Theoretical approaches to colontal Vietnam : A modified model of revolution

THEORETICAL APPROACHES TO COLONIAL VIETNAM

THEORETICAL APPROACHES TO COLONIAL VIETNAM:

A MODIFIED MODEL OF REVOLUTION

By

ROBERT SCOTT EVANS. B.A.

A Thesis

Submitted to the School of Graduate Studies

in Partial Fulfillment of the Requirements

for the Degree

Master of Arts

McMaster University

September 1986

McMAW:EIi UNiVERlilTY llSSA&

MASTER OF ARTS (1986)

(Political Science)

McMASTER UNIVERSITY

Hamilton, Ontario

TITLE: Theoretical Approaches to Colonial vietnam:

A Modified Model of Revolution

AUTHOR: Robert Scott Evans, B.A. (University of Alberta)

SUPERVISOR: Professor Michael stein

NUMBER OF PAGES: vi, 344

ii

ABSTRACT

The principal focus of this thesis is the examination

of revolutionary processes in colonial vietnam from a

theoretical perspective. This involves the critical

assessment of the predominant universal or holistic

approaches to revolution and the analysis of subtheoretical

models of revolution that have been applied to colonial

Vietnam. The critique of these conceptual frameworks is

examined in the context of the historical development of the

Vietnamese revolution. This is follow,ed by an attempt to

merge the salient components of two models providing

conceptual tools that offer a more convincing explanation of

the Vietnamese revolution in its colonial context. This

includes three components. First, the world-histor ical and

international dimension of Theda Skocpol's socio-historical

approach, which permits a more focused emphasis on the

development and nature of the revolutionary movement and the

important factors affecting the emergence of revolutionary

si tuations. Second, Char les Tilly's group conflict model

adds another important theoretical component by emphasizing

the attributes and relationships of revolutionary groups

that influence the degree to which revolutionary situations

may be exploited. Finally, the concept of ideology and its

role in revolutionary process is included in both

theoretical frameworks. The combination of the socio￾historical and group conflict approaches, with the inclusion

of an ideological dimension, is applied to colonial Vietnam

and attempts to demonstrate the potential explanatory

capacity of this form of syncretic model building.

iii

ACKNOWLEDGEMENTS

As with any study, there are numerous individuals that

have influenced the nature and course of this thesis.

However, a number deserve to be singled out. I would like

to express my appreciation to Dr. Stein for his helpful

criticisms, willingness to read drafts on short notice, and

his thoughtful consideration of the problem of merging

theory and history. Also, I must thank Dr. Goldstein and my

fellow graduate students for always being willing sounding

boards and a perpetual and exciting source of constructive

disagreement. However, I give my gr.eatest thanks to my

dearest friend and companion, Sarah, who endured the

frustrations and pressures of this thesis, bore a wonderful

son, and always provided the support and encouragement I

needed to complete each chapter. To her I dedicate this

effort, for she sacrificed as much as I.

iv

TABLE OF CONTENTS

ABSTRACT .................................................................................... iii

ACKNOWLEDGEMENTS .................................................................... i V

Chapter

I.

II.

III.

IV.

INTRODUCTION .......... u .............................. ..

Introduction

Structural-Functional Model

The Frustration-Aggression Model

Marxist Model of Revolution

Historical Sociology perspective

Ideology

HISTORICAL DEVELOPMENTS

1

IN COLONIAL VIETNAM .............................. 61

Introduction

Prerevolutionary Phase

Transitional Phase

Revolutionary Phase

SUBTHEORETICAL APPROACHES

TO COLONIAL VIETNAM •.••.•••••..... 107

Introduction

Tradi tional Sociologica.l Approach

Moral Economy Approach

Structural Approach

Public Choice Approach

Critique of Traditional Sociological

Approach

Critique of Moral Economy Approach

critique of Structural .!'o.pproach

Critique of Public Choice Approach Conclusion

SOCIa-HISTORICAL MODEL ••••.••..... 155

Introduction

Part One: The International Context of

Early Structural Developments

Part Two: The Socio-Economic and Political

Transformation of Colonial Vietnam

Part Three: The Emergence of the

Revolutionary Situation

Conclusion

v

v. GROUP CONFLICT APPROACH .••...•.••.•.••• 237

VI.

Introduction

Part One: Tilly's General Group

Conflict Model

Part Two: Group Conflict and Colonial

Vietnam

Conclusion

CONCLUSION ............................. Summary

Conclusion

316

........................................................

