Symbolic Politics or Rational Choice? Testing Theories of Extreme Ethnic Violence
Author(s): Stuart J. Kaufman
Source: International Security , Spring, 2006, Vol. 30, No. 4 (Spring, 2006), pp. 45-86
Published by: The MIT Press
Stable URL: https://www.jstor.org/stable/4137529
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Symbolic Politics or
Rational Choice?
Testing Theories of Extreme
Ethnic Violence
Stuart J. Kaufman
Understanding the roots
of extreme ethnic violence has long bedeviled students of politics. What
causes some ethnic groups to engage in bitter wars or even to commit genocide,
whereas others in apparently similar circumstances do not? The issue remains
a key one in international security affairs: of twenty major armed
conflicts ongoing in 2005, for example, one study identifies fifteen as ethnic or
communal.' Additionally, ethnic conflict has been a major source of terrorism:
many prominent terrorist groups, from the Liberation Tigers of Tamil Eelam to
Palestinian Islamic Jihad and the Irish Republican Army, are motivated by ethnic
concerns.
Efforts to explain such violence have generated a huge literature. Early
attempts tended to assume the presence of mutual hostility among contending
ethnic groups in what eventually came to be labeled "ancient hatreds" argu
ments.2 Later study disproved this view, showing that attitudes and even the
identities in question have varied widely over time. The theory of "conflictual
modernization," for example, represented an advance, but it failed to explain
why modernization leads to more violent ethnic conflicts in some times and
places than others.3 The most popular approach today is based on rational
Stuart J. Kaufman is Professor of Political Science and International Relations at the University of
Delaware.
The author thanks Aaron Karnell, Chaim Kaufmann, Marc Ross, Donald Rothchild, and Crawford
Young for their insightful comments.
1. Monty G. Marshall and Ted Robert Gurr, Peace and Conflict, 2005: A Global Survey of Armed
Conflicts, Self-Determination Movements, and Democracy (College Park: Center for International Development
and Conflict Management, University of Maryland, May 2005).
2. See, for example, J.S. Furnivall, Colonial Policy and Practice: A Comparative Study of Burma and
Netherlands India (Cambridge: Cambridge University Press, 1948); and M.G. Smith, The Plural Society
in the British West Indies (Berkeley: University of California Press, 1965). The related
"primordialist theory" was first articulated in Clifford Geertz, "The Integrative Revolution," in
Geertz, ed., Old Societies and New States: The Quest for Modernity in Asia and Africa (New York: Free
Press, 1963). See also Harold R. Isaacs, The Idols of the Tribe: Group Identity and Political Change (New
York: Harper and Row, 1975). A more recent "ancient hatreds" view appears in Robert D. Kaplan,
Balkan Ghosts: A Journey through History (New York: Random House, 1993). For a rational choice account
using similar assumptions, see Alvin Rabushka and Kenneth A. Shepsle, Politics in Plural Societies:
A Theory of Democratic Instability (Columbus: Charles E. Merrill, 1972).
3. For an early observation that identities in conflicts change over time, see Crawford Young, The
Politics of Cultural Pluralism (Madison: University of Wisconsin Press, 1976). The now-consensus
constructivist view appears in Crawford Young, "The Dialectics of Cultural Pluralism: Concept
and Reality," in Young, ed., The Rising Tide of Cultural Pluralism: The Nation-State at Bay? (Madison:
University of Wisconsin Press, 1993), which cites works such as Leroy Vail, ed., The Creation of Tribalism
in Southern Africa (Berkeley: University of California Press, 1989). For a critique of the logic of
the ancient hatreds account of ethnic war, see Stuart J. Kaufman, Modern Hatreds: The Symbolic PoliInternational
Security, Vol. 30, No. 4 (Spring 2006), pp. 45-86
? 2006 by the President and Fellows of Harvard College and the Massachusetts Institute of Technology.
45
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International Security 30:4 46
choice theory, which incorporates some realist ideas of the security dilemma
into an explanation that insists on the rationality even of such extreme behavior
as genocide.4 Opposing this approach is the social-psychological school,
which asserts the critical importance of intangible concerns such as status and
of emotional motives in explaining ethnic violence.5
Most of these works address extreme ethnic violence-that is, ethnic war
and genocide-only in passing, but a few do offer complete theories to explain
these outcomes. The majority agree on defining a war as ethnic "if the contending
actors or parties identify themselves or one another using ethnic criteria."6
A leading rational choice theory proposed by David Lake and Donald
Rothchild builds on James Fearon's understanding of the security dilemma to
assert that ethnic war occurs primarily because information failures and commitment
problems prevent competing groups from reaching a negotiated bargain
that all would prefer.7 Rui de Figueiredo and Barry Weingast propose an
alternative model that purports to explain not only ethnic war but also genocide.8
They argue that predatory elites are the key cause of ethnic war and
tics of Ethnic War (Ithaca, N.Y.: Cornell University Press, 2001), pp. 3-5. The seminal work on
conflictual modernization is collected in Walker Connor, Ethnonationalism: The Quest for Understanding
(Princeton, N.J.: Princeton University Press, 1994). For a critique, see Donald Horowitz,
Ethnic Groups in Conflict (Berkeley: University of California Press, 1985), pp. 99-104.
4. For a prominent early example of this approach, see Robert H. Bates, "Modernization, Ethnic
Competition, and the Rationality of Politics in Contemporary Africa," in Donald Rothchild and
Victor Olorunsola, eds., State versus Ethnic Claims: African Policy Dilemmas (Boulder, Colo.:
Westview, 1983). More recent examples include James D. Fearon and David D. Laitin, "Explaining
Interethnic Cooperation," American Political Science Review, Vol. 90, No. 4 (December 1996),
pp. 715-735; Russell Hardin, One for All: The Logic of Group Conflict (Princeton, N.J.: Princeton University
Press, 1995); and David A. Lake and Donald Rothchild, eds., The International Spread of Ethnic
Conflict: Fear, Diffusion, and Escalation (Princeton, N.J.: Princeton University Press, 1998). The
seminal application of security dilemma theory is Barry R. Posen, "The Security Dilemma and Ethnic
Conflict," in Michael E. Brown, ed., Ethnic Conflict and International Security (Princeton, N.J.:
Princeton University Press, 1993), pp. 102-124.
5. See, for example, Horowitz, Ethnic Groups in Conflict; and Roger D. Petersen, Understanding Ethnic
War: Fear, Hatred, Resentment in Twentieth-Century Eastern Europe (Cambridge: Cambridge University
Press, 2002).
6. The definition is Rodolfo Stavenhagen's, cited in Ted Robert Gurr, Peoples versus States: Minorities
at Risk in the New Century (Washington, D.C.: United States Institute of Peace, 2000), p. 65. Criticisms
of the usefulness of the ethnic war concept include John Mueller, "The Banality of 'Ethnic
War,"' International Security, Vol. 25, No. 1 (Summer 2000), pp. 42-70; and Charles King, "The Myth
of Ethnic Warfare," Foreign Affairs, Vol. 80, No. 6 (November-December 2001), pp. 165-172.
7. Lake and Rothchild, The International Spread of Ethnic Conflict; David A. Lake and Donald
Rothchild, "Containing Fear: The Origins and Management of Ethnic Conflict," International Security,
Vol. 21, No. 2 (Fall 1996), pp. 41-75; and James D. Fearon, "Rationalist Explanations for War,"
International Organization, Vol. 49, No. 3 (Summer 1995), pp. 379-414.
8. Rui J.P. de Figueiredo and Barry Weingast, "The Rationality of Fear: Political Opportunism and
Ethnic Conflict," in Barbara F Walter and Jack Snyder, eds., Civil Wars, Insecurity, and Intervention
(New York: Columbia University Press, 1999), pp. 262-263.
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Symbolic Politics or Rational Choice? 147
genocide, because they provoke violence as a way of maintaining power and
misleading their supporters into thinking the other side is to blame for the
violence.
Among social-psychological theories, the main contender is my symbolic
politics theory.9 According to this model, the critical causes of extreme ethnic
violence are group myths that justify hostility, fears of group extinction, and a
symbolic politics of chauvinist mobilization. The hostile myths, in this view,
produce emotion-laden symbols that make mass hostility easy for chauvinist
elites to provoke and make extremist policies popular. Rationalists disagree: in
a prominent review article, Fearon and David Laitin assert that myths or
discourses cannot explain the different outcomes of ethnic politics.10
This dispute is important not only for scholars' understanding of why extreme
ethnic violence occurs but also for what to do about it. If the LakeRothchild
pure-uncertainty model is right, the best policy for ending ethnic
war is one based on the liberal rationalist idea of third-party monitoring and
enforcement to ameliorate the commitment problem."1 If the de FigueiredoWeingast
elite-predation model is accurate, the correct prescription is to insist
on leadership change. If, however, the symbolic politics theory is accurate, the
pivotal problem is the tougher one of changing the intragroup symbolic politics
that makes predatory elites and policies popular.
This article presents a head-to-head test of the rationalist and symbolist theories
of ethnic war by reexamining two of the cases-Sudan and Rwandadiscussed
by Fearon and Laitin. Rwanda is, additionally, one of the cases de
Figueiredo and Weingast use to develop their model. The questions are these:
Why did Sudanese President Jaafar al-Nimeiri, who had signed a peace agreement
in 1972, abrogate that agreement in 1983 and restart Sudan's north-south
civil war? And why did hard-liners in Rwanda resort to war and genocide in
1994 in the aftermath of President Juvenal Habyarimana's death? A focus on
extreme cases such as these is useful for comparing theories because all-out
wars are a critical test of theories of ethnic violence: explaining ethnic peace is
easier than explaining ethnic war.
My findings are clear: both rationalist models fail in both cases. The pure-
9. Kaufman, Modern Hatreds. See also Tamara Cofman Wittes, "Symbols and Security in Ethnic
Conflict: Confidence-Building in the Palestinian-Israeli Peace Process, 1993-95," Ph.D. dissertation,
Georgetown University, 2000.
10. James D. Fearon and David D. Laitin, "Violence and the Social Construction of Ethnic Identity,"
International Organization, Vol. 54, No. 4 (Autumn 2000), p. 864.
11. Barbara F. Walter, "The Critical Barrier to Civil War Settlement," International Organization, Vol.
51, No. 3 (Spring 1997), pp. 335-364; and Barbara E Walter, Committing to Peace: The Successful Settlement
of Civil Wars (Princeton, N.J.: Princeton University Press, 2002).
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International Security 30:4 148
uncertainty model is incorrect because uncertainties such as information failures
and commitment problems were irrelevant in the Sudan case and are
insufficient to explain the Rwanda case. The elite-predation model rightly assumes
that both conflicts were the result of elite predation-not uncertaintybut
it identifies the wrong mechanism. In neither case was the predatory strategy
the best option for leaders seeking to maintain power; in fact, in both cases
their violent strategies resulted, predictably, in their loss of power. And in neither
case was mass uncertainty about these leaders' violent intentions an important
factor in explaining their popular support. The lone insight provided
by the rationalist approaches is that the timing of the violence in both cases can
be explained in part by shifts in leaders' incentives caused by economic
downturns.
The symbolic politics theory is much more successful in explaining the extreme
violence that occurred in Sudan and Rwanda. In both cases, group fears
and myths that justified hostility were strong, leading to powerfully hostile
mass attitudes. These attitudes created a context for leaders in which predatory
policy was more popular than moderate policy; and the hostile narratives
provided a symbolic vocabulary that the leaders used as tools to mobilize support.
In the Sudan case, Nimeiri was forced to form a coalition with his strongest
rivals-who soon replaced him-because their aggressive policy was more
popular than his previous peaceful one. In the Rwanda case, the extremists'
genocidal strategy is explicable only in terms of their devotion to an ideology
that led them to prioritize genocide over their own survival in power. Furthermore,
symbolist theory explains a range of phenomena that rationalist theory
cannot-why the contending parties were defined as they were, why some
ideas were more popular than others, and why politicians put so many resources
into making symbolic appeals empty of real information. Although no
two cases can provide a definitive test of alternative theories, rationalist theory
emerges from this test significantly weakened, and symbolist theory significantly
strengthened, as explanations for extreme ethnic violence.
The rest of the article proceeds as follows. The first section specifies the assumptions
and logic of each of the three models of ethnic war that are to be
tested. The next section explains the process-tracing method being used and
specifies the causal chain that must have occurred if each theory is correct.
This is followed by two case studies, first Sudan and then Rwanda. Each case
section begins with a brief narrative of the events under study, then presents
the evidence for and against each theory, including whether the hypothesized
process occurred in each case. The conclusion summarizes the results and considers
the implications.
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Symbolic Politics or Rational Choice? 149
Rational Choice and Symbolic Politics Models of Extreme Ethnic
Violence
Rational choice and symbolic politics theories differ in their assumptions
about the nature of ethnicity and the nature of ethnic conflict, as well as about
the causes of ethnic war. Additionally, rational choice theorists differ on some
issues, offering two contradictory models of extreme ethnic violence. Below
are summaries of the assumptions and logic of each model.
