Carl Henrik Knutsen, University of Oslo and Peace Research Institute Oslo Objectives. This article investigates whether economic growth and income level affect revolution attempts and successful revolutions. Methods. The article conducts a statistical analysis, mainly using panel data logit models, on a data set including 150 countries with time series from 1919 to 2003. Results. Low short-term growth increases probabilities of both attempted and successful revolutions. There is some evidence that higher income levels mitigate revolution attempts, but this is not robust and further analysis indicates that any association may stem from oil income more specifically. There is no net effect of income level on successful revolution, but high income seemingly reduces probability of successful revolution more in democracies than in dictatorships. Although revolutions occur more frequently after “J curves” and “decremental deprivation patterns,” this is largely due to economic crises and not the more complex growth patterns as hypothesized by, respectively, Davies and Gurr. Conclusion. Low short-term economic growth induces revolutions, whereas the impact of income level is less clear and seemingly contingent on factors such as regime type and source of income. Introduction Revolutions are inherently difficult to predict (Kuran, 1989), but they are also difficult to explain (Tilly, 1993). It is, for example, unclear exactly how income growth and related processes of economic development impact on the probability of revolution. This is exemplified by the recent literature dealing with the Arab Spring revolts of 2010– 2011. Although some authors propose that the “Arab revolutions were fueled by poverty, unemployment and lack of economic opportunity” (Malik and Awadallah, 2013:296), others contend that long-term economic growth and expansion of the middle classes contributed strongly to the Egyptian and Tunisian uprisings (e.g., Fukuyama, 2012:56). Analogously, poor harvest and crisis years are put forth as preconditions for ∗ Direct correspondence to Carl Henrik Knutsen, Department of Political Science, University of Oslo, Postboks 1097 Blindern, 0317 Oslo, Norway c.h.knutsen@stv.uio.no. Carl Henrik Knutsen will share all data and coding for replication purposes. Thanks to participants at the PAD Seminar at the Centre for Development and the Environment, University of Oslo, at the Tuesday Seminar at the Department of Political Science, University of Oslo, and at the Brownbag Lunch Seminar at the Centre for the Study of Civil War, PRIO for very helpful comments and suggestions. SOCIAL SCIENCE QUARTERLY, Volume 95, Number 4, December 2014 C 2014 by the Southwestern Social Science Association DOI: 10.1111/ssqu.12081 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License Income Growth and Revolutions∗ 921 the European revolutionary uprisings of 1848–1849, but so is economic transformation and growth from early industrialization (Palmer, Colton, and Kramer, 2002). Yet, these explanations need not contradict. More than 50 years ago, Davies (1962) noted that Marx and Tocqueville proposed differently signed effects of income growth on revolution. But, while Marx focused on how long-term structural changes and growth drive revolutions, Tocqueville focused on short-term crises. Davies synthesized these insights in his widely regarded J-curve theory: “Revolutions are most likely to occur when a prolonged period of objective economic and social development is followed by a short period of sharp reversal” (1962:5). Still, the above, and other, propositions on income growth and revolutions arguably remain conjectures. While the literature counts several elaborate theoretical arguments and thorough case studies, there are few statistical analyses on the economic determinants of revolutions. This article contributes to the literature by testing whether income level and growth systematically impact on revolution attempts and successful revolutions, using an extensive data set with 150 countries and time series from 1919 to 2003. Below, I first briefly review and discuss potential links. Thereafter, I test the related hypotheses: the main result is that short-term growth has a robust negative effect on both attempted and successful revolutions. In contrast, income level does not affect the probability of successful revolution; but higher oil and gas income may mitigate revolution attempts. Furthermore, I find little support for Davies’s above-noted J-curve hypothesis or Gurr’s (1970) decremental deprivation hypothesis. Correlations between these more complex income-growth patterns and revolutions are largely due to economic crises as such. Arguments and Hypotheses One widely held notion is that economic crises spawn political changes, for instance, policy reforms (see Drazen and Easterly, 2001). Crises, associated with low short-term growth, may also spur revolutions. First, economic crises may increase anger and frustration in the population, inducing grievances toward the regime that may escalate into revolutionary action. Gurr hypothesizes that “men are not likely to be mobilized by new, revolutionary hopes unless they feel sharply deprived” (1970:121), and