UNIVERSITY OF CALIFORNIA Santa Barbara Beyond Cartels and Kingpins: A Theory on Behavioral Patterns of Drug Trafficking Organizations A Dissertation submitted in partial satisfaction of the requirements for the degree of Doctor of Philosophy in Political Science by Cecilia Farfán-Méndez Committee in charge: Professor Kathleen Bruhn, Chair Professor Heather Stoll Professor Benjamin J. Cohen June 2016 The dissertation of Cecilia Farfán-Méndez is approved: ________________________________________________________ Benjamin J. Cohen ________________________________________________________ Heather Stoll _________________________________________________________ Kathleen Bruhn, Committee Chair June 2016 Beyond Cartels and Kingpins: A Theory on Behavioral Patterns of Drug Trafficking Organizations Copyright © 2016 by Cecilia Farfán-Méndez iii Acknowledgements In 1978 Edward Said published his tour de force Orientalism explaining that the motivation for his work was not exclusively an academic matter yet it was an “intellectual matter of some very obvious importance”. In accordance with Said, without presuming equal achievement, researching drug trafficking organizations and the consequences of the war on drugs is not an exclusively academic matter to me, yet it is an intellectual matter of significant importance for those who know Mexico is decidedly more than the stories about violence and want a better future for the country than the one outlined in the last decade. Delving into the life of criminal syndicates and proposing a new framework for understanding the behavior of drug trafficking organizations has not always been a straightforward endeavor or one within traditional academia. I would like to express my deepest gratitude to my advisor and committee chair Kathleen Bruhn for giving me the freedom to pursue the scholarship of my interest and for encouraging me to explore an under theorized area. Under her mentorship and profound knowledge of Mexico I have been challenged to think critically, continue to distill my arguments, and enjoy working with complex evidence. In the years to come I look forward to more conversations about organized crime over chilaquiles . I am also indebted to Benjamin J. Cohen. My research has greatly benefited from his rigorous approach to theory. His insightful comments largely improved the proposed framework and helped me deal with the ever-present endogeneity challenges inherent in social science. His work ethic is one I hope to model as I progress in the profession. I would also like to thank Heather Stoll for guiding me through the many schools of organization theory. Our early discussions on theoretical perspectives helped me form the initial stages of this research. Her advice and support have assisted me in navigating graduate school since my first year in the program. My sincere appreciation to all the current and previous government officials in Mexico and the United States who generously gave their time to answer the inquisitive and at times intrusive questions from a graduate student. Your help was instrumental in completing this research. Additionally, I would like to thank the Institute on Global Conflict and Cooperation for their generous support during the dissertation writing process that allowed me to travel and conduct vital interviews. My gratitude also extends to Mexico’s National Council on Science and Technology and the University of California Institute for Mexico and the United States, their prestigious support made graduate education a reality for me. All errors and omissions are my own. iv Curriculum Vitæ Cecilia Farfán-Méndez EDUCATION Ph.D., Political Science Expected 2016 University of California, Santa Barbara First field: International Relations (Distinction) Second field: Organization Theory M.A., International Relations 2013 University of California, Santa Barbara M.I.A., Economic and Political Development 2011 Columbia University B.A., International Relations ( Summa Cum Laude) 2009 Instituto Tecnológico Autónomo de México (ITAM) AWARDS AND FELLOWSHIPS UC MEXUS-CONACYT Doctoral Fellow 2011-2016 University of California and National Council for Science and Technology (Mexico) Herbert F. York Global Security Dissertation Fellowship 2014-2015 University of California Institute on Global Conflict and Cooperation Lancaster Fellowship (3X) 2012-2014 University of California, Santa Barbara, Department of Political Science Colin Reed Manzer-Robert G. Wesson Award, (Best seminar paper) 2012 University of California, Santa Barbara, Department of Political Science Fellowship 2011-2013 University of California, Santa Barbara, Department of Political Science CONACYT 2009-2011 National Council for Science and Technology, Mexico Fellowship 2009-2011 Columbia University, School