sort of backlash sample.
Repression did not “remove” many dissidents after the burst in mobilization
and that accounts for its non-significance in the estimation procedure.
This model might be useful in more general terms of protest and
repression. It assumes that once dissent reaches a threshold level,
repression intervenes. If mobilization is able to continue through the
repression as in Czechoslovakia, then we have the kind of results noted
above. If, however, repression contains the dissent, then mobilization
either reaches a plateau or approaches it asymptotically. The Efficacy of
Harsh Repression and Backlash Mobilization This paper investigates ten
instances of massacres by a state. It argues that such egregious repression
is never really efficacious for a dictator. The arguments, at least in the
cases investigated here, are compelling. Let us start with the logical
outcomes of massacres. What are the possibilities after particularly harsh
repression? First, nothing—the repression was effective. Second,
backlash—the repression mobilizes dissidents. Third, a delayed reaction
with a tactical shift—the repression moved dissidents to do two things:
change tactics in order to elude future coercion and mobilize more
dissidents (Lichbach 1987). Two out of these three possibilities are bad for
the dictator. Moreover, even deterrence may be temporary at best.
Durable dictators must then have an uncanny sense of how to use and limit
repression for deterrence alone. But this seems unlikely. Consider the
triggers of backlash in Table 1. In Prague, it was a rumor of one student
shot and killed. In Amritsar, in contrast, it was 530 shot dead and
thousands wounded. Context matters, as does the number of citizens
killed and injured. Pragmatically speaking, it is very difficult for a dictator
to judge accurately his country’s tolerance level of repression. Protest,
random in nature, is usually triggered by an event. Repression is committed
by a security force that cannot always be controlled. A dictator can
require training, but instructors cannot anticipate well which kind of
event might occur. Natural disasters can upset equilibrium, as can other
sorts of events: Hungary’s decision to open its border in 1989 knocked the
foundation out from under the German Democratic Republic. Once the
GDR lost control of emigration, it lost its basis as a government. Almost
anything can trigger an event that later might be depicted as a massacre
or Bloody Day. Once such an event occurs, life changes for a dictatorship.
No longer can a dictator ignore the loyalty issues his security force
presents. An embattled dictator faces episodic challenges of the sort that
occurred in South Africa, India and Ireland, and the guerilla war in Guinea-
Bissau. A regime may have fighter jets, armored personnel carriers and
helicopter gunships, but it still must fight hard to hold the ground it
claims. Table 1 lists the post-massacre tenure of the dictators in our ten
cases. For the most part, their years in power are impressive. Bueno de
Mesquita and Siverson (1995) investigated the office tenure of political
leaders who engage their nations in war. Their data suggest that dictators
are far more robust than democratic leaders—they enjoy lengthier
leadership and they defray many of the costs associated with war that
often topple democratic governments. Losing a war, however, especially
one with high costs, is an equal hazard to political leaders of all stripes.
International war exposes dictators to widespread attention, to the
consequences of losing and to heavy costs in general. In contrast, harsh
domestic repression, finely tuned to context, apparently carries small risks
to tenure. Since the focus is domestic, outside attention is limited and
publicity inside the country is under state control. Dictators can limit
their risks in these ways, but after a massacre, they have a high probability
of embattlement. In our single ongoing regime case, the PRC, the
government must continue to negotiate with an international community
resistant to harsh repression and with ongoing challenges from internal
groups such Falun Gong. One easy way to reduce the risk of overthrow is
to avoid using harsh repression. What is the efficacy of backlash protest
from the dissidents’ perspective? In the case of Czechoslovakia, it was
quick overthrow of the dictatorship (20 days). For most other cases,
though, backlash mobilization was either a first or continuing effort against
the regime. Against a resolute dictator dissidents can hope at best for a
state of continued embattlement. The key for dissidents is to minimize
losses as they attempt to maximize the productivity of adaptation tactics.
Dissidents stay away from work and schools, they engage in work
slowdowns and in other ways signal non-cooperation with the state. To
the extent that a large number of community members participate, they
can inflict significant damage to the dictator’s prestige, reputation and
economic collateral. Dissidents achieved this minimum goal in all of our
cases. Massacres appear to strengthen dissident leadership and
mobilization. Organizing a dissident movement is much easier after a
massacre. Pre-existing associations tend to become at once stronger and
more radical, and resources tend to increase as well. A close examination
of historical sources and contemporary newspapers reporting on the ten
events studied here leads to a rich catalog of solutions to the Rebel’s
Dilemma (Lichbach 1995). Extreme levels of repression help dissidents to
remove the mask of benevolence from a dictatorial regime. Sablinsky (1976)
notes that Russians no longer regarded the Tsar as their natural leader
after January 9, 1905.  Gandhi’s campaign against the British used the
Amritsar massacre and its whitewash as an important mobilization device
(Payne 1969). Derry’s Bloody Sunday accelerated the IRA terror campaign
that led to prison hunger strikes and the deaths of British soldiers in the
Netherlands, Germany and elsewhere in Europe during the 1980s. In South
Africa the 1976 Soweto rising signaled apartheid’s demise. The students’
cause was clearly just and the repression meted out was sufficiently harsh
as to lead to widespread international criticism and withdrawal of
investment from the South African economy. Similarly, St. Petersburg’s
Bloody Sunday initiated the Tsar of Russia’s downward spiral. From the
disastrous Japanese-Russian war through World War I, the Tsar lacked the
broad base of support from his subjects that would have conferred
legitimacy to his reign. Even when the regime faced few repercussions
from backlash, e.g., Poland, Tiananmen and Guinea-Bissau, the initial
repression caused great difficulties for the regime in the long term. In
Poland it was the Underground Solidarity movement that daunted and
humiliated Jaruzelski’s martial law regime. China saw huge international and
domestic political costs arising from the massacre in 1989. “Tiananmen
Square” echoes repeatedly whenever China seeks better accommodation
in international organizations. For the Portuguese, more than a decade of
guerrilla war and significant losses in Guinea-Bissau threatened Salazar’s
dictatorship at home. The start of this paper quoted PRC leader Li Peng’s
assertion that history would verify China’s response during the Tiananmen
Square demonstrations. Recently released transcripts document the
Chinese Communist Party debate about controlling protest in Tiananmen
Square (New York Times, 1/6/2001). The papers reveal two factions, one
recommending slight accommodation, the other demanding harsh
repression. The latter group prevailed, but history refuses to vindicate the
PRC. In fact, all over the world Chinese dissidents continue to mark June 4
as a signal mobilization date.


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[1] I am grateful to the National Science Foundation (award SBR-9631229)
and the Kansas General Research Fund for
partial support of the data in this paper. I also thank Joshua B. Forrest for
his assistance on the Guinea-Bissau case.
[2] January 9 is the date on the old calendar. It is equivalent to January 22
on the Gregorian calendar.
[3] When examples from 1980 through 1995 in Europe occur with no
citation, then the data come from our NSF coding, see http://
lark.cc.ukans.edu/~ronfran/data/index.html.

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