RATIONALIST MODELS OF ETHNIC WAR AND GENOCIDE
Rational choice theory assumes that ethnic conflict, like all
is the result of individuals' rational pursuit of univers
wealth, power, and security. Rationalist logic is based on t
understanding of what ethnic identity is: "The instrum
understands ethnicity as a tool used by individuals, group
some larger, typically material end.... [E]thnicity is prima
used for political advantage."12 Ethnic war, in this unders
lectively suboptimal) result of the rational pursuit of i
self-interest. Two different models explain how this proc
places the security dilemma at the heart of the process by
tention leads to war; the other emphasizes elite motivation
THE PURE-UNCERTAINTY SECURITY DILEMMA MODEL. Th
model builds on Fearon's pioneering work about internatio
argues that even if neither side in a conflict wants war, un
rity can cause it to erupt. One reason is informatio
Rothchild argue that because ethnic groups are uncertain
ent intentions, they may overestimate the adversary's
conflict in response. They are also uncertain about likely
conflict, so the likely loser may not know to avoid catastr
early.'3 Another problem is credible commitment: even if
good faith, they may not be able to credibly commit to im
future. Finally, incentives for preemptive military action m
dilemma, spurring violence neither side may want. In this
"risk-aversion is enough to motivate murderous violence."
12. Lake and Rothchild, The International Spread of Ethnic Conflict, pp. 5
13. Lake and Rothchild, "Containing Fear"; and Posen, "The Securit
Conflict."
14. Hardin, One for All.
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International Security 30:4 150
THE ELITE-PREDATION MODEL. De Figueiredo and Weingast disagree with
this conclusion: "The security dilemma is not sufficient in and of itself to explain
the conditions under which hawkish leaders or subgroups succeed in
garnering the support of an often reticent public audience that typically
prefers peace to violence."15 They propose instead an elite-predation model,
which assumes that masses do not want violence but elites do, adding to the
pure-uncertainty logic two more elements: predatory elites and mass uncertainty.
Leaders who fear losing power, they argue, may "gamble for resurrection"
by resorting to predation-provoking ethnic conflict to try to change the
agenda toward issues that favor their remaining in power. Mass publics notice
the violence, so even if they are unsure about which side provoked it, they can
rationally increase their concern that the other group might be dangerous. The
public may therefore rationally support policies leading to war or even genocide,
calculating that the costs of violence are lower than the costs of facing
threatened violence unprepared.
THE SYMBOLIST MODEL OF ETHNIC WAR AND GENOCIDE
Instead of using economists' assumptions about the nature
human motivation, symbolic politics theory bases its assu
findings of social science on both issues. Because this theory is
to most readers, I explain it in more detail.
THE NATURE OF ETHNICITY. The symbolist approach recogn
identity is more than a social category manipulated by eli
findings of Anthony Smith, symbolist theory notes that eac
defined by a "myth-symbol complex" that identifies which ele
culture and what interpretation of history bind the group tog
guish it from others.16 These definitions of identity are alway
example, in some places (e.g., Ireland and Bosnia), myths divid
ligious tradition into different nations, whereas in other cases
shared language and presumed common descent trump religio
This constructivist understanding of ethnicity notes tha
myth-symbol complex is malleable to some degree, it typical
in history and culture that cannot be easily ignored. The cultu
who promotes a given interpretation of ethnic identity is ty
same person as the politician who exploits it; politicians' abili
15. De Figueiredo and Weingast, "The Rationality of Fear," pp. 262-263.
16. Anthony D. Smith, The Ethnic Origins of Nations (New York: Blackw
See also Anthony D. Smith, Myths and Memories of the Nation (Oxford: Oxf
1999).
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Symbolic Politics or Rational Choice? ]51
ity instrumentally is, therefore, limited by the cultural context in which they
operate. For example, the Serbian myths and symbols related to Kosovo were
popularized by the nineteenth-century linguist Vuk Karadzid and promoted
by nineteenth-century Serbian governments. Slobodan Milo'evik did not create
them: he used them but was also constrained by them.17
Although all group mythologies are likely to display some level of ethnocentrism,
myths do vary in the degree to which they portray others as the
group enemy. For example, textbooks in France and Germany portrayed the
other country as its "hereditary enemy" before World War II, but did not do so
after the 1950s.'8 This variation generates symbolist theory's first key hypothesis:
the more a group's myth-symbol complex focuses group hostility on a
particular adversary, the greater the probability of a violent clash with that adversary,
and the greater the likely intensity of the violence. I operationalize
myths justifying hostility as those that explicitly identify the other group as an
enemy, as inferior, or both.
THE SYMBOLIST THEORY OF CHOICE. Symbolic politics theory builds on the
findings of neuroscience, which show that emotions, not rational calculations,
motivate people to act. One study, for example, found that in a gambling
game, individuals with brain damage who did not feel the emotional costs of
losses learned to understand the game, but did not adjust their behavior to
play better.'19 "Physiologically," William Long and Peter Brecke observe, "emotions
are dispositions to action."20 Emotions also help people set priorities
among competing goals: fear, for example, causes people to prioritize security
over other values such as wealth. Studies have shown that attitudes that originally
formed emotionally are more responsive to emotional than to intellectual
appeals.21
17. Kaufman, Modern Hatreds, pp. 170-173.
18. Alice Ackermann, "Reconciliation as a Peace-Building Process in Postwar Europe: The FrancoGerman
Case," Peace and Change, Vol. 19, No. 3 (July 1994), pp. 229-250.
19. Cited in George E. Marcus, W. Russell Neuman, and Michael MacKuen, Affective Intelligence
and Political Judgment (Chicago: University of Chicago Press, 2000), especially p. 32. See also Irving
L. Janis and Leon Mann, Decision Making: A Psychological Analysis of Conflict, Choice, and Commitment
(New York: Free Press, 1977), especially pp. 7-17. The most sophisticated application of psychological
theory to the problem of ethnic violence is Petersen, Understanding Ethnic War. The
standard work on emotion is Nico H. Frijda, The Emotions (Cambridge: Cambridge University
Press, 1986). Also incorporating recent findings in neuroscience are William J. Long and Peter
Brecke, War and Reconciliation: Reason and Emotion in Conflict Resolution (Cambridge, Mass.: MIT
Press, 2003). See also Neta C. Crawford, "The Passion of World Politics: Propositions on Emotion
and Emotional Relationships," International Security, Vol. 24, No. 4 (Spring 2000), pp. 116-156.
20. Long and Brecke, War and Reconciliation, p. 124.
21. Kari Edwards, "The Interplay of Affect and Cognition in Attitude Formation and Change,"
Journal of Personality and Social Psychology, Vol. 59, No. 2 (August 1990), pp. 202-216; and Kari
Edwards and William von Hippel, "Hearts and Minds: The Priority of Affective versus Cognitive
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International Security 30:4 152
The symbolic politics argument asserts that ordinary people choose emotionally
among competing values and leaders by responding to the most
evocative symbol presented to them.22 Symbols are powerful because they simultaneously
refer to an interest and to an emotionally laden myth, often
framing a conflict of interest as a struggle against hostile, evil, or subhuman
forces. Ethnic or national symbols are immensely powerful in this context, enabling
a politician to reinterpret a conflict of interest as a struggle for security,
status, and the future of the group.
Using these symbols to evoke emotions such as resentment, fear, and hatred
is how politicians motivate supporters to act. Politicians with logical arguments
are often at a severe disadvantage when competing with such emotive
symbolic appeals. For example, Armenian nationalist orators drew a million
Armenians to rallies on the Karabakh issue in 1988-in spite of a hostile media
and government-by tapping national pride, referring to national symbols
such as Mount Ararat, and directing hostility toward Azerbaijani Turks by referring
to the 1915 genocide. Incumbent leaders urged caution to avoid violence
and emphasized the costs of ethnic confrontation. As a result, the
incumbents were replaced by nationalists riding on a wave of popular support
for the "sacred cause" who quickly provoked a war.23
THE NATURE OF ETHNIC CONFLICT. According to symbolic politics theory,
individual or group interests are not the main consideration in ethnic conflict.
Rather, as Donald Horowitz shows, "the sources of ethnic conflict reside,
above all, in the struggle for relative group worth."24 In Yugoslavia, for example,
voters responded to the emotional appeal of nationalist firebrands such as
Milo'evi6 and Franjo Tudjman instead of the interest-based appeals of economic
reformers supporting the popular Prime Minister Ante Markovi6. The
result was a war in the interests of almost no one, but comprehensible if understood
as a competition for status. "Why should I be a minority in your state," a
Croat is said to have asked a local Serb, "if you can be a minority in mine?"
PRECONDITIONS FOR ETHNIC WAR AND GENOCIDE. A group mythology that
justifies hostility is a precondition for violent ethnic conflict; it must exist before
a politician can manipulate it. Such myths are not, however, a sufficient
Factors in Person Perception," Personality and Social Psychology Bulletin, Vol. 21, No. 10 (October
1995), pp. 996-1011.
22. Murray Edelman, Politics as Symbolic Action: Mass Arousal and Quiescence (New York: Academic
Press, 1971); Kaufman, Modern Hatreds; Marc Howard Ross, "Psychocultural Interpretations and
Dramas: Identity Dynamics in Ethnic Conflict," Political Psychology, Vol. 22, No. 1 (Spring 2001),
pp. 157-178; and Marc Howard Ross, The Culture of Conflict: Interpretations and Interests in Comparative
Perspective (New Haven, Conn.: Yale University Press, 1993).
23. Kaufman, Modern Hatreds, pp. 60-62.
24. Horowitz, Ethnic Groups in Conflict, p. 143.
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Symbolic Politics or Rational Choice? 153
explanation for violence: hostile myths are common, but ethnic violence is
rare.
The centrality of emotion in symbolist theory suggests a seco
precondition: ethnic appeals are successful in producing extreme
if the group also fears that its existence is threatened. In some
Israelis, there may be a literal fear of genocide. In other cases,
threats can be exaggerated so they seem to be existential ones. E
the threat is often part of the point: what matters is not a sober
mographic or military balances, but the ability to evoke the vis
"our group is in danger." Because the fear is subjective, a probab
standing of its effect is appropriate: the greater a group's fear of
greater the likelihood, and likely intensity, of violence against
A third precondition for ethnic war or genocide is political
which consists of two elements. First, there must be enough
(whether the result of political freedom, state breakdown, or f
to mobilize without facing effective repression; access to state i
viously increases the opportunity to act. Second, as Monica Toft
tail, is a territorial base: ethnic rebels cannot mobilize unless th
territorially concentrated in some region or have a territorial b
boring country.25 Again, a probabilistic formulation is appropr
ing equal, the greater the opportunity for both sides in an ethn
mobilize for violence, the greater the probability of war between
Genocide requires opportunity only on the side of the perpetrat
PROCESSES LEADING TO ETHNIC WAR. Symbolic politics leads
or genocide through a process involving three dynamics-mass h
vinist political mobilization, and a security dilemma-that intera
spiral of escalation, if the preconditions are present.26 Two causa
tinguished, the more common of which, and the one relevan
Rwanda, is the elite-led path. In elite-led mobilization, incum
leaders appeal to symbols that cast another group as an enemy s
hostile emotions, and they provoke violence to stoke ethnic fear
background of hostility and fear, predatory policies-those ai
domination over rival groups-become popular. This is the ope
ure of mass hostility: evidence that predatory policies are popul
of the process can be found in Serbia, where Miloievik used the
the battle of Kosovo Field in 1389 both to conflate Serbs' modern Albanian ri-
25. Monica Duffy Toft, The Geography of Ethnic Violence: Identity, Interests, and Indivisibility of Terri
tory (Princeton, N.J.: Princeton University Press, 2003).
26. Kaufman, Modern Hatreds, chap. 2.
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International Security 30:4 154
vals with their historical Ottoman enemies (promoting feelings of hostility and
fear), and to justify on mytho-historical grounds his policy of domination over
the Kosovo Albanians. Such a policy creates a threat to other groups, increasing
fear and hostility and leading to the emergence of symbol-manipulating
extremist leaders among other groups. The result is a spiral of hostility and
ethnic war.
Symbolist theory therefore specifies the many filters between ethnic myths
and the outbreak of war or genocide. The myths must justify hostility toward
the out-group and be strengthened by existential fear; the groups must have
the opportunity to mobilize; and hostile attitudes must grow strong. Chauvinist
mobilization is also necessary: even given these other factors, extreme violence
can be avoided if ethnic elites skillfully define group needs in moderate
ways and collaborate across group lines to prevent violence: this is consociationalism.27
Extreme violence occurs only if all of these factors work to promote
it.
TYPES OF ETHNIC SECURITY DILEMMA. Symbolic politics theory argues that
the spiral of escalating conflict in these cases is a sort of security dilemma. A
conflict driven only by predatory motives is not a security dilemma, but as
Jack Snyder and Robert Jervis note, often "the security fears of the parties to
civil conflict [are] intertwined with their predatory goals." Snyder and Jervis
therefore distinguish two different security dilemma patterns: "In some cases
predatory motives may be the primary cause, and security fears derivative....
Conversely, in some cases security fears may be primary."28 Theoretically, the
difference is whether the analyst understands the "predatory" goals as security
driven or simply "greedy."29 If expansionist goals are motivated at least in
part by security fears, then there is a security dilemma.
The symbolist argument is that in cases of ethnic civil war, "greed" and "security
motives" are largely indistinguishable. Chauvinist leaders always claim
to be driven by security motives, but what makes them chauvinists is that they
define their group's security as requiring dominance over rival groups-which
is, naturally, threatening to the others. If two or more competing groups feel
they need dominance over the same territory, the result is a security dilemma:
neither group feels secure unless its status needs are met, but both sets of de-
27. Arend Lijphart, Democracy in Plural Societies: A Comparative Exploration (New Haven, Conn.:
Yale University Press, 1977).