economic hardship is a key factor to deprivation. But, this mechanism may be weaker in democracies; elections enable voters to throw out incumbents without starting revolutions, and there is evidence that economic crises induce government change through elections (e.g., Powell and Whitten, 1993). Second, economic crises may, rightly or wrongly, induce different actors to consider the regime less capable of dealing with economic policy, thereby lowering expectations also of long-term growth under the regime. This may lead them to calculate that their expected incomes would be higher under a different regime, in turn inducing them to work for regime change (see 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License Income Growth and Revolutions Social Science Quarterly Boix, 2003; Acemoglu and Robinson, 2006). Furthermore, economic crises may trigger policy responses, such as cuts in social spending, which negatively affect the incomes of large population groups. Ponticelli and Voth (2011), using data on European countries from 1919 to 2009, find that cuts in social spending and fiscal austerity are strong predictors of general strikes, riots, anti-government demonstrations, political assassinations, and attempted revolutions, and that such policy responses are a main channel through which crises affect unrest. Third, actors already hostile to a regime may interpret economic crises as signals of opportunity to challenge the regime. Regimes may persist through (threats of ) repression, even if immensely unpopular in the population, and recessions may affect the probability of revolution mainly through improving opportunities for challenging the regime, rather than affecting expectations of future income. An individual may harbor deep resentment toward the existing regime without engaging in revolutionary activities or even expressing resentment publicly (Kuran, 1989): the expected costs—like loss of education opportunities or even life—substantially exceed the expected benefits, which is the (change in) probability of the (collective) action being successful multiplied with expected gains from regime change (Tullock, 2005; Weede and Muller, 1998). This calculus may be substantially altered if the individual expects many others to coordinate their actions (Kuran, 1989); a large crowd enhances the probability of success and reduces the probability of being detected and punished if the revolt is unsuccessful. Although the exact determinants of collective action leading to revolutionary uprisings are hard to predict, economic crises may constitute one important type of signal that alleviates collective action problems (Acemoglu and Robinson, 2006). Several statistical studies have been conducted on short-term growth and regime stability: Kennedy (2010), for instance, finds that higher growth stabilizes regimes in general, and poor democracies are particularly vulnerable to economic crises (Przeworski and Limongi, 1997). Bueno de Mesquita and Smith (2010), for example, find that higher growth also bolsters leader survival, at least in autocracies. Yet, most dictators and dictatorships fall because of processes other than revolutions, notably coup d’états (Svolik, 2009), and democracies also break down because of different processes. Hence, it is problematic to infer directly from these estimates; the determinants of coups (see Powell, 2012), for instance, may be different from those of revolutions. Empirical studies have, however, also been conducted on other relationships with relevance for the expected effect of short-term growth on revolution. For example, high growth seems to reduce the risk of civil war (Hegre and Sambanis, 2006), and many revolutions, such as the French and Chinese, have taken place in contexts of civil wars (Skocpol, 1979; Weede and Muller, 1998). Yet, Goldstone et al. (2010) fail to identify any clear relationship between growth and the onset of ethnic and revolutionary civil wars. Furthermore, revolutions in some countries, such as communist Czechoslovakia, have been notable for their absence of violence, and there is a lack of large-N studies focusing more 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License 922 923 specifically on growth and revolutions (but see Ponticelli and Voth, 2011). Whether the mechanisms discussed above generate a negative net effect of growth thus remains an open empirical question, although the arguments above produce a clear expectation: high short-term growth expectedly reduces the probability of revolution (H1). Still, recession-induced grievances may be directed toward the particular government in democracies through elections. Hence, short-term growth may have a stronger negative effect on revolution probability in dictatorships than in democracies (H1a). Regarding income level, recent evidence indicates that higher income stabilizes all regimes, even dictatorships (Kennedy, 2010), and rich democracies are far more resilient to breakdown than poor (Przeworski and Limongi, 1997). Income level also has a robust negative effect on civil war onset (Hegre and Sambanis, 2006), and Goldstone et al. (2010) find a clear relationship between infant mortality—another proxy for level of economic