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©Copyright 2017 Yu Sasaki Precocious Enough to Rationalize Culture? Explaining the Success and Failure of Nation-Building in Europe, 1400–2000

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©Copyright 2017 Yu Sasaki Precocious Enough to Rationalize Culture? Explaining the Success and Failure of Nation-building in Europe, 1400–2000 Yu Sasaki A dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy University of Washington 2017 Reading Committee: Anthony Gill, Chair Edgar Kiser Victor Menaldo Steven Pfaff Program Authorized to Offer Degree: Department of Political Science University of Washington Abstract Precocious Enough to Rationalize Culture? Explaining the Success and Failure of Nation-building in Europe, 1400–2000 Yu Sasaki Chair of the Supervisory Committee: Professor Anthony Gill Political Science Why do some ethnic groups consolidate their cultural practices earlier than others? Extant schol- arship in ethnicity, nations, and state-building hypothesizes that the state is the most important determinant. In my dissertation, I argue that it is not the only channel and there are other fac- tors that matter. In three standalone essays, I investigate the role of (1) geography, (2) technology, and (3) public goods provision at the ethnic-group level. I provide a simple conceptual frame- work of how each of these determinants affects cultural consolidation for ethnic groups. I argue that geographical conditions and technology adoption can have a positive impact on ethnic groups’ ability to develop unique cultural attributes without an independent state. Although they may be politically incorporated by stronger groups in the modern period, they still demand self-rule or standardize their vernacular. I also argue that, in contrast with the expectation from the political economy research on ethnicity, cultural consolidation does not always yield public goods provision at the ethnic-group level. I show that leadership in a representative organization plays a key role in making the connection between cultural consolidation and public goods provision. I document evidence by constructing two new data sets on 171 European ethnic groups that exist for 1400–2000 and presenting findings from statistical analysis. In one essay, I also use process-tracing methods to uncover a causal variable that is not captured in quantitative analysis. Findings from my histor- ical analysis have implications for understanding why some ethnic groups can use their culture as a political instrument in contemporary politics more effectively than others. My research demon- strates that the past choices that ethnic groups made prove critical and that these choices were made hundreds of years ago. TABLE OF CONTENTS Page List of Figures ........................................... iv List of Tables ........................................... vi Chapter 1: Introduction ................................... 1 Chapter 2: Ethnic Autonomy ................................ 12 2.1 Introduction ...................................... 12 2.2 Literature ........................................ 16 2.2.1 The Homeland ................................. 16 2.2.2 Sovereignty .................................. 18 2.3 Theory ......................................... 19 2.3.1 Political authority in premodern Europe ................... 19 2.3.2 Ethnicity formation .............................. 20 2.3.3 Role of geography in the formation of autonomy .............. 22 2.3.4 Alternative arguments ............................. 24 2.4 Empirical Strategy ................................... 27 2.5 Evidence ........................................ 36 2.5.1 Descriptive evidence ............................. 36 2.5.2 OLS regression results ............................. 40 2.6 Conclusion ....................................... 46 Chapter 3: Publishing Nations: Technology Acquisition and Language Standardization for European Ethnic Groups .......................... 47 3.1 Introduction ...................................... 47 i 3.2 Cultural Rationalization, Ethnicity, and the Nation .................. 50 3.3 Print Technology and Language Standardization ................... 53 3.3.1 The technological innovation ......................... 53 3.3.2 The state’s role in the spread of print and language standardization ..... 55 3.3.3 Print and vernacular standardization ..................... 57 3.3.4 The significance of the early adoption of the press .............. 61 3.4 Empirical Strategy ................................... 63 3.5 Estimation Results ................................... 72 3.5.1 Baseline regression .............................. 72 3.5.2 Robustness checks: The role of the state ................... 77 3.5.3 Robustness checks: Human capital’s impact ................. 79 3.5.4 Distance to Mainz as an instrumental variable ................ 