28. Jack Snyder and Robert Jervis, "Civil War and the Security Dilemma," in Walter and Snyder,
Civil Wars, Insecurity, and Intervention, pp. 16, 21.
29. This terminology is suggested in Charles L. Glaser, "Political Consequences of Military Strategy:
Expanding and Refining the Spiral and Deterrence Models," World Politics, Vol. 44, No. 4 (July
1992), pp. 497-538.
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Symbolic Politics or Rational Choice? [55
mands cannot be satisfied at once.30 The situation is therefore best understood
as involving both predation (some degree of "greed") and a security dilemma
(in which moves on each side motivated partly by insecurity create insecurity
on the other side).
Method and Case Selection
This article tests three models of ethnic war and genocide by tracing the processes
that led to ethnic wars in Sudan and Rwanda, and to genocide in
Rwanda. As Alexander George and Andrew Bennett argue, process tracing
goes beyond looking for observable implications of theory.31 The analysis focuses
on asking whether the sequence of historical events in these two cases is
compatible with the causal path posited by the theories. Two main questions
are asked. First, is each theory accurate-do the processes posited by each theory
occur in the cases, and do they plausibly account for the outcome? Second,
which theory or model explains the most about each case?
The primary criterion for case selection is unambiguous compatibility with
the scope conditions of both theories. To ensure that the tests are fair to the rationalist
models, I choose cases that rationalist theorists explicitly claim to
explain. Fearon and Laitin assert that the rationalist approach better explains
both the Sudan and Rwanda cases and reject arguments based on mythsymbol
complexes. "Discursive or cultural systems at best create a disposition
for large-scale violence," they argue, but "this discourse is too widespread to
explain variation in levels of violence across cases."32 De Figueiredo and
Weingast proposed the elite-predation model specifically to explain ethnic war
and genocide in the Rwandan case. These are therefore critical cases for rationalist
theory: if rationalists cannot explain their own favorite cases, the empirical
basis for their theories is significantly infirmed. At the same time, because
the symbolic politics theory claims to be a general theory that explains ethnic
war and atrocities within such wars, it should also be able to explain the outbreak
of both wars and the Rwandan genocide.
The two cases together provide a strong test of both theories because
Rwanda represents a relatively easy test and Sudan a tougher test. A theory
30. This argument parallels the one in international security theory regarding the role of predatory
motives in driving the interstate security dilemma. See, for example, Randall L. Schweller,
"Bandwagoning for Profit: Bringing the Revisionist State Back In," International Security, Vol. 19,
No. 1 (Summer 1994), pp. 72-107.
31. Alexander L. George and Andrew Bennett, Case Studies and Theory Development in the Social Sciences
(Cambridge, Mass.: MIT Press, 2005), pp. 13, 205-232.
32. Fearon and Laitin, "Violence and the Social Construction of Ethnic Identity," pp. 863-864.
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International Security 30:4 156
that passes both tests is therefore strongly supported; a theory that fails both
tests is severely weakened. The Rwandan case is easy because all of the causal
factors identified by both theories strongly tended toward the renewal of severe
violence in 1994. If the factors identified by any model turn out not to
have been important, the model is badly undermined. The Sudan case, in contrast,
is more difficult because key causal factors identified by each theory are
questionable. For the pure-uncertainty model, a peace settlement that had already
lasted a decade created a context in which commitment problems were
not obviously important. Similarly, for the symbolist and elite-predation models,
the leader who signed a peace deal in 1972 was an unlikely candidate for
predatory leader a decade later. The more plausible any model's explanation
for that case, the more strongly supported that theory will be.
Although this case selection does involve selecting on the dependent variable-both
cases are examples of extreme ethnic violence-that selection is appropriate
for this study. As George and Bennett argue, such case selection is
not problematic when a case poses a tough test for theory, as the Sudan case
does.33 Furthermore, in a head-to-head test of different models, the key issue is
the relative ability of each to explain the outcome of interest-severe ethnic violence.
The models' ability to distinguish peaceful from violent cases is a relevant
question, but a different one. Also, ethnic peace is the empirical norm, as
Fearon and Laitin show in another study,34 so any plausible theory has to set
stringent conditions for the outbreak of violence, as the theories considered
here do. The result is that peace tends to be theoretically overdetermined, so it
is hard to identify tough tests involving cases of ethnic peace that "should"
have been wars. Furthermore, the one case of relative ethnic peace considered
by Fearon and Laitin-northern India-does not represent a tough test for
symbolist theory because the Muslims, as a dispersed minority, clearly lack a
territorial base, and thus opportunity (except in Kashmir where war did
erupt).35
The challenge in the current study is to specify the causal chain posited by
each model, and so identify the factors that must be present if each theory is to
explain the key dependent variables: outbreak of ethnic war and occurrence of
genocide.
33. George and Bennett, Case Studies and Theory Development in the Social Sciences, p. 76.
34. Fearon and Laitin, "Explaining Interethnic Cooperation," pp. 715-735.
35. Territorial dispersion of Muslims in India is coded in Ted Robert Gurr, Minorities at Risk: A
Global Viezo of Ethnopolitical Conflicts (Washington, D.C.: United States Institute of Peace, 1993),
p. 330. Of the other three cases Fearon and Laitin consider, Yugoslavia is omitted here because a
symbolist account of it is included in Kaufman, Modern Hatreds. The other two, Sri Lanka and
Northern Ireland, are worthy of future examination.
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Symbolic Politics or Rational Choice? 57
RATIONAL CHOICE THEORY
This study tests two different rationalist models of ethnic
cified separately.
PURE-UNCERTAINTY MODEL. The pure-uncertainty secur
posits the following logical chain:
R1. Leaders recognize the costs of war and so prefer a ne
Their efforts to avert war, however, founder on one or
lowing obstacles:
R2. Information failures cause ethnic leaders to overestimate their rivals'
hostility.
R3. Information failures result in ethnic leaders miscalculating the likely
outcome of fighting.
R4. Problems of credible commitment obstruct leaders' efforts to avert violent
conflict.
R5. War begins when one side launches a preemptive attack in pursuit of
military advantage.
If this model is correct, there should be evidence that R1 is true, and that some
combination of R2-R5 caused the outbreak of war in each case.
ELITE-PREDATION MODEL. The model proposed by de Figueiredo and
Weingast posits a different causal logic, which goes as follows:
R6: Predatory elites choose ethnic war or genocide as a strategy to maintain
power.
A related point, logically required by this account but made more clearly by
Fearon and Laitin, is that the leaders' incentive structures must disfavor alternative
strategies, therefore:
R7. The violent strategy is the best one available for maintaining power, in
part because less violent options are obstructed (e.g., economic difficulties
may impede efforts to buy support).
R8. Mass publics support their leaders' aggressive policy because they
fear possible attack by the other group.
R9. Mass publics (which prefer peace) are uncertain about the sources of
violence, attributing the violence to the other side even if their own
leaders are to blame.
These propositions also define a proposed causal mechanism. For the model to
be correct, all four propositions must be true for each case of ethnic war or
genocide.
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International Security 30:4 158
SYMBOLIC POLITICS THEORY
Symbolist theory posits the following causal chain, but firs
tions for ethnic war are necessary:
S1. Widespread group myths exist on both sides that expli
tility toward, or the need to dominate, the ethnic adv
S2. Fear of group extinction is strong on both sides at th
breaks out.
S3. Both sides have a territorial base and the opportunity to mobilize.
Next, mobilization for violent conflict is driven by three processes:
S4. Extreme mass hostility is expressed in the media and in popular support
for the goal of political domination over ethnic rivals (on at least
one side) or resistance to such domination.
S5. Chauvinist elites use symbolic appeals to group myths, tapping into
and promoting fear and mass hostility, to mobilize their groups for
conflict.
S6. A predation-driven security dilemma arises, in which the growing extremism
of the leadership on at least one side results in radicalization
of the leadership on the other.
These propositions together identify a causal mechanism. For the model to be
correct, there must be evidence that in each case of ethnic war, the necessary
preconditions not only were present but were causally important in enabling
chauvinist mobilization and in causing a predation-driven security dilemma.
Additionally, the logic requires that an explicitly genocidal policy must be
based on explicitly eliminationist myths.
The case studies below test whether the hypotheses derived from these three
models accurately explain the outbreak of war in Sudan and war and genocide
in Rwanda. In each case, the critical question is not just whether hypothesized
factors were present, but whether there is evidence that they were causally
important.36
Case 1: Ethnic War in Sudan
There have been three major rounds of ethnic violence in Sudan since World
War II. The first north-south war began in 1955, a few months before Sudan's
36. Since I lack the language skills of an area specialist, the main evidence used in this study is the
judgments of English-speaking area specialists. Wherever possible, this evidence is supplemented
by references to primary sources such as leaders' speeches and public documents.
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Symbolic Politics or Rational Choice? 159
independence, and ended in a negotiated settlement, the Addis Ababa agreement,
in 1972. Then, in 1983 the same Sudanese leader who negotiated the accord,
Jaafar al-Nimeiri, abrogated its main provisions, provoking a new round
of north-south warfare that continued until a peace agreement was signed in
January 2005. A third major conflict erupted in February 2003 in the western
region of Darfur. I focus in this analysis on explaining the outbreak of the most
violent of these conflicts, the second north-south war that began in 1983 and
resulted in the deaths of some 2 million people.
Sudan is divided between a Muslim, Arabized north and a Christian and animist
black African south; northerners and southerners are in turn broken up
into a large array of groups, tribes, and clans. In the north, Muslims are divided
into a number of sects, with the Ansar and Khatmiyya Sufi orders the
most important. A cross-cutting cleavage is ethnolinguistic: some northern
groups are less Arabized than others. This fact was made prominent by the
fighting in Darfur, which has generally pitted sedentary Muslim Zaghawa,
Fur, and other groups against the Sudanese government and their Arabized
(also Muslim) nomadic neighbors organized in so-called Janjaweed militias.37
Additionally, there is an economic cleavage, with the Arabs of the Nile River
valley traditionally providing most of the national elite and excluding others.38
Southern groups speak an array of languages and share no common religion:
some are Christians, while most retain their traditional spiritual beliefs.
The largest of the southern peoples are the Dinka, who have formed the backbone
of the rebel groups, and the Nuer, who have typically been divided between
the rebel and government camps.39 Neither Dinka nor Nuer have an
overarching ethnic leadership, and their subgroups have often fought each
other as well as other southern peoples. Thus while Sudan's conflict was an
ethnic war, it was also a coalition war, with the Arabs of the north and the
Dinkas of the south leading shifting coalitions of ethnic groups and subgroups
against each other.
The critical questions in explaining the outbreak of fighting in Sudan are:
Why did President Nimeiri abrogate the Addis Ababa agreement in 1983, and
why did that action provoke a massive rebellion? Nimeiri came to power in a
military coup in 1969 in alliance with leftist elements. The Ansar sect at-
37. For details on the people of Darfur, see Alex de Waal, "Who Are the Darfurians?" African Affairs,
Vol. 104, No. 415 (April 2005), pp. 181-205. On the conflict, see Scott Anderson, "How Did
Darfur Happen?" New York Times Magazine, October 17, 2004, p. 52.
38. For background, see Amir H. Idris, Sudan's Civil War-Slavery, Race, and Formational Identities
(Lewiston, Maine: Edwin Mellen, 2001), pp. 5-6.
39. See, for example, Ann Mosely Lesch, The Sudan: Contested National Identities (Bloomington: Indiana
University Press, 1999); and Sharon Elaine Hutchinson, Nuer Dilemmas: Coping with Money,
War, and the State (Berkeley: University of California Press, 1996).
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International Security 30:4 60
tempted to resist and was crushed in 1970; in 1971 the leftists attempted a coup
and were defeated. Nimeiri thus found himself short of allies, while he shared
a common enemy-the Islamists-with the southerners. He also seems to have
concluded that the war in the south was not winnable.40 The stage was set for
the 1972 agreement, after which Nimeiri allied himself with a coalition of centrist
technocrats, the army, and leaders from the south, which was granted
autonomy.
In 1976, however, a coalition of Islamist groups launched a coup attempt
with Libyan aid. Although Nimeiri defeated the coup, he decided to reconcile
with the Islamists, taking Ansar leader Sadiq al-Mahdi into his government.
Nimeiri then moved increasingly toward the Islamists and away from the
terms of the Addis Ababa agreement. He merged the previously separate secular
and sharia courts in 1980, then imposed full Islamic law in September 1983.
Starting in 1981 he began trying to break up the southern region into three less
autonomous provinces. When the southern legislature resisted, he imposed
the division unilaterally in 1983. These actions came in the context of increasing
economic distress-a recession leading to strikes, riots, and a punitive recovery
plan imposed by the International Monetary Fund-beginning in 1981.
Nimeiri also tried to transfer southern army units to the north, in violation of
the Addis Ababa agreement. The southerners mutinied, and when Nimeiri ordered
northern troops to attack the mutinous southerners in May 1983, the
civil war resumed.41
SUDAN: THE SYMBOLIST EXPLANATION
Because Sudan's civil war was initiated by the north, a sym
begin with the myths and fears underlying northern h
south. Other important factors include the myths and fear
southern resistance, opportunity, and the processes of chau
of ethnic hostility. These hypotheses are assessed below.