development—and revolutionary and ethnic civil wars. Still, as for growth, there is a lack of statistical studies on income level and revolutions as such. Although the expected net effect is unclear, income level may influence the probability of revolution through at least three channels. First, increased prosperity may change values and attitudes in the population, which may in turn affect the probability of revolution (e.g., Davies, 1962; Gurr, 1970). Inglehart and Welzel (2006) report that income enhances liberal, freedom-oriented values, thus making citizens demand democracy more strongly. However, MacCulloch (2004) finds that higher GDP per capita reduces revolutionary sentiment in the population. Hence, income may both increase the taste for democracy and the distaste for revolution, reducing the probability of revolution in democracies while leaving the net effect in autocracies indeterminable. Second, higher income may alter the expected material benefits from different regime types, both for the current regime’s winning coalition and for others (e.g., Boix, 2003). Higher income likely increases the absolute value of resources controlled by government, thus increasing expected gains from instigating a revolution and instituting a more favorable regime. On the other hand, a richer economy also increases the opportunity costs of engaging in revolutionary activities (see Collier and Hoeffler, 2004). Third, higher income enhances the capacity of state institutions, providing regimes with better tools to suppress or co-opt threats (Fearon and Laitin, 2003). Some sources of growth, such as natural resources, are more likely to yield larger windfalls to the regime than others (Bueno de Mesquita and Smith, 2010); income from, for example, oil production is relatively easy to monopolize and control. Hence, increased oil income enables regimes to weaken internal opposition through investing in repressive capacity or coopting potential threats (e.g., Bueno de Mesquita and Smith, 2010). Higher income, particularly when natural resource based, could thus reduce the probability of revolution. But, sustained growth—and thus higher income—may also empower groups with preferences for alternative regimes. Economic 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License Income Growth and Revolutions Social Science Quarterly modernization may increase the relative strength of groups supporting democratization (e.g., Ansell and Samuels, 2010), such as the urban middle class or organized labor, thereby increasing the probability of revolution in autocracies. The arguments above point in different directions regarding how income level affects the probability of revolution: higher income enhances freedomoriented values, but also reduces the taste for revolutionary actions; higher income increases the opportunity costs of fighting for the elites, but also for the populace; higher income yields more revenue for co-optation and repression, but also generates more resources for nonregime actors. Hence, there may be no systematic effect of income level on the probability of revolution (H2). Nevertheless, some of the arguments imply that income level should reduce revolution probability more in democracies than in autocracies (H2a). Furthermore, income stemming from natural resource extraction may have a stronger negative effect on revolution probability relative to income stemming from other sources (H2b). Further, there may be interaction effects between income level, or alternatively long-term growth, and short-term growth on the probability of revolution (H3). Davies’s J-curve theory, for example, predicts an interactive effect: economic improvement over time generates rising expectations of increased welfare also in the future. When combined with a recession, this produces expectation gaps, “a mental state of anxiety and frustration when manifest reality breaks away from anticipated reality” (Davies, 1962:6). One implication— Davies notes that growth patterns are not the only causes of expectation gaps although they are the most important—is that the impact of economic crisis on revolution probability increases when prior long-term growth increases (H3a). Nevertheless, there may be different interaction effects between long-term and short-term growth than that predicted by Davies (1962). Gurr (1970:46–57) argues that Davies’s J-curve is only one pattern that may increase the risk of revolution through generating expectation gaps. Gurr particularly focuses on decremental deprivation patterns (DDPs): low long-term growth followed by an even worse economic crisis spurs revolution (H3b). Data and Operationalizations In the analysis below, I utilize purchasing power parity (PPP) adjusted real GDP per capita in 1990 USD from Maddison (2006). I enter log of income level, whereas short-term growth is measured by one-year percentage change in GDP per capita. I also test different operationalizations below. “Revolution” has proven difficult to conceptualize precisely. I follow Goodwin (2001:9), who defines revolutions as instances “in which a state or a political regime is overthrown and thereby transformed by a popular movement in an irregular, extraconstitutional