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1、OntheOriginofStates:StationaryBanditsandTaxationinEasternCongoRaulSanchezdelaSierraColumbiaUniversityJOBMARKETPAPERDecember11,2013AbstractThestateisamongthegreatestdevelopmentsinhumanhistoryandaprecursorofeconomicgrowth.Whydostatesarise,andwhendotheyfailtoarise?Adomina
2、ntviewacrossdisciplinesisthatstatesarisewhenviolentactorsimposeamonopolyofviolence"inordertoextracttaxes.Onekeyfactunderliesallexistingstudies:nocensusexistspriortothestate.Inthispaper,Iprovidethe rsteconometricevidenceonthedeterminantsofstateformation.Asafoundationfor
3、thisstudy,Iconducted eldworkinstatelessareasofEasternCongo,managingateamthatcollectedvillage-levelpaneldataoncurrentarmedgroups.Idevelopamodelthatintroducesoptimaltaxationtheorytothedecisionofarmedgroupstoformstates,andarguethatthereturnstosuchdecisionhingeontheirabilit
4、ytotaxthelocalpopulation.Asharp,exogenousriseinthepriceofabulkycommodityusedinthevideo-gameindustry,coltan,leadsarmedgroupstoimposeamonopolyofviolence"incoltanvillages.Alaterincreaseinthepriceofgold,easiertoconcealandhencemorediculttotax,doesnot.Resultsbasedontwoalter
5、nativeidenti cationstrategiesarealsoconsistentwiththemodel.The ndingssupportthehypothesisthattheexpectedrevenuefromtaxation,inparticulartaxbaseelasticity,isadeterminantofstateformation.ColumbiaUniversity,DepartmentofEconomics,rs2861@columbia.edu.Iamverygratefulforinval
6、uableguidanceandsupportfromChristopherBlattman,Pierre-AndreChiappori,MacartanHumphreys,SureshNaidu,BernardSalanie,andEricVerhoogen.IamgratefultoRitamChaurey,DonaldDavis,JonasHjort,forinvaluablecontributions.IamindebtedtoGauthierMarchais,withwhomIledthedatacollection.Thi
7、sprojectwassupportedbytheNationalScienceFoundation,thePrivateEnterpriseDevelopmentinLow-IncomeCountriesexploratorygrants(PEDL),theInternationalPeaceResearchAssociationFoundation(IPRAF),theCenterfortheStudyofDevelopmentStrategiesatColumbiaUniversity,theProgramforEconomic
8、ResearchatColumbiaUniversity,theEarthInstitute,theAdvancedConsortiuminCooperationandComplexityandtheLeitnerFam