S1 AND S2: HOSTILE MYTHS AND EXISTENTIAL FEARS IN THE NORTH. The mainstream
northern Sudanese mythology asserts an Arab and Muslim identity for
its adherents. Northern families cultivate myths of descent from Arab ancestors
as a way of claiming membership in the Arab world and a distinction
from the "Africans" of the south. The aim is "to enhance pride and selfesteem,"
which often shades into "an attitude of racial and cultural superior-
40. Donald Rothchild, Managing Ethnic Conflict in Africa: Pressures and Incentives for Cooperation
(Washington, D.C.: Brookings, 1997); and Bona Malwal, The Sudan: A Second Challenge to Nationhood
(New York: Thornton, 1985), p. 11.
41. Lesch, The Sudan, pp. 49-55.
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Symbolic Politics or Rational Choice? 161
ity."42 G.P. Makris sums up the myth as one of an "imagined Arab community
... defin[ed] as the realm of freedom, humanity, Islamic tradition and heroic
history ... [which] constructed its exact opposite; the realm of the pagan
African slaves."43
Although the idea of Sudanese nationalism is essentially a twentiethcentury
invention, some of the underlying ideas and attitudes extend as far
back as the seventh century, when "races and religions were [legally] ranked,
with Arabs and Muslims respected as free, superior, and a race of slave masters,
while Negroes, blacks, and heathens were viewed as . . . [rightfully]
slaves."44 The medieval geographer Ibn Khaldun justified this ranking in racist
terms, writing: "Negro nations ... have little that is human and possess attributes
that are similar to those of dumb animals."45 Even after the racial pecking
order was no longer enforced by law, these attitudes remained common
among those who adopted the Muslim Arab culture. In 1955, for example, a
government report on disturbances in the south stated that southern Sudanese
were "one of the most primitive peoples in the world"; a typical northern policeman
at that time called southern children "monkeys."46 But the falsity of
the racial distinction needs to be emphasized: the "Negro nations" Ibn
Khaldun was writing about were mostly ancestors of today's Sudanese northerners,
who later adopted the Muslim Arab identity along with the associated
racism.
Another element of the northern Sudanese nationalist narrative is a proselytizing
brand of Islam. While northerners see their Muslim Arab identity as superior,
many also view southerners as "eligible for salvation through Islam."
Indeed, some northerners regard salvationism as their duty. Ansar sect leader
Sadiq al-Mahdi, for example, reportedly remarked that "Islam has a holy mission
in Africa and southern Sudan is the beginning of that mission."47 According
to the traditional Muslim concept of the dar al-harb, the "abode of war,"
such a mission should be pursued by force of arms if necessary.
The father of Sudanese nationalism, Muhammed Ahmed al-Mahdi, was an
Islamic would-be Messiah who in 1885 established Sudan as an independent
42. Francis M. Deng, War of Visions: Conflict of Identities in the Sudan (Washington, D.C.: Brookings,
1995), especially p. 5.
43. Ahmad Alawad Sikainga, "Northern Sudanese Political Parties and the Civil War," in M.W.
Daly and Sikainga, eds., Civil War in the Sudan (London: British Academic Press, 1993), pp. 78-96.
Makris is quoted in Idris, Sudan's Civil War, p. 43.
44. Deng, War of Visions, pp. 4-5.
45. Quoted in Idris, Sudan's Civil War.
46. Ibid., pp. 15-16, 113.
47. Quoted in Gabriel Warburg, Islam, Sectarianism, and Politics in Sudan since the Mahdiyya (Madison:
University of Wisconsin Press, 2003), p. 167.
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International Security 30:4 162
state with a Muslim fundamentalist government. The Mahdiyya adhered to a
violent jihadist fundamentalist ideology, which some northern intellectuals
long continued to justify as central to Sudanese national identity. As M.W.
Daly puts it, "In retrospect the Mahdiyya assumed the quality of a nationalist
myth,... and its ideology of xenophobia and Islamic rectitude became an exclusive
heritage of the North."48
There is, however, a distinct feeling of threat and anxiety underlying northern
assertions of superiority, in part because other Arabs often dismiss
Sudanese as Africans, not Arabs. The fact that many contemporary "Arab"
Sudanese really are the descendants of black "African" slaves may help explain
the ferocity of northern Sudanese resistance to the label. This again
shows the bogus nature of any "racial" or even "ancient" characterization of
Sudanese conflicts: the conflicts are between those Sudanese who adopted an
"Arab" identity in recent centuries and those who developed competing identities;
all would be considered "black" in the United States.
Ansar leader Sadiq al-Mahdi has articulated the link between northerners'
anxieties and the push for Islamic rule. "This nation will not have its entity
[sic] identified and its prestige and pride preserved," he has stated, "except under
an Islamic revival."49 This is, in a way, an existential fear: if southerners'
idea of an African identity were to become the official one in Sudan, northerners'
Arab identity might be extinguished even if they were physically unharmed.
Thus, as al-Mahdi said, the northern Sudanese narrative of an Islamic
identity, plus perceived threats to that identity, are the key reasons for the popularity
of Islamism in northern Sudan-the key reasons, that is, for the northerners'
repeated insistence on a predatory policy of imposing Islamic law on
the south.
S1 AND S2: HOSTILE MYTHS AND EXISTENTIAL FEARS IN THE SOUTH. Southern
Sudanese, especially Dinka, myths also identify slavery as a key element in the
identities of both sides.50 In the southern myths, however, the south is the land
not of slaves but of those who resisted northern slave raids-raids that became
more intense after the south came under the rule of the Arab north. In one
prominent case, southern intellectuals note, an Arab slave trader gained such
power that he was appointed a regional governor by the Turco-Egyptian government.
The Mahdist government that followed was even worse from th
southern point of view. Slave raids intensified further. Worse, the Mahdists
48. M.W. Daly, "Broken Bridge and Empty Basket: The Political and Economic Background of the
Sudanese Civil War," in Daly and Sikainga, Civil War in the Sudan, p. 4.
49. Quoted in Sikainga, "Northern Sudanese Political Parties and the Civil War," p. 83.
50. Deng, War of Visions, pp. 70-75.
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Symbolic Politics or Rational Choice? 163
never succeeded in establishing law and order, resulting in a Hobbesian state
of violence so severe that Sudan's population declined by more than 50
percent. Dinka tradition vividly remembers the period as equivalent to "the total
destruction of the world.""' According to southern mythology, this "shared
experience of slave trading and colonialism unified various ethnic groups in
the South."52
Fearon and Laitin try to rebut this view, citing Deng's prominent study,
which they assert does not "put any stress on a specific cultural discourse
creating a disposition toward ethnic violence."53 This is a bizarre misreading,
given that Deng's one-word summary of southern identity discourse is
"resistance"-that is, armed hostility to the north motivated by deep-seated
fears of destruction and enslavement. Deng writes, "The Dinka refer to the
Turk-Egyptian and Mahdist periods as the time when 'the world was spoiled,'
an abomination of which they speak with consistency and vividness." He reports
"extensive interviews" with Dinka chiefs recounting how the Mahdists
"destroyed the country," and "captured our people and sold them."54 Furthermore,
this experience of extreme violence was within living memory each time
the south revolted. For the people of Sudan's south, myths or narratives hostile
to the Arabs are fundamental to their identity, and ethnic fears are an important
fact of life.
S3: OPPORTUNITY. Given the consistent history of northern dominance of
Sudanese governments, northerners always have the opportunity to initiate violence
against the south: they simply unleash the army. Given the vast size of
Sudan's territory and the difficult terrain, the option of guerrilla resistance is
equally omnipresent for Sudanese southerners, especially when any of the
neighboring states is willing to help. Thus southern Sudanese rebels typically
have two sorts of territorial bases: their home territory in southern Sudan, and
neighboring rear base areas (e.g., in the 1980s, in Ethiopia).55 In Sudan, lack of
opportunity is rarely a constraint on the outbreak of ethnic war.
S4 AND 55: MASS HOSTILITY AND CHAUVINIST MOBILIZATION. Given the prominence
of the Islamist narrative in Sudanese society, Islamist policies are perennially
popular in Sudanese politics. Even British colonial rule was conducted
51. Ibid., p. 70.
52. Idris, Sudan's Civil War, p. 24. See also Warburg, Islam, Sectarianism, and Politics in Sudan since
the Mahdiyya, p. 140; and Catherine Jendia, The Sudanese Civil Conflict, 1969-85 (New York: Peter
Lang, 2002), pp. 27, 39.
53. Fearon and Laitin, "Violence and the Social Construction of Ethnic Identity," p. 863.
54. Deng, War of Visions, pp. 70, 73.
55. On the role of Ethiopian aid and bases, see Douglas H. Johnson and Gerard Prunier, "The
Foundation and Expansion of the Sudan People's Liberation Army," in Daly and Sikainga, Civil
War in the Sudan, pp. 117-141.
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International Security 30:4 164
in northern Sudan largely according to Islamic law; and as early as 1957, the
leaders of the two biggest parties in Sudan-the parties dominated by the
Ansar and Khatmiyya sects-called for creation of an Islamic republic. When
democracy returned to Sudan in the mid-1960s, the same parties reemerged;
indeed they had just agreed on a constitution for an Islamic state in 1969 when
Nimeiri seized power.56 Talk of an Islamic state was thus a familiar and widely
popular symbol in northern Sudan.
This was the context in which Nimeiri decided in the late 1970s on reconciliation
with the Islamists, accepting Ansar leader Sadiq al-Mahdi and Muslim
Brotherhood leader Hassan al-Turabi into the government. Needing a base of
support in the north, Nimeiri discovered, as had his secularist predecessors,
that "the only ones who could mobilize people beyond the tribal level were the
sectarian figures" and other religious leaders.57 Cooperation with the Islamists
and picking a fight with the southerners offered the hope of increasing
Nimeiri's political support through chauvinist mobilization, rallying the
northern population behind the key symbols of Sudanese nationalism-sharia,
jihad against the south, and Nimeiri's proclaimed status as an imam. The
southerners would obviously fight back, but taking them on helped Nimeiri
portray himself as an Islamic hero.
Timothy Niblock summarizes Nimeiri's strategy this way: "The political
arena . .. became a theatre where the president could arrange spectacles ... to
weld together a shifting basis of proclaimed yet insubstantial support." Regarding
the Islamist program, Khalid Duran notes: "Sharia, most of which had
long since fallen into oblivion, was turned by [the Muslim Brotherhood] into a
chimerical remedy of all ills, a kind of Aladdin's wonderlamp." The nature of
the resulting conflict, as the title of Deng's book asserts, was a competition of
group identities, Islamic versus African: "The issues involved are essentially
those of competing identities and the alternative visions they offer the nation."58
Indeed, this is the standard view among experts on Sudan, and one articulated
by northern and southern political leaders alike.59
Nimeiri clearly engaged in such symbol manipulation. Deng writes, "[He]
began to dress in Arab garb, with all the outward symbols of an Islamic sheikh
or imam."60 He publicized his attendance at Friday sermons, requested that his
56. Warburg, Islam, Sectarianism, and Politics in Sudan since the Mahdiyya, pp. 145-148.
57. Sikainga, "Northern Sudanese Political Parties and the Civil War," p. 80.
58. Quoted in Deng, War of Visions, pp. 124, 178, 184.
59. According to southern rebel leader John Garang, speaking in 1986, "Our major problem is that
the Sudan ... is still looking for its soul, for its true identity." Quoted in Lesch, The Sudan, pp. 88-
89. Garang was killed in a helicopter crash on July 30, 2005, after the north-south peace agreement
had begun to be implemented.
60. Deng, War of Visions, p. 170.
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Symbolic Politics or Rational Choice? 165
ministers refrain from drinking alcohol, and published a book in 1980 entitled
Why the Islamic Method.61 After sharia was imposed, Nimeiri's speeches also
shifted to include Islamist symbolism, stating for example: "The Islamic avenue
is the paramount pillar of the comprehensive political program."62
T. Abdou Maliqalim Simone writes, "The excision of limbs for crimes of thievery,
flogging for alcohol consumption, and stoning for adultery were imbued
with great symbolic value,"63 as progress toward the ideal Islamic society.
Evidence shows that this Islamist tilt was probably necessary for any politician
seeking support in northern Sudan. As noted above, Islamism was already
popular in Sudan in the 1950s and 1960s. Nimeiri suppressed political
discourse while he was in power, but the politics of the year following his
ouster, which culminated in free multiparty elections in April 1986, is illuminating.
The Muslim Brotherhood was the first to organize political rallies after
Nimeiri's ouster, attracting 30,000-40,000 people to two rallies four days apart.
One fiery speaker shouted, "We will not make any compromise on the application
of the sharia and, if need be, we are prepared to die fighting to defend
Islam!" A slogan shouted by the crowd was, "No alternative to God's law!" In
an interview, Brotherhood leader Turabi threatened: "The street protests which
overthrew Nimeiri can also topple anyone who tries to abolish the Sharia."64 In
this period, according to one analysis, "the threat to northern cultural identity
posed by the SPLA [southern rebel Sudanese People's Liberation Army], including
opposition to Sharia demands, swelled the ranks of the NIF [National
Islamic Front, led by the Muslim Brotherhood]."65 In this context, leaders of
the interim regime and of the leading political parties all chose to defend the
codification of sharia; "moderation" was signaled by calls to implement it "in a
correct way."66
By the time votes were cast in April 1986, the secularist parties were
61. Abdel Salam Sidahmed, Politics and Islam in Contemporary Sudan (Richmond, U.K.: Curzon,
1997), p. 120.