and/or violent fashion,” but multiple alternative definitions exist (e.g., Gurr, 1970:4; Goldstone, 2001:142). It has 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License 924 925 proven even more difficult for scholars to agree on a precise operationalization, and thus an unequivocal list of, revolutions (Weede and Muller, 1998). This is likely one reason for the few large-N studies on revolutions. Nevertheless, I apply two different measures that, although clearly imperfect, allow me to provide estimates on how income level and growth affect attempted and successful revolutions. Despite validity and reliability problems with the measures, the below analysis constitutes an important contribution to a field where elaborate theories and thorough case studies exist, but the general relevance of the proposed mechanisms remain quite uncertain. Some models below cover almost 7,000 country-years from 150 countries and with time series from 1919 to 2003. The first operationalization draws on the “Revolutions” measure from Banks (2008), which actually measures revolutionary attempts, and includes, for example, armed rebellions motivated by independence from the central government. Hence, the measure does not differentiate between successful and unsuccessful attempts and may include some irrelevant cases; the exact coding rules are unclear. Furthermore, the data are mainly coded based on daily files of the New York Times. This could generate biases due to geographically selective reporting. Nevertheless, I score country-years experiencing at least one revolution, according to Banks (2008), 1 on an attempted-revolution dummy. The second operationalization draws on the Archigos data set (Goemans, Gleditsch, and Chiozza, 2009), and comes closer to measuring successful revolutions. I use data on processes leading to leaders exiting office, presumably a major objective of revolutionary movements. Two Archigos categories are relevant for capturing revolution conceptualized as a process at least partly based on large-scale popular participation. The first is “Leader lost power as a result of domestic popular protest.” The second, which may include some irrelevant cases but that definitely includes many relevant cases such as the Cuban and Chinese revolutions, is “Leader removed by domestic rebel forces.” The successful-revolution dummy is scored 1 for country-years that included at least one leader exit in one of these two categories. Leader exits due to removal by domestic military or government actors, power struggle within the military, or threat or use of foreign force are not coded as revolutionary exits. This may lead to relevant cases not being coded as revolutions, since power struggles within the government or military coups may come at the coattails of large popular uprisings. Successful revolutions occur infrequently. From 1919 to 2003, only 55 of 9,068 (0.6 percent) country-years with data also on GDP per capita observed successful revolutions as operationalized above. Attempted revolutions, as classified in Banks (2008), are more frequent: 1,249 of 7,563 (16.5 percent) country-years experienced at least one. As Table 1 shows, the relative frequencies of revolutionary attempt and successful revolution are contingent on income level and growth. Indeed, no country with GDP per capita over 10,000 USD (1990 prices) experienced successful revolution, and few revolutionary attempts occur in very rich countries. Moreover, short-term growth 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License Income Growth and Revolutions Positive growth Negative growth Positive growth Negative growth 0.209 (1,526) 0.323 (973) 0.004 (2,221) 0.014 (1,211) <1,500 0.168 (1,205) 0.289 (447) 0.007 (1,411) 0.022 (540) 1,500–3,000 0.119 (935) 0.186 (355) 0.002 (1,063) 0.012 (421) 3,000–5,000 0.060 (956) 0.113 (301) 0 (1,055) 0.006 (335) 5,000–10,000 0.029 (765) 0.046 (151) 0 (808) 0 (168) >10,000 Social Science Quarterly 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License NOTES: Data on revolutionary attempts are from Banks (2008), successful revolutions are based on data from Goemans et al. (2009), and GDP data are from Maddison (2006). GDP per capita is measured in 1990 USD. The number of observations is in parentheses. Successful revolutions Revolutionary attempts GDP per capita Relative Frequency of Revolution Attempts and Successful Revolutions by Income Level and Short-Term Growth TABLE 1 926 927 is negatively related with attempted and successful revolutions. The relative frequency of successful revolution is reduced by more than two-thirds when a country’s growth changes from negative to positive. Regimes in rich countries with positive short-term growth are particularly shielded against revolutions. Indeed, the richest country to experience a successful revolution under positive growth was Iran in 1979 (4,798 USD). Yet, other factors may affect both income and revolution, and I run regressions with the following controls. First, regime type may affect both citizens’ desires to partake in revolutionary activities (MacCulloch and Pezzini, 2010) and income growth. Hence, I control for degree of democracy, measured by the Polity Index (PI) ranging