BIBLIOGRAPHY ......... .o. ................ "................ 331

vi

CHAPTER ONE: INTRODUCTION

Introduction

The study of revolution has been the focus of numerous

scholarly studies and debates. This is understandable given the

historical importance of revolutions and their impact on the

transformation of social and political institutions. Despite the rich

abundance of historical and theoretical literature on revolution, the

study of thi s phenomenon is st ill pervaded by confl; ct i ng mode Is and

disagreement over the fundamental nature and determinant variables of

the revolutionary process. l This thesis does not pretend to resolve

the many issues confronting the study of revolution, but it does attempt

to analyze some of the predominant theoretical approaches and formulate

a composite model that improves upon current explanations of revolution

in colonial Vietnam.

Many of the current models of revolution in the social sciences

have their theoretical roots in the sociological approaches of general

systems theory (structural-functionalism), socio-psychological

frameworks (frustration-aggression), and Marxist/Neo-Marxist conflict

analysis. 2 These general theories provide the basic theoretical

framework for many of the more specific or subthel)retical models which,

in one form or another, have been used to explain the revolutionary

process in colonial Vietnam. These subtheoretical or middle-range

1

theories, as they apply to colonial Vietnam, range from Mus'and

McAlister's use of General Systems and Social Psychological frameworks

to the Neo-Marxist influence on Paige's structuralist model and the

approaches of the Moral Economists. Many of these studies have offered

interesting, and often enlightening explanations of the factors

influencing the Vietnamese revolution. None, however, have provided a

comprehensive analysis that examines the crucial role of international

developments and how they influenced the development and outcome of the

Vietnamese revolution. Nor has any of the models explained the factors

contributing to the success of the Communists, or how this group was

able to control the revolutionary movement at the expense of other

revolutionary groups. These are crucial components that cannot be

neglected if one is to explain the revolutionary process in Vietnam.

While these models often implicitly acknowledge the role of

international developments and group conflict, these variables are not

developed or integrated into the various subtheoretical explanations of

the revolutionary process in colonial Vietnam. The approaches of

Skocpol and Tilly provide a theoretical framework that incorporates

these variables.

While it is beyond the scope of this thesis to attempt an

exacting formulation of an alternative model, the latest theoretical

developments in Historical Sociology have provided new frameworks

involving a more comprehensive analysis of revolutionary processes. 3

Unlike many of their predecessors, these approaches demand historical

precision and a broad holistic perspective. 4 This thesis attempts to

merge, conceptually, the explanatory frameworks of two historical

2

sociological models that are particularly relevant to the study of

revolution. Theda Skocpol's socio-historical approach and Charles

Tilly's group conflict analysis. 5 While a detol.iled historical analysis

in the context of either approach is beyond the scope of this study.

this thesis argues that the predominant theoretical approaches analyzing

the revolution in colonial Vietnam are unsatisfactory; and. that merging

the most salient features of Skocpol's and Tilly's models offers a more

powerful basis for explaining the process of revolution in Vietnam.

The thesis is divided into five chapter·s. Chapter One examines

general theories of revolution and indicates why the Historical

Sociology approach of Tilly and Skocpol are sup(~rior to the other

general models. There is also a discussion of 'Ideology which is later

integrated into the model of revolution developed in this thesis.

Chapter Two provides a general historical outline of the various periods

and stages relevant to the Vietnamese revolution. This avoids

unnecessary repetition as different theoretical approaches are

discussed. Also. this permits a more systematic focus on the

theoretical dimension of the revolutionary process in the later

chapters. as well as the relationship between theory and historical

evidence.

Chapter Three examines the predominant theoretical approaches

directly applied to colonial Vietnam. This includes models that while

drawing their fundamental assumptions from differ'ent general models.

analyze factors specific to peasant societies. These models are

subtheoretical because they generate explanations for specific and

conditional situations rather than formulating universal or holistic

3

approaches such as the General Systems, Social Psychological, and

Marxist/Neo-Marxist models discussed in this chapter. This does not

mean that these models are without value. They do highlight different

processes that influence the revolutionary process. But, such models do

not account for the impact of international and group developments, both

of which I argue are crucial variables in the revolutionary process.