62. Khartoum Radio SUNA (in English), October 16, 1983, in Foreign Broadcast Information Service
(FBIS) Daily Report: Middle East and Africa, October 17, 1983. For another example, see Khartoum
Radio SUNA (in Arabic), October 12, 1983, in FBIS, October 13, 1983.
63. T. Abdou Maliqalim Simone, In Whose Image? Political Islam and Urban Practices in Sudan (Chicago:
University of Chicago Press, 1994), p. 26.
64. Eric Rouleau, "Muslim Brotherhood Demands Maintenance of 'Islamic Law,"' Le Monde, April
18, 1985, p. 4, in FBIS, April 19, 1985; Turabi's threat was reported by Hong Kong Radio Agence
France-Presse, April 15, 1985, in FBIS, April 15, 1985.
65. Abdelwahab el-Affendi, "'Discovering the South': Sudanese Dilemmas for Islam in Africa,"
African Affairs Vol. 89, No. 35 (July 1990), p. 384.
66. See statements by interim leader Siwar al-Dhahab, Khartoum Radio SUNA (in Arabic), April
17, 1985, in FBIS, April 17, 1985; Sadiq al-Mahdi, Cairo Radio MENA (in Arabic), April 17, 1985, in
FBIS, April 18, 1985; and Mohammed al-Mirghani, Cairo Radio al-Musawwar (in Arabic), April 26,
1985, in FBIS, May 2, 1985.
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International Security 30:4 166
marginalized, and the Islamist parties dominated Sudanese politics. Sadiq alMahdi's
"modern" Islamist appeal, combined with his base in Sudan's largest
religious sect, earned his Umma Party the biggest share of the vote, gaining it
39 percent of the seats in parliament. Next were Mohammed al-Mirghani's
Democratic Unionist Party, based on the Khatmiyya sect, with 24 percent of
the seats; and the NIF with 20 percent. Regional parties won the rest, except for
the Communist Party's 1 percent take.67 Two conclusions are clear: virtually
the only victors were those who made identity appeals; and in most of the
north, that meant Islamist, usually sectarian, appeals. Further, it was the extremists
who most often controlled the streets: when Mirghani negotiated a
tentative peace deal with SPLA leader John Garang in November 1988, for example,
the NIF mobilized some 100,000 people to protest Mirghani's agreement
to freeze the application of sharia.68
Another illustration of the outsized importance of symbolic politics in the
north is the attention given to the revelation that Nimeiri's government had
cooperated with Israel in evacuating Ethiopia's Jews, the Falashas, from
Ethiopia. The revelation provoked a political firestorm in Sudan. The transitional
government launched a legal investigation, and politicians competed
with each other to denounce this "pan-Arab treason."69 Considering the complex
issues of regime transition facing Sudan at the time, it is striking that so
much attention was devoted to this purely symbolic historical issue.
Symbolic mobilization, centered on the theme of resistance to northern pretensions
to superiority and domination, was important in the south as well. As
one southern leader, Peter Adwok Nyaba, phrases it, "The minds and hearts of
the people of South Sudan ... will only be stirred into action by fundamental
ideas, images and feelings rooted deeply in their past."70 One key symbolic issue
was slavery: Sharon Hutchinson quotes a representative Nuer warrior as
saying, "The peace of the slave is not worth it." Another complained, "The
Arabs called us dogs and slaves and said that we were no better than the dirt
under their feet."71 Another key symbolic issue was sharia, as its repeal was repeatedly
a major demand of southern politicians.72 Rebel leader Garang fol-
67. Lesch, The Sudan, pp. 42-43, 66-72.
68. Kamal Osman Salih, "The Sudan, 1985-89: The Fading Democracy," Journal of Modern African
Studies, Vol. 28, No. 2 (June 1990), p. 218.
69. The phrase is a former foreign minister's, Khartoum Radio SUNA, May 12, 1985, in FBIS, May
13, 1985. See also al-Mahdi's comments, Khartoum Radio SUNA (in Arabic), April 18, 1985, in
FBIS, April 19, 1985; and a Mirghani spokesman, Khartoum Radio SUNA, May 8, 1985, in FBIS,
May 9, 1985.
70. Peter Adwok Nyaba, The Politics of Liberation in South Sudan: An Insider's View (Kampala: Fountain,
1997), p. 32.
71. Hutchinson, Nuer Dilemmas, pp. 9, 133.
72. See Khartoum Radio SUNA (in Arabic), April 10, 1985, in FBIS, April 11, 1985; and Carolyn
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Symbolic Politics or Rational Choice? 67
lowed a sophisticated strategy, using words such as "liberation," "equality,"
and "freedom" as code for anti-Arab sentiment in the south, but also as a basis
for building a broader coalition for a "New Sudan" in other regions.73
SUDAN: RATIONALIST EXPLANATIONS
Rationalist analyses push aside these considerations. The
model hypothesizes that a security dilemma in Sudan gr
ment problems and uncertainty about competing groups' i
predation model assumes that predatory leaders deceive th
their policies. These hypotheses are assessed below.
R1-R5: A PURE-UNCERTAINTY SECURITY DILEMMA? Fran
tion of one north-south conference neatly summarizes the
sized by the pure-uncertainty understanding of the securi
northerners suspected the southerners of desiring separatio
phrasing the conference chairman, "and the southerners su
erners of wishing to dominate the south."74 The confe
however, occurred in 1947, and its result was to continue p
independent, united Sudan. Uncertainty alone did not le
The evidence above points to predation rather than uncer
factor driving the security dilemma in Sudan in the 1980s
the war by attempting to subjugate the south politicall
southern autonomous region, imposing sharia, and trying to
fer southern military units. Unwilling to surrender to the
and to the loss of most political power-and, for the southe
of their homes-many southerners felt compelled to def
returned to guerrilla war.
Given that Nimeiri had been trying for two years to bre
mous southern region and had been moving toward sharia
is little reason to believe that southerners were uncertain about his intentions
by 1983. Neither is there evidence to suggest that they expected a quick victory;
Garang's speeches instead implied determination to persevere in a long
struggle.75 Similarly, after his experience in the first war, and after a series of
small mutinies by southern troops in the years that followed, Nimeiri can have
Fluehr-Lobban, "Islamization in Sudan: A Critical Assessment," in John O. Voll, ed., Sudan: State
and Society in Crisis (Bloomington: Indiana University Press, 1991), p. 71.
73. John Garang, John Garang Speaks (London: KPI, 1987), pp. 24-27. It is notable that the Koka
Dam Declaration (in ibid., p. 145), an abortive agreement between Garang and Khatmiyya leader
al-Mirghani, incorporates most of Garang's language and themes.
74. Deng, War of Visions, p. 89.
75. See Garang, John Garang Speaks, p. 27.
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International Security 30:4 168
been in little doubt about the near certainty of a prolonged, violent southern
response. Once his predatory motives became clear, the security dilemma went
into operation for the southerners-anything they did to protect themselves
merely provoked Nimeiri more. Southern soldiers began refusing orders;
Nimeiri sent northern troops to suppress them; and the southerners returned
to guerrilla war.76 R2 and R3 are not supported: information failures were not
important in causing this war.
Nor is there evidence either of a commitment problem (R4) or of military incentives
for preemption (R5). The institutional framework established in the
1972 Addis Ababa agreement remained functional until Nimeiri dismantled it.
The problem was not uncertainty about Nimeiri's future intentions toward the
south; it was certainty about his hostile current intentions. Neither did either
side attack preemptively. Rather, Nimeiri moved piecemeal to respond to
southern mutinies as they occurred, and rebellious troops responded piecemeal.77
These considerations point to the conclusion that Nimeiri did not prefer
a negotiated bargain to war (R1). Rather, he abrogated the existing bargain
and knowingly started a war.
R6-R9: ELITE PREDATION AS RATIONAL DECEPTION? The arguments above
support R6, the proposition that Nimeiri chose to start a war as part of a rational
strategy to maintain power. But for the elite-predation model to make
sense, ethnic war must have been the best available strategy for Nimeiri (R7)
on rationalist grounds. This is more dubious. Nimeiri abandoned his southern
allies, who had every reason to want to help him stay in power and had saved
him in 1976. Instead he invited his Islamist rivals to return to the country, rebuild
their power bases, and share power in the government until they eventually
replaced him. He gave the Muslim Brotherhood control of the Islamic
banks, which they used to bankroll their rise to power, and gave them free rein
to proselytize in the army, ultimately turning it against him. He imposed
sharia, though no one had a material interest in it. This does not make sense as
a power-conserving strategy. In rationalist terms, maintaining the alliance with
the south would have been safer and smarter, while sharia, which offered material
benefits to almost no one, should not have been useful in garnering
support.
Nimeiri's strategy-clearly flawed, since in hindsight it led to his oustermakes
sense only if one acknowledges that the pervasive Islamist discourse of
the Sudanese north influenced Nimeiri's thinking while presenting him with a
76. Lesch, The Sudan, p. 49.
77. For a detailed account, see Johnson and Prunier, "The Foundation and Expansion of the Sudan
People's Liberation Army," pp. 120-125.
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Symbolic Politics or Rational Choice? 169
tool for appealing to the mass public. It makes sense, in short, only if one recognizes
that he was engaged in symbolic politics.
More clearly supported is the proposition that Nimeiri's alternatives were
limited in part by economic difficulties. In the early 1980s, as Sudan's economy
turned sour, Nimeiri was no longer able to rely on appeals to northerners'
tangible interests by promising economic development, so he had to turn further
to symbolic appeals to Islam. Thus rationalist theory helps explain why
Nimeiri attempted that dangerous expedient when he did.
The core propositions of the elite-predation model's mechanism, however,
are not supported. Nimeiri's audience in the north did not fear potential attack
by southerners (R8). They feared for their identity, not their safety. Relatedly, I
found no evidence that northerners supported the war-to the extent they did
so-because they were misled into believing the southerners had started it
(R9) and that their safety therefore required war. In sum, war was not popular
in the north due to misplaced beliefs about safety. Rather, repression of the
south-predation-was popular in the north because northern identity narratives
prescribed a quest for domination; war was the acceptable result.
Case 2: Ethnic War and Genocide in Rwanda
Rwanda faced several rounds of ethnic violence in the post-World War II
period-though significantly, no specifically Tutsi-Hutu violence before that
time. The first round of such violence came in 1959-64, the period of the
Rwandan revolution that shifted power from a king and Tutsi elite under
Belgian colonial control to an independent government led by the Hutu majority.
A new round of ethnic violence, sponsored by the government, erupted
in 1972 and ended after a 1973 coup led by Hutu army chief Juvenal
Habyarimana. Habyarimana's regime prevented ethnic violence for almost
two decades, but in 1990 the Tutsi-led Rwandan Popular Front (RPF), a
Uganda-based exile group, invaded Rwanda, inaugurating a new war. The
Arusha peace process of 1993-94 yielded a yearlong cease-fire and a settlement
deal. But in April 1994 Hutu hard-liners seized control, restarted the war, and
slaughtered more than half a million Tutsi civilians before being driven out of
Rwanda.78 This analysis concentrates on explaining the fighting and genocide
in 1994.
78. The standard work on pre-1970 Rwandan history is Rend Lemarchand, Rwanda and Burundi
(New York: Praeger, 1970). Two excellent works on the genocide and after are Gerard Prunier, The
Rwanda Crisis: History of a Genocide (New York: Columbia University Press, 1995); and Johan
Pottier, Re-imagining Rwanda: Conflict, Survival, and Disinformation in the Late Twentieth Century
(Cambridge: Cambridge University Press, 2002).
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International Security 30:4 70
Rwanda's population is divided into three main groups: the Hutu majority,
the Tutsi minority, and the Twa, who make up 1 percent of the population. All
three groups speak the same language, profess the same religious beliefs, and
share the same culture in most other respects. There is a stereotypical physical
difference, with Hutu seen as typically shorter and stockier, and with broader
noses, than the Tutsi. To account for this difference, some theorize that the
Tutsis' ancestors migrated to the area from the north some centuries ago, settling
among, and coming to dominate, the agricultural Hutu already in the region
while adopting the Hutus' language and culture. In the nineteenth
century, the Hutu-Tutsi distinction was apparently based primarily on cattle
and land ownership: the rich and powerful were codified as Tutsi, most others
as Hutu.79
In addition to this ethnic or racial division, regional and clan ties are also important
in Rwanda. President Habyarimana was from northern Rwanda,
whereas the regime of President Gregoire Kayibanda, which he had replaced,
was based in the south; both favored their home region in governing.
Relatedly, Habyarimana himself did not have an extensive network of clanbased
support for his regime and therefore had to rely heavily on relatives of
his wife.
RWANDA: THE SYMBOLIST EXPLANATION
According to symbolist logic, Rwanda's genocide must ha
by an exceptionally hostile, eliminationist Hutu mythology
Tutsi. There must also have been extreme ethnic fears, amp
treme mass hostility against Tutsi, and chauvinist mob
manipulating ethnic symbols-all resulting in a predation-dr
lemma. These hypotheses are explored below.
st: TUTSI AND HUTU MYTHS. What gives the Hutu-Tutsi dis
character is both groups' adoption of narratives claiming an
difference between them. This distinction, based on the rac
pothesis" proposed by European colonialists, asserted tha
tall Tutsi had come from the northeast of Africa and had c
and the Twa because of their superior civilization akin to Eur
Lemarchand noted in 1970, "Rwanda is unique in the sheer a
ditions purporting to show the superiority of the Tutsi over
cording to one of these traditional stories, Rwanda's firs
79. Pottier, Re-imagining Rwanda, pp. 12-14, 112.
80. Aimable Twagilimana, The Debris of Ham: Ethnicity, Regionalism, and the
(Lanham, Md.: University Press of America, 2003), p. xxiv.