from –10 (least democratic) to 10 (Marshall and Jaggers, 2002). Second, regimes tend to become more resilient to threats over time (e.g., Svolik, 2009), and regime duration may also enhance income growth. I therefore control for log (regime duration +1), using Polity data. Third, losses in international wars may increase chances of subsequent domestic rebellion (Weede and Mueller, 1998), and I control for whether a country experienced loss in war in the current or two previous years, using Correlates of War data (Reed Sarkees and Wayman, 2010). Fourth, more populous countries expectedly have more revolutionary attempts, and I control for log population, using data from Banks (2008). Fifth, I control for share of population living in cities with over 100,000 inhabitants, also from Banks (2008), since revolutions often originate in major cities. Sixth, several observers highlight the importance of revolutionary contagion; revolutions are geographically and temporally clustered, illustrated by the revolutions and revolutionary attempts in Europe in 1848–1849 and 1989, and in the Middle East and North Africa in 2010–2011. Therefore, I construct a variable measuring average number of other countries experiencing successful revolutions in the region in a given year—using the regional categorization in Knutsen (2011). For revolutionary attempts, I utilize fixed effects logit models, which control for country-specific effects; particular historical, social, cultural, and geographic factors may impact both economic performance and revolutions. For successful revolutions, the fixed effects model is less tractable because of efficiency concerns. The majority of countries never experienced a revolution leading to leadership change between 1919 and 2003; running a fixed effects model is equivalent to discarding all information from these countries when estimating effects. Hence, I employ random effects logit models on successful revolutions, controlling for additional country-fixed factors, namely, the Ethnic Fractionalization Index from Alesina et al. (2003) and plurality religion dummies from Knutsen (2011). Empirical Analysis Models I (attempt) and II (success) in Table 2 are the main specifications. In brief, H1—on short-term growth reducing revolution probability—is 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License Income Growth and Revolutions 0.001 (0.21) −0.920∗∗∗ (−4.78) 0.030 (0.02) 0.191 (1.09) −0.016 (−0.74) 49.201∗∗∗ (7.53) −0.067 (−0.17) −0.057∗∗ (−2.31) −0.373∗∗∗ (−2.93) −0.037∗∗∗ (−5.74) −0.030∗∗∗ (−3.58) −0.460∗∗∗ (−11.69) 0.338 (1.08) 0.191 (1.44) 0.011∗∗ (2.46) 8.785∗∗∗ (4.11) II Succ. revol. RE logit b/(t) I Revol. attempt FE logit b/(t) −0.144∗∗ (−2.06) −0.467∗∗∗ (−11.79) 0.33 (1.05) 0.225∗ (1.68) 0.011∗∗ (2.36) 8.843∗∗∗ (4.14) 0.015 (1.64) −0.412∗∗∗ (−3.18) −0.036∗∗∗ (−5.61) III Revol. attempt FE logit b/(t) 0.671∗∗ (2.05) −0.900∗∗∗ (−4.60) −0.181 (−0.14) 0.234 (1.28) −0.022 (−0.98) 51.121∗∗∗ (7.42) −0.087∗∗ (−2.03) −0.001 (−0.00) −0.062∗∗ (−2.42) IV Succ. revol. RE logit b/(t) −0.149∗∗∗ (−2.88) −0.057∗∗∗ (−5.71) −0.532∗∗∗ (−11.56) 0.434 (1.30) 0.609∗∗∗ (3.61) 0.012∗∗ (2.49) 8.290∗∗∗ (3.37) 0.108 (0.60) −0.031∗∗∗ (−4.23) V Revol. attempt FE logit b/(t) 0.104 (0.91) −0.031 (−0.78) −1.339∗∗∗ (−4.94) 0.400 (0.33) 0.087 (0.49) −0.005 (−0.26) 42.565∗∗∗ (6.09) −0.224 (−0.52) −0.052∗∗ (−2.07) VI Succ. revol. RE logit b/(t) Social Science Quarterly 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License Region revol. avg. Percent urban Ln population Loss war Ln regime duration Polity Ln oil income p.c. LnGDPpc × Polity GDP p.c. growth Ln GDP p.c. Model Dependent variable Estimation Panel Data Logit Models: At Least One Revolutionary Attempt or at Least One Successful Revolution as Dependent Variables TABLE 2 928 5,826 126 −2039.51 251.57 <0.0001 I Revol. attempt FE logit b/(t) III Revol. attempt FE logit b/(t) 5,826 126 −2038.16 254.28 <0.0001 II Succ. revol. RE logit b/(t) −0.259 (−0.26) −1.150 (−1.26) 0.157 (0.10) −0.674 (−0.74) −21.728 (−0.00) −3.102∗∗ (−2.26) −22.106 (−0.00) −0.656 (−0.59) −6.385 (−1.62) 6,901 150 −144.09 94.51 <0.0001 −0.298 (−0.29) −1.390 (−1.42) −0.192 (−0.12) −0.693 (−0.71) −22.472 (−0.00) −3.186∗∗ (−2.20) −23.583 (−0.00) −0.695 (−0.60) −7.439∗ (−1.78) 6,901 150 −141.87 87.82 <0.0001 IV Succ. revol. RE logit b/(t) 4,695 120 −1612.36 216.66 <0.0001 V Revol. attempt FE logit b/(t) −0.204 (−0.21) −0.964 (−1.15) −0.227 (−0.16) −0.550 (−0.65) −18.940 (−0.00) −2.269∗ (−1.75) −19.025 (−0.00) −0.461 (−0.45) −3.473 (−0.80) 5,771 150 −109.95 78.68 <0.0001 VI Succ. revol. RE logit b/(t) 929 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License NOTES: ∗∗∗ p < 0.01, ∗∗ p < 0.05, ∗ p < 0.10. t-values are in parentheses. Data on revolutionary attempts are from Banks (2008); successful revolutions are based on data from Goemans et al. (2009). Data are from 1919 to 2003. N Countries Log likelihood χ2 Prob.