82 3.6 Conclusion ....................................... 87 Chapter 4: Does Cultural Consolidation Lead to Public Goods Provision? Evidence from the Failure of the Occitan Nation in France .................. 89 4.1 Introduction ...................................... 89 4.2 Theorizing the failure of nations ............................ 92 4.2.1 Why study failure? ............................... 92 4.2.2 Defining failure ................................ 94 4.3 Empirical strategy ................................... 100 4.3.1 Process-tracing methods ........................... 100 4.3.2 Matching methods for case selection ..................... 101 4.3.3 Propensity score matching .......................... 102 4.4 Searching for the causes of failure ........................... 111 4.4.1 The French ................................... 111 4.4.2 The Occitans .................................. 113 4.5 Conclusion ....................................... 126 Appendix A: Appendix for Chapter 2: “Ethnic Autonomy” ................. 155 A.1 Descriptive statistics .................................. 155 A.2 Regression tables .................................... 156 ii A.2.1 OLS results ................................... 156 A.2.2 Endogeneity concerns ............................. 160 Appendix B: Appendix for Chapter 3: “Publishing Nations” ................. 170 B.1 List of 171 ethnic groups in the data set ........................ 170 B.2 List of 47 European states in the data set ....................... 175 B.3 Regression tables .................................... 178 B.3.1 Cox proportional hazards and logistic regression models used in paper .. 178 B.3.2 Robustness checks I: state as the unit of analysis ............... 180 B.3.3 Robustness checks II: The role of human capital ............... 184 B.3.4 Instrumental variables (IV) approach: Distance from Mainz as IV ..... 186 Appendix C: Appendix for Chapter 4:“Does Cultural Consolidation Lead to Public Goods Provision? ” ................................... 189 C.1 Coding rules for the variables used in regression analysis .............. 189 C.2 Summary statistics ................................... 192 C.3 Full regression output used in the main body ..................... 193 iii LIST OF FIGURES Figure Number Page 2.1 Ethnic groups in France and the cities. The red dot indicates Paris. ......... 30 2.2 Geographical distribution of dependent variables (the red dot indicates Paris). Darker colors indicate higher proportions. The data is from 1863. .............. 37 2.3 Distribution of geographical scales. Lighter colors indicate higher counts. ..... 39 2.4 The OLS regression output on key predictors. .................... 41 2.5 The substantive effect of distance from Paris (from OLS regression). ........ 42 2.6 The simulated effect of varying distances from Paris (from OLS regression). .... 43 2.7 The effect of interactions between ethnicity and distance from Paris (from OLSre- gression). ........................................ 44 2.8 The effect of interactions between ethnicity and varying distances from Paris (from OLS regression). .................................... 45 3.1 Cumulative number of printing press adoption among European ethnic groups. .. 55 3.2 Cumulative number of vernacular dictionary publication among European ethnic groups. ......................................... 61 3.3 Geographical distribution of the homeland cities for 171 European ethnic groups. 65 3.4 Geographical distribution of vernacular dictionaries 1800–2000. .......... 68 3.5 Differences in the timing of printing press adoption on language standardization. 77 3.6 Geographical distribution of printing press 1450–1800. ............... 84 4.1 Cumulative number of vernacular dictionary publication among European ethnic groups. ......................................... 97 4.2 Distribution of propensity scores for two sets of ethnic groups on language stan- dardization by 1900. .................................. 107 4.3 Region of Occitan speakers at the time of the French Revolution. .......... 116 A.1 Distribution of distance to Baghdad and of the time elapsed since the Neolithic Rev- olution. ......................................... 161 iv A.2 2SLS (two-stage least-squares) model with the onset of agriculture as IV. ...... 162 A.3 2SLS (two-stage least-squares) model with the onset of agriculture as IV. ...... 164 v LIST OF TABLES Table Number Page 3.1 Summary statistics. ................................... 67 3.2 Two-by-two table on the relationship between print technology and vernacular dic- tionary (n=171) .................................... 73 3.3 Regression outputs of the printing press’ impact on language standardization. ... 75 3.4 Cox proportional hazards model outputs of the printing press’ impact on language standardization. ...................................
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