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Symbolic Politics or Rational Choice? 71
three sons: Gatwa, Gahutu, and Gatutsi. He decided to test them by assigning
them each to watch over a pot of milk for a night. Gatwa drank his milk, and
Gahutu spilled his; only Gatutsi carried out his father's instructions. As a result,
the story goes, the king made Gatutsi his successor, Gahutu the serf, and
Gatwa a pariah.81 An alternative Tutsi myth denied even this asymmetrical
kinship, asserting instead that Kigwa's Tutsi ancestors "conquered the lands of
the Bahutu by slaying their kings and have thus enslaved the Bahutu."82 These
racist ideals were taught in Rwandan schools in the 1920s and 1930s.83 The less
savory aspects of Tutsi domination, and its origins, were illustrated by a key
symbol of the king's power, and by extension that of the Tutsi: the kalinga, a
ceremonial drum decorated with the testicles of defeated Hutu princes.84
For those Tutsi who fled into exile after the Hutu takeover, their Rwandan
Tutsi identity became even stronger, as social barriers distinguishing different
Tutsi social groups evaporated. Their mythology mellowed into a reinterpretation
of precolonial Rwanda as a harmonious society with substantial social
mobility between Hutu and Tutsi, into which ethnic divisions were inserted by
the colonialists.85
On the Hutu side, leaders of the 1959 revolution did not reject the Tutsi ideology;
instead, they "merely inverted its sign." Thus they agreed that the Tutsi
were invaders from afar but took that to mean the Tutsi were aliens whose
presence was illegitimate. "Traditional" Tutsi rule, in this mythology, was
"cruel and ... oppressive tyranny" that had enslaved the Hutu. A group in
cluding the future first president of Rwanda, Gr6goire Kayibanda, articulate
this narrative in a 1957 document called the "Bahutu Manifesto," saying: "Th
problem is basically that of the political monopoly of one race, the Mututsi
which condemns the desperate Bahutu to be for ever subaltern workers."86 T
the Hutu, the kalinga drum, with its decoration of Hutu testicles, was a partic
ularly effective symbol of what Tutsi rule meant: bloody emasculation.
Reversing the logic of the "natural" Tutsi right to rule, the new Hutu elite
considered its own rule democratic and legitimate because it consisted
members of the indigenous majority, based on a "myth of Hutu solidarity.""
Soon after the Hutu takeover, the denigration of the Tutsi was expanded int
dehumanization: Tutsi guerrilla fighters in the 1960s were labeled "coc
81. Lemarchand, Rwanda and Burundi, pp. 33, 43.
82. Quoted in Twagilimana, The Debris of Ham, p. 65.
83. Mahmood Mamdani, When Victims Become Killers: Colonialism, Nativism, and the Genocide in
Rwanda (Princeton, N.J.: Princeton University Press, 2001), p. 90.
84. Prunier, The Rwanda Crisis, p. 47.
85. Pottier, Re-imagining Rwanda, p. 110.
86. Prunier, The Rwanda Crisis, pp. 45, 80.
87. Lemarchand, Rwanda and Burundi, p. 285.
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International Security 30:4 72
roaches," a term that was revived in the 1990s. Although regime rhetoric moderated
after Habyarimana took power, school curricula in the Habyarimana
period still "painted the Tutsi as natural enemies of the Hutu.... This systematic
preaching of racial ideology served to keep alive racial hatred."88
S2 AND R8: TUTSI AND HUTU FEARS. Tutsi fears of extinction were significant
even before the 1990s. The seeds were sown in the extreme violence of the
independence period, when some 30,000 Tutsi were killed and more t
300,000 driven into exile.89 Indeed, some Hutu officials were already prom
ing acts of genocide in the 1960s: one local prefect is reported to have said: "
are expected to defend ourselves. The only way to go about it is to paralyse
Tutsi. How? They must be killed."90 The result, in response to Tutsi guerri
attacks, was the massacre of some 10,000 Tutsi between December 1963
and January 1964 alone, including the murder of a number of moderate Tutsi
cabinet members. Kayibanda protected the guilty officials from punishment,
and indeed the murderous prefect quoted above was elected to the National
Assembly in 1965.91
Tutsi refugees in Uganda found new cause for fear in 1989-90, as Ugandan
President Yoweri Museveni increasingly sided with Ugandan citizens trying to
dispossess them of lands they had acquired. By 1990 the viability of the Tutsis'
Ugandan exile community was in question.
In the Hutu case, fear of enslavement was at the core of the ethnic mythology.
As Peter Uvin has put it, Hutu ideology claimed that the Hutu-led government
was "the sole defense against the Tutsi's evil attempts to enslave the
people again."92 This fear was made concrete by the continuation of Tutsi rule
in neighboring Burundi, and even more by the waves of violence that swept
Burundi in 1965 and 1972, each time culminating in massacres of Burundian
Hutu.
Events in the early 1990s increased Hutu fears, giving extremist politicians'
symbolic appeals more traction. The RPF's initial invasion in 1990 made Hutu
fear of its Tutsi leadership an active concern. Later, after observing a cease-fire
for half a year, the RPF launched a brief military offensive in February 1993,
largely in retaliation for massacres of Tutsi the month before. During their attack,
RPF troops committed atrocities of their own, giving even moderate
88. Joan Kakwenzire and Dixon Kamukama, "The Development and Consolidation of Extremist
Forces in Rwanda, 1990-94," in Howard Adelman and Astri Suhrke, eds., The Path of Genocide: The
Rwanda Crisis from Uganda to Zaire (New Brunswick, N.J.: Transaction, 1999), p. 72.
89. Peter Uvin, "Prejudice, Crisis, and Genocide in Rwanda," African Studies Review, Vol. 40, No. 2
(September 1997), p. 96.
90. Quoted in Lemarchand, Rwanda and Burundi, pp. 223-234.
91. Prunier, The Rwanda Crisis, pp. 56-62; and Lemarchand, Rwanda and Burundi.
92. Uvin, "Prejudice, Crisis, and Genocide in Rwanda," p. 98.
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Symbolic Politics or Rational Choice? ? 73
Hutu qualms about the Arusha peace process that was aimed at providing
the RPF a share of power. Then, in October 1993 moderate Hutu President
Melchior Ndadaye of Burundi was murdered by extremist Tutsi military
officers, setting off an orgy of killings that left 50,000 dead on Rwanda's doorstep
and another 150,000 Hutu seeking refuge in Rwanda.93 The shock of that
event radicalized Rwandan politics, driving hard-line political factions to support
the genocidal ideas that had previously been confined to a few extremists.
Against this backdrop, later propaganda aimed at promoting fear could take
root. One reluctant participant in the genocide reported that at the time neighbors
were "spreading the rumour that the Tutsis in our area had had a meeting
and were planning to kill the Hutus."94 As a young Rwandan summed it up,
his neighbors "hear over and over again that the Tutsis are out to kill them....
They act not out of hate as fear."95
S3: OPPORTUNITY. The Hutu elite obviously had the opportunity to organize
ethnic violence at any time, as long as they held government power. That they
used that power to organize the genocide is beyond dispute. Extremist party
leaders established the militias that carried out the genocide; extremist economic
elites established the "hate radio" station that prepared the ground for
it; and extremist military leaders deployed key army units to aid in the killing.
Before 1990 Tutsi opportunity to mobilize inside Rwanda was nonexistent,
effectively repressed by the government. Indeed, given the repression and the
dispersed settlement pattern of Tutsi in Rwanda, only an external territorial
base, such as that provided by Uganda, could have enabled the RPF to have a
chance to organize an assault. The initiation of war in Rwanda in 1990 was
therefore primarily an external invasion, and so was outside the ambit of any
theory of civil war. That is why I do not focus on it here.
By the end of 1992, in contrast, the RPF had recruited 20,000 mostly Tutsi exiles
into a powerful military force with logistical support from Uganda and the
Tutsi exile community. It controlled northern Rwanda, and proved its military
superiority in its February 1993 offensive, when it penetrated to within 23 kilometers
of Kigali against a crumbling Rwandan army, before it withdrew under
international pressure.96 Both sides now had the opportunity to fight.
S4 AND S5: MASS HOSTILITY AND CHAUVINIST MOBILIZATION. Symbolic poli-
93. Prunier, The Rwanda Crisis, pp. 174-180, 200.
94. Quoted in African Rights, Rwanda: Death, Despair, and Defiance (London: African Rights, 1994),
p. 572.
95. Quoted in Mamdani, When Victims Become Killers, p. 191. See also Bruce D. Jones, Peacemaking
in Rwanda: The Dynamics of Failure (Boulder, Colo.: Lynne Rienner, 2001), p. 40.
96. Colin M. Waugh, Paul Kagame and Rwanda: Power, Genocide, and the Rwandan Patriotic Front (Jefferson,
N.C.: McFarland, 2004), p. 61; and Jones, Peacemaking in Rwanda, p. 33.
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International Security 30:4 74
tics played a critical role in causing and sustaining the war, and in enabling the
genocide. The RPF's Tutsi members and supporters were in exile because of
the exclusionary nature of Hutu ideology, which claimed they did not belong
in Rwanda; successive Rwandan governments therefore refused to let them return.
Had the Tutsi refugee problem been resolved, even on terms favorable to
Habyarimana's government, there could have been no RPE
Furthermore, young Tutsi exiles in 1990 thought of Rwanda as the mythical
"land of plenty" their parents had described; so they flocked to join the RPF
even after its severe initial reverses, and even if they had bright prospects in
exile: Gerard Prunier estimates that the RPF was "the best-educated guerrilla
force the world had ever seen."97 Older exiles, Tutsi businessmen in Europe
and North America, provided the funding for the RPF through donations.98 It
is unlikely that successful Tutsi joined the RPF because they calculated their individual
prospects to be better with the outnumbered guerrillas than in their
places of exile, or that RPF financial backers thought supporting the RPF was
their best business opportunity. Given that the RPF had few selective incentives
to offer-it permitted its soldiers very little looting, for example-the best
explanation for its successful recruiting efforts is symbolic politics: the charisma
of RPF leader Paul Kagame and the myth-based identity to which he
appealed.99
Habyarimana responded with symbolic politics of his own, aiming to
build on the long-standing hostility toward Tutsi. One observer claims that
hating Tutsi was at the time the Hutu "lifestyle."100 The initial efforts of progovernment
propagandists were summed up in the "Hutu Ten Commandments,"
a 1990 propaganda document widely seen as quasi-official, which
advised its adherents that the Tutsi's "only aim is the supremacy of his ethnic
group," and that "Hutus must stop having mercy on the Tutsis."'ol
The extremist propaganda campaign invoked all the symbols of Hutu mythology
to justify elimination of the Tutsi. First, the extremists argued, "a cockroach
cannot give birth to a butterfly"-that is, Tutsi are inherently evil and
prone to "unspeakable crimes"; they cannot change. Second, the Tutsi goal
was at best to impose a "feudalism" approximating slavery, leading to slogans
such as, "Let slavery, servitude, and discord be finished forever!" The kalinga
97. Prunier, The Rwanda Crisis, pp. 116-117.
98. Waugh, Paul Kagame and Rwanda, p. 52.
99. On the absence of looting, see Mamdani, When Victims Become Killers, p. 187. On Kagame's charisma,
see Jones, Peacemaking in Rwanda, p. 30.
100. Aaron Phillip Karnell, "The Role of Radio in the Genocide of Rwanda," Ph.D. dissertation,
University of Kentucky, 2003, p. 176.
101. Philip Gourevitch, We Wish to Inform You That Tomorrow We Will Be Killed with Our Families:
Stories from Rwanda (New York: Picador, 1998), p. 88.
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Symbolic Politics or Rational Choice? i75
drum, the old king's symbol of the bloody emasculation of Hutu, was also revived
as a symbol in Hutu propaganda: "No more kalinga!" was one slogan,102
though the object in question had been absent from Rwandan politics for thirty
years. One shocking cartoon portrayed Burundian President Ndadaye being
crucified and his genitals being cut off and hung on the kalinga-all with the
encouragement of RPF leader Paul Kagame.103
A key weapon in the extremists' propaganda arsenal was the "hate radio"
station Radio Telvision Libre des Mille Collines (RTLMC), the only independent
radio outlet in the country. RTLMC, which began broadcasting in July
1993, was fiendishly effective because "it knew how to use street slang, obscene
jokes and good music to push its racist message." It was even popular
with Tutsi troops.104
Accounts suggest that although the extremists' charges against the Tutsi
were not initially believed by ordinary Hutu, they came to be believed after
months of repetition.105 Extremist propaganda argued that the necessary reaction
was preemptive genocide. In one speech widely circulated on audiotape, a
local official called on his audience to "rise up" in self-defense against the alleged
genocidal aims of the Tutsi and "exterminate the scum." A 1993 newspaper
article similarly asked, "What if someone brought back the Hutu
revolution of 1959 to finish off the Tutsi cockroaches?"'06
By reinterpreting Hutu ideology as explicitly eliminationist,'07 the extremists
were able to make their genocidal program accepted as part of the normal
political landscape.10s8 Given this violent mythology, with Hutu popular
fears at a fever pitch, and with the opportunity provided by its access to
government institutions, the Akazu-the extremist faction surrounding
Habyarimana's wife-was finally positioned for its chauvinist mobilization efforts
to pay off. The extremists further fed feelings of insecurity with a campaign
of assassinations aimed against Hutu moderates and of massacres
against Tutsi in certain outlying regions. Bits of the government apparatus, including
the presidential guard, increasingly went over to the extremists, as did
factions from most of the Hutu opposition parties.