> χ 2 Constant Buddhist+ Hinduist Orthodox Protestant Catholic Shia Sunni Ethnic Fract. Index Model Dependent variable Estimation TABLE 2—continued Income Growth and Revolutions Social Science Quarterly corroborated, whereas the evidence is mixed on H2 regarding the (lacking) net relationship between income level and revolutions. More specifically, both higher growth and higher income level significantly reduce the probability of revolution attempts (1 percent level) in Model I. The estimated effects are also quite substantial: consider a small (5 million inhabitants), middle-income (10,000 USD) dictatorship (PI = –10) that has not recently lost in war, with one-third of the population in large cities, and where the regime has been in power for 10 years. Even if no country in the region experienced successful revolution that year, the estimated probability of attempted revolution is 0.32 if the economy records –4 percent GDP per-capita growth. The probability is reduced to 0.26 if GDP per capita grows at +4 percent. If the country had been democratic (polity = 10), the corresponding numbers are 0.20 and 0.16. Income level also has a noticeable effect. Consider the hypothetical dictatorship above and assume income is halved to 5,000 USD; when growing at +4 percent, this increases the probability of revolution attempt from 0.26 to 0.31. As seen from Model II, short-term growth also reduces the probability of successful revolution (significant 5 percent). In contrast, income level does not have an effect (t = –0.17). Some control variables are also highly significant in Models I or II. For instance, older regimes are less at risk of experiencing attempted and successful revolutions. Moreover, the average number of revolutions in the region enhances the probability of both revolution attempts and successes. Democracy and urbanization reduce the risk of revolution attempts. Loss in war and ethnic fractionalization are, however, statistically insignificant. I conducted several robustness tests (see http://folk.uio.no/carlhk/for tables). First, I conducted sensitivity checks, leaving out one control variable at a time, but the results are fairly robust. Second, I changed the regional revolutionary climate measure from being based on successful to attempted revolutions, but the results are quite similar. Third, I substituted continuous growth with a dummy recording whether growth was positive or negative, and the results are again fairly similar. Fourth, I used one-year lagged growth instead of current. This does not change the significant effects on attempted revolutions, but growth and income level are now both insignificant for successful revolutions. Still, although lagged growth mitigates endogeneity concerns, using current growth may be preferable since important arguments above (e.g., the signaling and collective action argument) indicate that the impact of economic crisis on revolution operates with short effect-lags. Fifth, I tested models including youth bulges—share of adults aged 15–24—from Urdal (2006), or share of manufacturing income going to wages from UNIDO (2011) to proxy for income inequality. The growth coefficients are robust to including these controls, whereas income level remains insignificant for successful revolutions, and also loses significance for revolution attempts. Sixth, growth remains significant when controlling for region (only relevant in Model I) and decade dummies, whereas income level is insignificant both for attempted and successful revolutions. Seventh, a potentially important control for revolutionary 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License 930 931 attempts is whether there was at least one attempt the year before. I included the lagged dependent variable, and once again short-term growth retains significance whereas income level does not. Eighth, I tested linear fixed effects models on the number of revolutionary attempts; growth is significant (1 percent level), whereas income level is not. Generally, the result for growth is quite robust, and holds also when substituting the panel logit models with probit models or standard logit models with errors clustered on country, or when measuring income level a year before growth. In sum, growth negatively affects attempted and successful revolutions. This result is in line with, for example, Ponticelli and Voth (2011) on episodes of instability in Europe. In contrast, Goldstone et al. (2010) do not find that growth is a robust predictor of revolutionary and ethnic civil wars or “instability onsets” more generally (also including democratic reversals, state collapse, genocide, and politicide)—suggesting political variables are the key determinants. Yet, Goldstone et al. do not analyze “revolutionary wars” separately—their time series run from 1955 and they identify only 12 such wars—and they do not explicitly investigate how growth relates to attempted or successful revolutions (also those not associated with mass violence). Still, their forecasting model includes a more refined regime measure, using dummies drawing on Polity data, and the very unstable character of partial democracies (see also Hegre et al., 2001) suggests the results in Table 2 could be due to omitted variable bias. Yet, this is not the case: I added squared Polity terms to Models I and II, and these are indeed negative and significant (1 percent); semi-democracies have the highest risks of attempted and successful revolutions. However, the results on growth (and income level) were