of International and Public Affairs v Fulbright-García Robles Scholar 2009-2011 US Department of State XV Research Award, (Best International Relations thesis) 2009 ITAM Alumni Association PUBLICATIONS Review on Mexican Migration and the US Economic Crisis: A Transnational Perspective Wayne A. Cornelius, David Fitzgerald, Pedro Lewin Fischer and Leah Muse-Orlinoff (eds.) Foreign Affairs Latinoamerica Vol. 10, Number 1, 2010. Profile on “Mexicanos Primero”, Americas Quarterly, Fall 2010. Co-Editor in Pachamama , United Kingdom, 1999 a joint project of the United Nations Environment Programme and Peace Child International in Partnership with UNESCO and UNICEF. Editorial work for the book In Screams and Whispers II , Denise Dresser (coord.), Ed. Aguilar, Mexico 2009. Other Publications Online Colombia Is Not Mexico in Huffington Post Latino Voices . 12/2014 Calderón Takes Aim at Money Laundering in Council of the Americas Online. 08/2010 Colombia and Venezuela's Reconciliation in Council of the Americas Online. 08/2010 New US Border Security Act: The Facts in Council of the Americas Online 08/2010 Who's Who in the Santos Cabinet in Council of the Americas Online 08/2010 Surprises in Mexico's State Elections in Council of the Americas Online 07/2010 Mexico Update: July Elections Evaluate Political Course in Council of the Americas Online. 06/2010 CONFERENCE PAPERS Explaining Counterinsurgency Success: Family Ties and Selective Incentives in India’s COIN Campaigns. Paper prepared for the 2016 Midwest Political Science Association National Conference, Chicago, IL, April 7-10. Co-authored with Amit Ahuja. One of These Things is Not Like The Others: Identifying Behavioral Patterns of Drug Trafficking Organizations. Paper prepared for the 2015 International Studies Association Annual Convention, New Orleans, LA, February 18-21. How Do We Know what They Know? Feasibility, Reliability, and Validity of Undergraduate Program Evaluation through Portfolio Assessment. Paper prepared the 2015 American Political Science Association Teaching and Learning Conference, vi Washington, D.C. January 16-18. Co-authored with Lisa Argyle and Margarita Safronova. Re-conceptualizing Drug Cartel Activities: An Eclectic Theory for Complex Phenomena. Paper prepared for the 2013 Midwest Political Science Association National Conference, Chicago, IL, April 11-14. Understanding Drug Related Violence: Why the Ball Is in the North American Court. Paper prepared for the 2013 Western Political Science Association National Conference, Hollywood, CA, March 28-30. Other Conference Activities Presenter at the Herbert F. York Fellows Symposium Los Alamos National Laboratory (LANL), Los Alamos, New Mexico. May 1, 2015. National Conference Western Political Science Association, Chair/Discussant: 2013. RESEARCH AND TEACHING EXPERIENCE Evolution and Profile of Mexican Drug Trafficking Organizations 2015 Maxwell School of Citizenship and Public Affairs 2014 Syracuse University (Guest Lecture) Organized Crime, Drug-Trafficking, and Their Effects on US-Mexico Relations 2014 Instituto Tecnológico Autónomo de México (Lecturer) Graduate Research Assistant 2014 Political Science Program Learning Outcomes and Major Dimensions Project University of California, Santa Barbara Graduate Research Assistant 2013 W.T. Grant Foundation, Policy Ideas, Entrepreneurs, and Education University of California, Santa Barbara International Politics (Upper Division Teaching Assistant) (2X) Introduction to Research in Political Science (Upper Division Teaching Assistant) (1X) University of California Santa Barbara WORKING PAPERS Building on Sand? Mexico’s Security Institutional Design in the Context of the War on Drugs 2000-2015. With Rafael Fernández de Castro and Gema Santamaría vii SERVICE Member, Anton Vonk Chair in International Security Search Committee 2012 University of California, Santa Barbara, Department of Political Science Graduate Student Association Excellence in Teacher Award (Nominee) 2012 University of California, Santa Barbara Program Assistant, Global Public Policy Network 2011 Columbia University, School of International and Public Affairs Junior Faculty 2006-2008 International Relations Department Instituto Tecnológico Autónomo de México PROFESSIONAL AFFILIATIONS International Studies Association Latin American Studies Association Midwest Political Science Association Instituto Tecnológico Autónomo de México Alumni Association LANGUAGE SKILLS Spanish (Native) English (Fluent) viii ABSTRACT Beyond Cartels and Kingpins: A Theory on Behavioral Patterns of Drug Trafficking Organizations by Cecilia Farfán-Méndez In a post 9/11 world where security threats are not coterminous with state actors, Drug Trafficking Organizations (DTOs) are increasingly becoming sources