102. Allison Des Forges for Human Rights Watch, Leave None to Tell the Story: Genocide in Rwanda
(New York: Human Rights Watch, 1999), p. 77.
103. Karnell, "The Role of Radio in the Genocide of Rwanda," pp. 188-189.
104. Ibid., p. 189.
105. Frank Chalk, "Hate Radio in Rwanda," in Adelman and Suhrke, The Path of Genocide, pp. 95-
99. See also Karnell, "The Role of Radio in the Genocide of Rwanda."
106. Des Forges, Leave None to Tell the Story, pp. 73-85.
107. On eliminationist ideology, see Daniel Jonah Goldhagen, Hitler's Willing Executioners (New
York: Vintage, 1997).
108. See Prunier, The Rwanda Crisis, p. 200.
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International Security 30:4 76
What followed was, on one level, an ordinary coup: a network of Akazu
conspirators in Kigali and in the provinces murdered the top leadership (possibly
including the president), seized power in the capital, and then co-opted
or swept aside nonconspirators lower down in the administrative chain. Because
they quickly gained control of the army, they were able to use coercion
when necessary. And it was necessary: as Human Rights Watch reports, "Soldiers
and national police directed all the major massacres throughout the
country," and they coerced those Hutu who tried to resist the slaughter.109
All this begs two questions: Why was war and genocide the plan? And why
did the government and regional officials carry out the genocide? Symbolic
politics theory provides a comprehensible answer. As a broad array of Rwanda
experts emphasizes, the Hutu mythology was central in motivating the genocide.110
The ginocidaires were implementing a program that made sense to
them in the context of their ethnic mythology and the fears they convinced
themselves and their followers to feel. As Prunier notes, any explanation of the
genocide "presupposes one absolutely basic thing: the total dehumanization of
the Evil Other.""11 Ultimately, in a process Jack Synder labels "blowback," the
genocidaires fell victim to their own propaganda that ordinary Tutsi were as big
a threat as the RPF-a myth that also had its roots in the violence thirty years
earlier.112 They acted accordingly; and as a result, they lost power.
The reason why so many ordinary Hutu participated in the genocide is
summed up by an elderly man quoted by Prunier: "I am ashamed, but what
would you have done if you had been in my place? Either you took part in the
massacre or else you were massacred yourself. So I took weapons and I defended
the members of my tribe against the Tutsi." Prunier comments, "Even
as the man pleads compulsion,... he agrees with the propaganda view (which
he knows to be false) by mythifying [the victims] as aggressive enemies."113 In
short, both the ideology and the compulsion were necessary to get most Hutu
to participate in the genocide. The compulsion, in turn, was dependent on
greater ideological fanaticism in the militia and the army leadership.
This evidence demonstrates the inaccuracy of rationalist objections to the
109. Des Forges, Leave None to Tell the Story, pp. 8, 225.
110. These include Josias Semujanga, Origins of Rwandan Genocide (Amherst, N.Y.: Humanity
Books, 2003); Twagiliman, The Debris of Ham; and Uvin, "Prejudice, Crisis, and Genocide in
Rwanda."
111. Prunier, The Rwanda Crisis, p. 142.
112. On "blowback," see Jack Snyder, Myths of Empire: Domestic Politics and International Ambiti
(Ithaca, N.Y.: Cornell University Press, 1990). On Akazu views of their own propaganda
Mamdani, When Victims Become Killers, p. 207. For discussion of the earlier roots of the mytholog
see Lemarchand, Rwanda and Burundi, p. 256.
113. Prunier, The Rwanda Crisis, p. 247.
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Symbolic Politics or Rational Choice? ? 77
symbolist argument. Fearon and Laitin argue that Rwandan "mythology
merely made violence a thinkable 'possibility' on the part of Hutus," a possibility
not significantly different from that contained in any other discourse of
ethnicity.114 But Tutsi mythology, as Lemarchand noted in 1970, was long
unique in its emphasis on claims of Tutsi ethnic superiority, and it spawned an
unusually vicious Hutu countermythology that was used to justify genocidal
violence not only in the 1990s but also in the 1960s. Rwandan ethnic mythology
made genocidal violence not just possible, but much more likely than
elsewhere.
S6: RWANDA'S PREDATION-DRIVEN SECURITY DILEMMA. The nature of the
security dilemma in Rwanda is best summed up by Bruce Jones: "Securit
fears, real and constructed, were tools more than causes of war," and in many
cases, "'fears' were indistinguishable from greed and predatory motives."115
The most important fears were those of the predatory Hutu extremists, who
dreaded the possibility of losing power if the Arusha agreement were
implemented.
To the extent there was a security dilemma in Rwanda, it was manufactured:
the Akazu had instigated the January 1993 massacre of Tutsi, and stalled the
Arusha negotiations, in the hope of provoking the RPF attack that followed.
That is Jones's point: the most predatory group, the Akazu, provoked violenc
to force the RPF and some opposition Hutu to line up on opposite sides of the
fight. Immediately after Habyarimana was killed, a large portion of the army
tried to oppose the coup leaders, but once its commanders received word of renewed
fighting with the RPF, they ceased their opposition and united with the
extremists. Thus Akazu predation created a security dilemma in which RPF ef
forts to protect itself and its Tutsi constituents threatened moderate Hutus (in
cluding much of the army).
RWANDA: RATIONALIST EXPLANATIONS
Any rationalist explanation of the Rwanda conflict would
elite's incentives for promoting violence in 1994. The pur
would further emphasize the RPF's problem in credibly c
by the Arusha accords. The elite-predation model would h
and genocide offered a rational regime-saving strategy fo
hypotheses are assessed below.
R7: ELITE INCENTIVES FOR VIOLENCE. Rwanda's trouble
114. Fearon and Laitin, "Violence and the Social Construction of Ethni
115. Bruce D. Jones, "Military Intervention in Rwanda's 'Two Wars': P
ence," in Walter and Snyder, Civil Wars, Insecurity, and Intervention, pp
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International Security 30:4 [ 78
nomic crisis driven by a drop in international coffee prices, the closure of
Rwanda's previously lucrative tin mine, and a series of droughts.116 As a result,
gross domestic product per capita declined 27 percent from 1983 to 1990,
while food production declined to starvation levels. Meanwhile, the government
became massively dependent on foreign aid-for 22 percent of gross national
product by 1991. The regime also increased demands for corvee labor
from the hard-pressed peasantry, while being forced to cut its budget 40 percent,
with social services absorbing most of the cuts.
In this context, political unrest understandably began. Habyarimana had
been directing economic largesse primarily to his and his wife's home regions
in the north, and politicians from the south began criticizing the government
for corruption and other misconduct. The regime was weakened further when
the Akazu apparently murdered the president's intended successor. Finally,
Habyarimana came under growing international pressure to move his country
toward democracy.
Incentives for chauvinist mobilization increased in the early 1990s: the RPF
invasion further weakened the economy while providing a villain to mobilize
against. Part of R7 is therefore correct: it was rational for the Hutu elite to consider
high-cost strategies of maintaining power, such as war, because their previous
strategy of economic development was failing.
R1-R3 VERSUS R6: INFORMATION FAILURES OR PREDATORY ELITES? The violence
in Rwanda was rarely driven by uncertainty. Rather, at every stage, actors
were motivated by certainty about the other side's hostility. In 1994, as de
Figueriedo and Weingast note, the Akazu's concern (and also Habyarimana's)
was that, as a result of the Arusha peace accords, they would lose power to a
coalition of Tutsis and moderate Hutus.117 Thus R6 is supported: predatory
elites, not uncertainty, led to the renewal of violence in 1994.
In contrast, R1-R3 are not supported. Nor is there evidence that the Akazu
preferred a negotiated bargain to war (R1). Nor is there evidence apart from
Akazu propaganda that leaders overestimated their rivals' hostility (R2).
Finally, the Hutu leadership had no reason to believe that their military prospects
were bright in 1994 (contra R3): even their initial successes in 1990 had
come only with help from French and Zairean troops, and the undisciplined
Zaireans were quickly sent home. The Rwandan army's discipline had begun
crumbling at the time of the first cease-fire with the RPF in mid-1992, and the
116. The next two paragraphs are based on the accounts in Uvin, "Prejudice, Crisis, and Genocide
in Rwanda," pp. 106-108; and Prunier, The Rwanda Crisis, pp. 84-97.
117. De Figueiredo and Weingast, "The Rationality of Fear."
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Symbolic Politics or Rational Choice? 79
RPF's successful February 1993 offensive had shown unambiguously its military
superiority.118
R4: COMMITMENT PROBLEMS. Commitment problems were real in Rwanda in
1994, but they were not decisive. The RPF, having engaged in ethnic cleansing
and some killings of civilians earlier in the war, was poorly positioned to offer
assurances of better behavior after joining the government. The Arusha agreement's
provisions for dividing the army between Hutu and Tutsi could easily
be seen from the Hutu perspective as allowing the fox to help guard the
henhouse. And the October 1993 massacres in Burundi illustrated the implications
if the RPF were indeed acting in bad faith.
Still, rejecting the Arusha accords on these grounds would presuppose a
preferable alternative, but in 1994 there were none: the RPF preferred to take
power by agreement and in coalition with Hutu moderates, and the Hutu extremists
lacked the military might to defend their power against a renewed
RPF offensive. In sum, the choice facing extremist Hutus was to cede power
peacefully to an RPF-Hutu moderate coalition, and then hope to influence it,
or to lose a civil war to the RPE Even if the RPF was not trustworthy, the first
alternative was still better than the second. The commitment problem cannot
explain the Akazu's decisions in 1994.
R5: PREEMPTIVE ATTACK. As noted above, the Rwandan army was militarily
inferior to the RPF and had no military incentive for resuming the fighting. Indeed,
it did not launch a preemptive attack on the RPF, so no preemptive military
incentives motivated its behavior (contra R5). Rather, the Akazu deployed
the army's most reliable units to carry out the genocide, while weaker units
provoked but failed to contain the RPE.119
R6: WAR AND GENOCIDE AS RATIONAL REGIME-SAVING STRATEGIES. Was
Rwanda's genocide a rational, if desperate, regime-saving strategy?120 Th
gument goes that, first, ordering genocide was rational for the Akazu re
because it would irrevocably commit those who carried out the killings to
port the regime, given that the RPF would be highly likely to retaliate s
they gain power. Second, the genocide would, if successful, eliminat
RPF's base of support, while providing an excuse to eliminate moderate H
opponents of the regime.
Although these points are valid, they do not suffice to explain the gen
118. Prunier, The Rwanda Crisis, p. 113; Jones, Peacemaking in Rwanda, pp. 30-33; and Mam
When Victims Become Killers, pp. 206-207.
119. Jones, Peacemaking in Rwanda, p. 39.
120. De Figueiredo and Weingast, "The Rationality of Fear."
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International Security 30:4 180
First, this argument does not explain why genocide-a rarely chosen option
that is taboo in most contexts-was the agenda at all. Second, it does not explain
why a genocidal program worked in building political support: Why did
pivotal actors cooperate with a policy that many knew would lead to the
deaths of their friends and (since exogamy was common) relatives? Finally, the
rationalist argument overlooks the fact that carrying out the genocide, far from
saving the interim Hutu regime, led directly to its ouster. In its successful February
1993 offensive, the RPF had proven its military superiority over the
Rwandan army. In the face of that military superiority, the genocide plan
called for the Rwandan army to provoke the RPF by attacking it directly,
while scattering the army to lead the implementation of the genocide.121
De Figueiredo and Weingast try to save their theory by claiming that the
genocidaires recognized this and planned to regroup in exile after completing
the genocide.122 There is, however, no evidence for this claim, and most
Rwanda experts explicitly reject it.
The Akazu did have more reasonable options. A simple coup would have
served as well if they wanted only power. If they required war to solidify popular
support, war without genocide would have afforded a chance of gaining
foreign military assistance, especially from France, to reverse the RPF's military
edge, while conserving the regime's limited military forces.
Indeed, as was utterly foreseeable, implementing the genocide led to quick
and permanent military defeat for the murderous Akazu regime. While the regime's
military, logistical, and political attention was focused on committing
genocide against unarmed and harmless Tutsi, "there were very few government
troops facing the guerrillas and they tended not to put up much of a fight
... [except in] the cities of Kigali and Ruhengeri."123 So the RPF overran the
country, and the interim regime was ousted. The genocide is simply not explicable
as a rational regime-saving strategy. Rather, the motivation for genocide
was in madness and despair. As Mahmood Mamdani puts it, "Faced with a
military defeat that seemed to sound the very death knell of Hutu power, the
genocidaires chose to embrace death itself as an alternative to life without
power."124
The Hutu extremists thus had an incentive for military action and genocide
in 1994, but only in the context of insane preferences: if one assumes that they
were willing to be driven into exile-losing almost everything they had-as
121. Des Forges, Leave None to Tell the Story, pp. 8, 223.
122. De Figueiredo and Weingast, "The Rationality of Fear."
123. Prunier, The Rwanda Crisis, p. 268.
124. Mamdani, When Victims Become Killers, p. 215.
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Symbolic Politics or Rational Choice? 81
long as they could slaughter the Tutsi first, then such an incentive existed. In
sane military terms, however, they did not, as they could not alter the RPF's
military advantage in the context of a genocide.