Chapters Four and Five offer an alternative model that is more

holistic than the frameworks discussed in Chapter Three. This holistic

component is important because, unlike the subthl~oretical models, it

places the Vietnamese revolution in a world context and examines the

factors permitting revolutionary groups to exploit or adapt to changing

circumstances. Chapter Four applies the major components of Skocpol's

model and its modifications to colonial Vietnam. It is divided into

three main sections: 1) the international context of early structural

and ideological developments; 2) the socio-economic transformation of

Vietnam: 3) the transnational relations weakening the colonial regime's

hegemonic rule. Parts one and three are relatively new components that

are neglected by both the general theories and the subtheoretical

models. While all the subtheoretical models in Chapter Three include

socio-economic transformations and in some cases class analysis, part

two incorporates a political dimension by examining taxation,

landownership patterns, and administrative and political institutions as

indicators of the changing political relationship between the state and

various groups and classes in Vietnamese society. This provides some

understanding of the degree to which revolutionary groups can organize

support in different sectors of society, as well as the nature of that

4

support. It is this emphasis on the political component of socio￾economic and institutional changes that differentiates Skocpol from her

subtheoretical counterparts.

Chapter Five applies Tilly's group conflict model to the

colonial situation. This is the important second half of the

alternative model of revolution proposed in this thesis. It follows the

analysis using Skocpol's model because it focuses on the factors that

contribute to a group's revolutionary capacity. In other words, this

chapter examines the characteristics that permit some groups to rebuild

after periods of effective colonial repression, to compete with other

revolutionary groups for control of the movement. and finally, to

exploit the weaknesses of the regime when it is undergoing the politco￾military crises examined in Chapter Four.

Before discussing Skocpol and Tilly, it is necessary to provide

a general overview of the various general theoretical approaches to

revolution and examine the reasons why they offer' inadequate

explanations of the revolutionary process. The e!arliest models of

revolution in the social science tradition, while attempting to find

consistent patterns within historical events, were limited by the

absence of any "broad theoretical perspective".6 During this period,

theoretical models were influenced by the Natural History approach.

This required that historical experiences be divided into stages or a

sequence of events. In the search for a standard or universal sequence,

many scholars likened the process of revolution to organic processes.

5

For example, Crane Brinton described revolution as a fever which passed

through various stages in an attempt to destroy "wicked people and

harmful and useless institutions." 7

While Brinton's study differs from oth!!r natural history models

in its recognition of the state and its vulnerability during the

emergence of revolutionary situations, Brinton follows the emphasis of

his contemporaries. Focusing on the role of revolutionaries and uniform

patterns increaSing popular discontent with the ruling state, Brinton's

analysis obfuscates and neglects the role of international and domestic

factors weakening the state's capacity to control its primary means of

coercion. Simil arly, this approach minimizes the importance of

struggles between various revolutionary factions and political groups,

the function of coalitions, and the problem of gaining control of the

prinCipal political institutions and changing the dominant socio￾economic and political structures. 8

Various attempts to remedy the theoretical problems inherent in

the natural history models led theorists to formulate models focusing on

"revolutionary states of mind" within a social context. The varying

perspectives of this approach to revolution range! from social￾psychological frameworks to general systems theor'izing. The behavioral

orientation of these perspectives emphaSizes the analysis of certain

preconditions and preCipitant variables which act as major determinants

affecting forms of behavior and increasing the likelihood of

revolution. 9 Whether it is the aggregate of individual motivation,

structural i nfl uences upon co llecti ve behavior, Oir the response of the

6

general system as a social organism, each model reflects a causal

pattern where a stimulus threatening social equilibrium determines the

nature of responses. IO

The most extreme response within the stimulus-response spectrum

is revolution, where social-psychological tension or systemic

dysfunction is so prevalent that a return to an equilibrium is not

possible through the "normal" process of adaptation and gradual change.

In many respects this is similar to the "hydraulic model" rejected by

Charles Tilly, where tension-related external factors are left

unresolved and thereby create mounting internal pressures (these may be

systemic or psychological by nature), which eventually result in some

form of pressure release mechanism, (ie. revolution).Il This concept

implies that when certain conditions ensure the creation of pressure

there is a proportional increase in compression, and if the pressure

creating conditions prevail, the individual or system will surpass the

compression threshold thereby activating a pressure release mechanism.

In this case, revolution becomes the pressure release mechanism. Using

a system of causal sequencing that designates revolution as an extreme

outcome, the behaviour-oriented models place primary emphasis upon the

initial phases of subjective response to objective stimulus as

predictive indicators of behavioural outcomes. Revolution becomes an

anomalous response to stimulus that threatens the presumed positive

orientation of society and individuals towards equilibrium.

The two major representatives of this behaviour-oriented

approach to revolution are Chalmers Johnson and Ted R. Gurr. While

there are numerous theorists that represent different variations in this

7