unaltered; the t-value for growth changed from −5.7 to −5.9 in Model I and from −2.3 to −2.2 in Model II. In sum, the above analysis constitutes solid evidence that short-term growth affects revolutions. There is also evidence that high income levels may reduce the probability of attempted revolution, but this is not robust. There is no evidence that income level affects successful revolution. The discussion above indicated that the effect of growth may depend on regime type (H1a), whereas the effect of income level may depend both on regime type (H2a) and source of income (H2b). First, I tested H1a by adding Polity × GDPpcgrowth to the baseline models. The interaction terms are always insignificant (10 percent), whereas the linear growth terms remain highly significant. Thus, there is no evidence that growth has a stronger effect on attempted or successful revolution in autocracies; the effect is strong and significant independent of regime type. Second, I tested H2a by including Polity × LnGDPpc in the baseline models. These models (III and IV) are reported in Table 2. There is no evidence of interaction when revolutionary attempt is the dependent variable. However, for successful revolution, I identify the expected interaction (significant 5 percent level); higher income may reduce the probability of leaders being ousted through revolutions more in democracies than in dictatorships. Third, H2b indicated that income from petroleum 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License Income Growth and Revolutions Social Science Quarterly production may reduce the probability of revolution more than income from other sources. Models V and VI in Table 2 include (log) oil and gas income per capita (2,000 USD), from Ross (2011). As anticipated, oil income significantly reduces the probability of a revolution attempt. Furthermore, log GDP per capita now turns insignificant; a richer economy, holding oil and gas income constant, does not reduce the probability of a revolutionary attempt. Hence, the (nonrobust) result above that higher income reduces the probability of attempted revolution may be due to the stabilizing effect of natural resource income. Oil income is, however, insignificant in the successful-revolution model. As discussed, there could also be interaction patterns in terms of how longterm and short-term growth combine to affect the probability of revolution. I investigated H3 by entering GDPpcgrowth × GDPpclevel in the main model. There was no evidence of an interaction effect, neither on attempted nor successful revolutions. However, more specific combinations of short-term and long-term growth patterns may be particularly conducive to revolutions. H3a stated the J-curve hypothesis from Davies (1962), and H3b followed Gurr (1970) in proposing that DDPs are particularly conducive to revolution. J curves—operationalized as country-years with negative growth following 15 years with average annual GDP per-capita growth rate higher than 3 percent—constitute 4.6 percent of country-year observations in the sample. DDP—measured as country-years with negative growth succeeding 15 years with average growth rate below 1 percent and subject to the condition that short-term growth is lower than the 15-year average—make up 14.1 percent of observations. As shown in Table 3 , the J-curve dummy is significant (5 percent) in models without controls for successful revolution (Model II), but insignificant for attempted revolution (Model I). Furthermore, the significant result for successful revolution vanishes when controlling for short-term growth (Model IV) or for both short-term growth and 15-year lagged log GDP per capita. Short-term growth, however, is highly significant (1 percent). Hence, although J curves are correlated with successful revolutions, closer inspection indicates the particular J-curve pattern may not increase the risk of revolution. It is rather economic crises, as such, that have an effect. Model VI in Table 3— controlling for the full set of variables—does yield a significant J-curve term, but only at 10 percent. Moreover, this weakly significant result is not robust to minor changes in specification, like changing the long-term growth period in the J curve from 15 to 20 years. Hence, there is no stark evidence corroborating Davies’s hypothesis on periods of increasing income followed by a crisis being particularly conducive to (successful) revolutions. The evidence for J-curve patterns generating attempted revolutions is even weaker. Gurr’s (1970) assertion that DDPs induce revolutions finds somewhat more, but far from robust, support. Table 3 shows that DDP is significantly correlated with both attempted and successful revolutions (Models VII and VIII), and the correlation with successful revolutions remains significant when controlling for 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License 932 0.226 (1.20) III Rev. att. FE logit b/(t) 0.497 (1.00) IV Succ. rev. RE logit b/(t) −0.043∗∗∗ −0.080∗∗∗ (−6.25) (−5.69) 0.995∗∗ −0.071 (2.05) (−0.36) I II Rev. att. Succ. rev. FE logit RE logit b/(t) b/(t) −0.035∗∗∗ (−4.59) 0.376∗∗ (2.23) −0.038∗∗∗ (−3.97) −0.532∗∗∗ (−12.22) 0.564 (1.63) −0.200 (−1.20) 0.007 (1.42) −0.067 (−0.31) V Rev. att. FE logit b/(t) −0.049 (−1.55) −0.233 (−0.46) 0.008 (0.21) −0.884∗∗∗ (−4.50) −0.067 (−0.05) 0.196 (1.11) −0.006 (−0.25) 1.266∗ (1.87) 0.451∗∗∗ 1.371∗∗∗ (4.22) (4.28) VI VII VIII Succ. rev. Rev. att. Succ. rev. RE logit FE logit RE logit b/(t) b/(t) b/(t) X Succ. rev. RE logit b/(t) 0.175 0.751∗∗ (1.47) (2.08) −0.037∗∗∗ −0.069∗∗∗ (−5.11) (−4.32) IX Rev. att. FE logit b/(t) 0.144 (1.07) −0.031∗∗∗ (−3.84) 0.361∗∗ −2.13 −0.038∗∗∗ (−3.96) −0.528∗∗∗ (−12.11) 0.565 (1.63) −0.197 (−1.18) 0.007 (1.45) XI Rev. att. FE logit b/(t) 0.370 (0.64) −0.054∗ (−1.68) −0.253 (−0.50) 0.011 (0.28) −0.864∗∗∗ (−4.38) −0.094 (−0.07) 0.159 (0.91) −0.005 (−0.21) XII Succ. rev. RE logit b/(t) 933 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License Percent urban Ln population Loss war Ln regime dur. Polity GDP p.c. (15-year lag) GDP p.c. growth DD pattern J curve Model Dependent variable Estimation J Curves and Decrimental Deprivation Patterns: At Least One Revolutionary Attempt or at Least One Successful Revolution as Dependent Variables TABLE 3 Income Growth and Revolutions N N N IV Succ. rev. RE logit b/(t) N 8.282∗∗∗ (3.47) V Rev. att. FE logit b/(t) 52.608∗∗∗ (7.27) −0.539 (−0.54) Y VI Succ. rev. RE logit b/(t) N VII Rev. att. FE logit b/(t) N VIII Succ. rev. RE logit b/(t) N IX Rev. att. FE logit b/(t) N X Succ. rev. RE logit b/(t) N 8.243∗∗∗ (3.45) XI Rev. att. FE logit b/(t) 52.206∗∗∗ (7.23) −0.429 (−0.43) Y XII Succ. rev. RE logit b/(t) 5,345 7,184 5,345 7,184 4,840 5,872 5,345 7,184 5,345 7,184 4,840 5,872 118 138 118 138 114 131 118 138 118 138 114 131 −2030.44 −270.36 −2009.77 −259.09 −1682.94 −110.67 −2022.41 −264.36 −2008.77 −257.51 −1682.42 −111.95 1.41 4.20 42.74 36.09 215.12 83.24 17.45 18.31 44.74 38.56 216.16 83.33 0.236 0.040 <0.0001 <0.0001 <0.0001 <0.0001 <0.0001 <0.0001 <0.0001 <0.0001 <0.0001 <0.0001 N I II III Rev. att. Succ. rev. Rev. att. FE logit RE logit FE logit b/(t) b/(t) b/(t) Social Science Quarterly 15406237, 2014, 4, Downloaded from https://onlinelibrary.wiley.com/doi/10.1111/ssqu.12081 by Higher School Of Economics, Wiley Online Library on [25/03/2023]. See the Terms and Conditions (https://onlinelibrary.wiley.com/terms-and-conditions) on Wiley Online Library for rules of use; OA articles are governed by the applicable Creative Commons License NOTES: ∗∗∗ p < 0.01, ∗∗ p < 0.05, ∗ p < 0.10. t-values are in parentheses. Data on revolutionary attempts are from Banks (2008); successful revolutions are based on data from Goemans et al. (2009). J curve is operationalized as country-year with negative growth following 15 years with average annual GDP per-capita growth >3 percent. Decremental deprivation (DD) pattern is operationalized as country-year with negative growth succeeding 15 years with average growth <1 percent and subject to short-term growth being lower than the 15-year average. Constant, country-dummies, and plurality religion dummies are omitted from the table. Data are from 1919 to 2003. N Countries Log likelihood χ2 Prob.> χ2 Religion dummies Ethnic fract. Region rev. avg. Model Dependent variable Estimation TABLE 3—continued 934 935 growth (5 percent; Model X) and for growth and lagged income (10 percent). However, when controlling for the full set of variables (Models XI and XII), DDP turns insignificant, whereas short-term growth retains significance. The effect of DDP is stronger when substituting 15 with 20 or 25 years as basis for long-term growth, although neither the effect on attempted nor on successful revolutions is robust. Thus, Davies (1962) and Gurr (1970) may have been only partially correct; the evidence presented here suggests it is mainly the economic crisis component of the more complex growth patterns that has a robust, independent effect on revolutions. Whether a crisis is preceded by a time period of sustained growth or stagnation, however, does not seem to matter that much. Conclusion Above, I empirically investigated whether and how income level and growth are associated with revolutionary attempts and successful revolutions. There is no evidence indicating that higher income level systematically affects the probability of successful revolution. There is some, albeit not robust, evidence indicating that higher income reduces the probability of revolutionary attempts, but further analyses indicate this stems from income from oil and gas production. In contrast, the analysis finds that short-term growth systematically affects the probabilities of both attempted and successful revolutions. The results above are based on measures with substantial reliability and validity problems, and better measures and more data collection on revolutionary episodes would allow future research to test the robustness of the result. Still, the results presented here give a fairly strong indication that regimes in countries experiencing economic crises are at increased risk of facing revolutionary threats and of eventually being thrown out of office because of them. The theories presented in Davies (1962) and Gurr (1970) indicate that the effect of a crisis is highly contingent on the long-term economic development pattern preceding it. 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