R9: MASS UNCERTAINTY ABOUT THEIR OWN ELITES' ACTIONS. The logic of
this hypothesis is that predatory elites provoke violence by their enemies, then
conceal the provocation, to convince their constituents that the enemy is aggressive
and must be fought. To some extent this did occur, in a fictional 1990
assault on Kigali, and in early 1993 when a series of massacres by Hutu extremists
provoked the RPF into answering with a counteroffensive and atrocities
against civilians. The political effect benefited the murderers, alienating
some moderate Hutus and driving them to support the genocidal extremists.125
The hypothesis of mass uncertainty, however, is wrong in the latter
case: the massacres by the Hutu extremists were unconcealed; some moderate
Hutus rethought their views in response to the RPF's violence anyway.
In 1994, during the genocide, uncertainty about elite intentions played no
role. Hutus knew the Akazu's murderous intentions: RTLMC explicitly and repeatedly
announced that genocide was under way, saying, for example, "We
will ransack and exterminate them,"126 and indeed it even directed specific
killings. Elites' deception of their own followers was not a cause of this conflict
or of the genocide.
Conclusion
This article tests the ability of two major theories, the rational choice and symbolic
politics theories, to explain the outbreak of ethnic war in Sudan and
Rwanda, as well as the Rwanda genocide. A key issue is what cultural discourse
can explain. Symbolic politics theory posits that a necessary precondition
for ethnic war is ethnic myths justifying hostility, operationalized as
ethnic myths justifying predatory policy-that is, the insistence on dominance.
Rationalists such as James Fearon and David Laitin, in contrast, deny the importance
of such narratives or "incompatible values."
The analysis here shows that in these cases, ethnic conflict was driven precisely
by "incompatible values" as defined in hostile mythologies. In Sudan,
northern myths insist on an Islamic identity that requires application of sharia
to the entire country, whereas southern myths cast northerners as would-be
enslavers and prescribe resistance to northern domination. Contrary to Fearon
125. Prunier, The Rwanda Crisis, pp. 174-175, 180-183.
126. J. Chretien, J. Dupaquier, M. Kabanda, J. Ngarambe, and Reporters sans Frontihres, Rwanda:
Les midias du gdnocide (Paris: Karthala, 1995), p. 195.
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International Security 30:4 182
and Laitin's claims, the very title of Francis Deng's book-their main sourcenotes
that Sudan's ethnic war is all about cultural discourse: it is a "war of visions"
of what their country is and ought to be. Similarly, in Rwanda, the Hutu
narrative casts Tutsi as alien invaders with no legitimate right to be in the
country; in contrast, the Tutsi diaspora story casts the RPF as liberators from
Hutu tyranny. Those, too, are "incompatible values," and what happened
would not have happened without them. In both cases, evidence shows that
myths justifying hostility drove the violence. The first symbolist proposition is
supported.
A related question is what these values do. The evidence shows that discourses
do vary, and they covary with the nature of violence in the two cases
examined here. Northern Sudanese discourse justifies discrimination and repression
against southerners, but there is no evidence of the sort of rhetoric
that became common in Rwanda: southern Sudanese may be seen as "slaves,"
but not as "cockroaches" that should be exterminated. The point about
Rwanda is not that the mythology "merely made mass violence thinkable";
rather, it made open, rapid, and explicitly intended genocide a politically viable
option. Sudanese mythology is less extreme, so although war is sanctioned,
genocide is not: southern refugees were sheltered in the northern capital of
Khartoum; they were not massacred.127
Such mythologies are only one precondition for ethnic violence in the symbolist
account; other conditions must also be present. The second and third
symbolist hypotheses, about fears and opportunity, are not controversial and
are easily supported. In Sudan, northerners and southerners feared the loss of
their identity, while southerners also feared violent repression. In Rwanda,
fears of physical extermination were prevalent on both sides.
More controversial is the fourth symbolist hypothesis, about the role of hostile
mass attitudes, but this hypothesis is also supported. It seems clear from
election results and media analysis that in Sudan, the imposition of sharia on
southerners was highly popular among northerners, and that this was understood
on both sides as an assertion of northern dominance. Southerners understandably
reacted defensively. In Rwanda the evidence is equally clear: the
hard-line elite's goal of Hutu domination was unambiguous and highly popular,
while at the mass level, hatred of Tutsi was described as a "lifestyle." The
Tutsi fought back when they could.
127. Therefore, although some have labeled the violence in Sudan genocidal, it was not genocidal
in the Rwandan sense. For details, see Nyaba, The Politics of Liberation in South Sudan; and Johnson
and Prunier, "The Foundation and Expansion of the Sudan People's Liberation Army," pp. 117-
141.
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Symbolic Politics or Rational Choice? 183
The fifth symbolist hypothesis, regarding symbolic appeals by elites, is also
supported. In Sudan, Nimeiri did engage in such appeals beyond the actual
imposition of sharia, but as he was doing it defensively, he did so less than he
might have. The symbolic power of the sharia issue in Sudan is best illustrated
by the ability of the small but extremist NIF to block any moves by more moderate
leaders to repeal it or even suspend its application. In Rwanda, the pervasive
racist appeals in the media by Hutu extremists is widely known. These
efforts at chauvinist mobilization also demonstrate the nature of the ethnic security
dilemma in these cases, in which predatory motives are of primary importance,
but security-seeking also plays a role.
The rationalist hypotheses fare less well, with the pure-uncertainty model
failing entirely. In both cases, information failures between groups play little
role: the predatory aims of the northern Sudanese and Rwandan Hutu elites
were unambiguous. As a result, they made few efforts to negotiate a bargain
with their adversaries, disproving also the assumption that leaders preferred a
negotiated bargain to war. Incentives for preemption and miscalculations of
power also played little role: the military balance was typically clear to all, and
in no case was a war begun as the result of an effort to exploit the adversary's
momentary military vulnerability. Commitment problems were irrelevant in
the Sudan case; the issue was Nimeiri's hostile current acts, not uncertain future
intentions. And in the Rwandan case, while there was a commitment
problem facing the sides in the Arusha peace process, the Hutus' weak military
position made acceptance of the deal less risky than rejecting it; so the
commitment problem cannot account for their behavior.
The basic logic of the elite-predation model is also disproved. The hypotheses
about predatory elites and mass fear are supported in both cases, but these
are also compatible with the symbolist account. There is, however, no evidence
that the mass public in either case was significantly fooled about the sources of
violence. De Figueiredo and Weingast's oxymoronic title, "The Rationality of
Fear," wrongly implies that rational security concerns (based on misinformation)
prompt rational security-seeking behavior. What happened in the cases
was predation driven by status anxiety in Sudan, and self-destructive genocide
motivated by a depraved eliminationist ideology in Rwanda. In neither
case was rational concern for physical security the motive, and in neither case
was the policy a rational, security-maximizing one. The emotion of fear was
present; the rationality of fear was not.
Finally, the keystone of the elite-predation model is the assertion about the
utility of a violent strategy for maintaining power; but in both cases, the extremist
leaders had more promising options. In Sudan, Nimeiri's turn toward
the Islamist opposition was clearly riskier than maintaining his alliance with
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International Security 30:4 84
the southerners. In Rwanda, using the army to carry out the genocide instead
of fighting the RPF predictably led to the gdnocidaires' downfall. These behaviors
are explicable only within a particular normative context-the ethnic discourses
that made Islamism in Sudan and genocide against Tutsis in Rwanda
so popular. The main argument of the elite-predation model is wrong for both
cases.
It is important to note that the current study encomp
Although the theoretical arguments of symbolist theor
ble to cases of ethnic war and genocide, and the empiri
here are corroborated by findings in studies of the Bal
Lanka, and elsewhere,128 there is still the risk of debat
findings in different cases. It is possible, for examp
violence studied by Paul Brass in North India is a differ
non that a different theory applies to it.129 Caution is
stage.
Still, the symbolist approach is promising for explaining puzzles generated
by the rationalist literature. For example, Fearon and Laitin's explanation of
ethnic peace is that some ethnic relationships are characterized by "in-group
policing" that prevents large-scale violence, whereas others have delicate "spiral
equilibria" that can break down into such violence.130 They do not, however,
explain the origins of these different patterns. Symbolist theory would
suggest that they lie in a difference in mass attitudes shaped by different sorts
of ethnic mythologies. Thus even within the model, initial information about
attitudes does most of the explanatory work, while the mechanism of symbolic
politics better explains the emotionally driven process of ethnic mobilization.
The weakness of rational choice theories of ethnic war, in sum, is that they
must either explicitly assume or implicitly smuggle in two factors that most
need explaining: the political coherence of ethnic groups and their adoption of
predatory goals. At a minimum, this means that doing good rational choice
analysis requires first doing good symbolic politics analysis to identify those
groups most likely to adopt predatory goals. On the other hand, rationalists
are right to point to the importance of leaders' incentives. In both Sudan and
Rwanda, the timing of the violence was largely driven by economic down-
128. See Kaufman, Modern Hatreds; and Bryan Pfaffenbarger, "Ethnic Conflict and Youth Insurgency
in Sri Lanka: The Social Origins of Tamil Separatism," in Joseph V. Montville, ed., Conflict
and Peacemaking in Multiethnic Societies (Lexington, Mass.: Lexington Books, 1990), p. 247.
129. Paul R. Brass, Theft of an Idol: Text and Context in the Representation of Collective Violence (Princeton,
N.J.: Princeton University Press, 1997).
130. Fearon and Laitin, "Explaining Interethnic Cooperation."
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Symbolic Politics or Rational Choice? 185
turns that discredited regimes that had promised but failed to deliver economic
development.
Another advantage of symbolic politics theory is that it explains many additional
phenomena that rational choice theory cannot. It explains why ethnic
cleavages were so prominent in these cases. It explains the prominence of
purely symbolic issues such as northern Sudanese desires to impose sharia on
southerners, and why particular options (such as genocide in Rwanda) are
prominent in some places but not others. It explains why politicians put so
much effort and so many resources into making symbolic appeals, and why
successful symbol-manipulators often gain the support of people whose tangible
interests are harmed by their policies. This breadth of explanatory power is
the theory's chief claim to a status as a paradigm superior to rational choice
theory for analyzing elite-mass relations.
The policy implications of these findings are also important. If, for example,
the pure-uncertainty model were right, then the correct policy prescription for
preventing or ending ethnic war would be that proposed by Barbara Walter:
institution building and outside guarantees to the parties to ameliorate problems
of credible commitment.131 In fact, however, Walter identifies only one
case (Rhodesia) in which her prescription was adequate to resolve an ethnic
war, and even that case is arguable. More typically, the efforts of outside mediators
are undermined by the predatory efforts of extremist elites. As a result,
because the rationalist paradigm is the dominant one among practitioners, few
ethnic wars are successfully resolved by negotiated agreement.132
The symbolist argument suggests attention to a broader range of options in
addition to mediation, outside guarantees, and institution building. A pessimistic
interpretation leads to the realist argument of Chaim Kaufmann that
reconciliation and institution building are both hopeless; if groups are that
hostile, Kaufmann argues, the best that can be done is to separate them by partition
or to allow one side forcibly to repress the other.133 An optimistic inter-
131. Barbara F. Walter, "Designing Transitions from Civil War: Demobilization, Democratization,
and Commitments to Peace," International Security, Vol. 24, No. 1 (Summer 1999), pp. 127-155; and
Walter, "The Critical Barrier to Civil War Settlement," pp. 335-364.
132. On the failure of existing peacemaking techniques, see Stuart J. Kaufman, "Escaping the Symbolic
Politics Trap: Reconciliation Initiatives and Conflict Resolution in Ethnic Wars," Journal of
Peace Research, Vol. 43, No. 2 (March 2006), pp. 202-203. On the weakness of Walter's evidence, see
Chaim Kaufmann, "Rational Choice and Progress in the Study of Ethnic Conflict: A Review Essay,"
Security Studies, Vol. 14, No. 1 (January-March 1995), pp. 177-178.
133. Chaim Kaufmann, "Possible and Impossible Solutions to Ethnic Civil Wars," International Security,
Vol. 20, No. 4 (Spring 1996), pp. 136-175; and Chaim Kaufmann, "When All Else Fails: Ethnic
Population Transfers and Partition in the Twentieth Century," International Security, Vol. 23, No.
2 (Fall 1998), pp. 120-156.
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International Security 30:4 86
pretation yields the conclusion that more effort needs to go into promoting
reconciliation between the groups in conflict, roughly according to the model
of the French-German reconciliation after World War II.134 The logic is that
new institutions can remain effective only if the sides reconcile themselves
to the goals they can achieve through cooperation. Both of these optionspartition
and reconciliation-require more attention than they have received if
conflict resolution practice is to improve its track record in ethnic wars.
134. See Long and Brecke, War and Reconciliation. On French-German reconciliation, see
Ackermann, "Reconciliation as a Peace-Building Process in Postwar Europe."
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