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PATRICK CARROLL
Abstract Some historical sociologists have, with some justification, described the
development of the sub-discipline in the language of three successive “waves.” This
framing implies that each wave supercedes the other across time. Given that second
and third waves map onto generational distinctions, the whole idea of waves has
been met with consternation from second wavers who are not ready to be super-
seded. In addition, there is some debate, if not confusion, over the criteria that define
the waves. In this paper I suggest that the language of successive waves frustrates
the potential to articulate different approaches with the aim of a more comprehen-
sive understanding of historical societies. This is particularly the case with our
understanding of states and state formation, which is the focus here. Instead of the
waves framing, I suggest a strategy for articulating research agendas on state
formation by conceiving of such in terms of their “centers of gravity” (or COGs)1
rather than their boundaries. I pay particular attention to the body of work that can
be said to have a concern with culture as its center of gravity, a body of work that
while overlapping considerably is not co-extensive with that identified as third wave.
In this context I elaborate a broad conceptual architecture of culture, at the
foundation of which is the distinction between meaning, practice, and materiality.
This triangulated conceptualization of culture can, I argue, clarify some ambiguities
in the literature and aid articulation of three COGs in state theory. In addition, I
suggest that many questions taken to be theoretical are actually empirical. I con-
clude by briefly illustrating the approach in the case of science and modern state
formation in Ireland.
*****
© 2009 The Author. Journal compilation © 2009 Blackwell Publishing Ltd 9600 Garsington Road, Oxford OX4 2DQ,
UK and 350 Main Street, Malden, MA 02148, USA.
554 Patrick Carroll
Because states emerge from war and the costs of war,5 they always
exist in relation to other states (allies or enemies), and cannot be
understood apart from these relationships. It is this external rela-
tionship, and its attendant foreign policy, that partly constitutes
the state as a “sovereign” actor. The mobilization of forces and the
extraction of revenues are foundational state activities, and it is
these activities that explain the emergence of bureaucracy as a
controlling, taxing, and governing structure.
As Tilly put it over thirty years ago, the focus is on the “organi-
zation of armed forces, taxation, policing, the control of food
supply, and the formation of technical personnel,” more or less in
linear temporal order (Tilly 1975: 6; see also Mann 1986, 1993).6
The military-fiscal COG is perhaps most clearly articulated by Tilly
in Capital and Coercion (1992), where he classifies states according
to where they are located on the revenue/extraction – coercion/
violence spectrum (1992: 33). Two examples of state forms located
at the extremes of the spectrum are provided, with another in
the middle: coercion-intensive (e.g. Russia), capital-intensive (e.g.
Venice), and capitalized-coercion (e.g. Britain) (1992: 133ff). The
military-fiscal model can be thought of as a Machiavelli/Marx
inspired model. Machiavelli (2007) articulated a science of states in
terms of enemies and allies where regime craft and statecraft are
one and the same. Marx conceived of the state as a relationship
that is police/management oriented internally, and militarily/
diplomatically oriented externally. In this context it was a small
step for Lenin to define the state as a repressive apparatus. While
there are more recent sources for the military-fiscal conceptualiza-
tion of the state (such as rational choice and resource mobilization
theory), the Marxist-Leninist conception of the state as a coercive
(variously oppressive) organization with an executive head (sover-
eign) that is aligned (more or less) during particular periods with
specific classes (usually the ruling but sometimes the popular)
appears central. Alongside the view of the state as a military-fiscal
complex, however, was the somewhat contradictory idea of the
state as a unified actor, which partly results from viewing states in
relation to other states, i.e. as sovereign actors with their own
interests, objectives, etc. In this context one can trace connections
not only to Machiavelli, but to Hobbes.
Hobbes conceived of the state as an actor in the image of an
individual, embodied in the person of the sovereign. Hence the
famous engraving of Leviathan showing all the bodies of the com-
monwealth contained within the body of the king. The actions of the
sovereign are the actions of all, the actions of the entire state
understood as a commonwealth. I emphasize Hobbes’ conceptual-
ization of the actor-state to highlight the historicity of the idea. For
A key area for articulating cultural analyses with the other two
GOGs is the tricky issue of the state/nation relationship. Lyn
Spillman’s work on nation is less directly derived from either the
autonomy or military-fiscal COGs, yet it is more explicitly articu-
lated with them. She notes that Tilly acknowledged in 1975 that he
and his colleagues at the time focused on the state rather than the
nation because it was so difficult to come to an agreement on what
nations are. The result was a bias “toward the extractive and
repressive activities of states” (Spillman and Faeges 2005: 426).
Spillman shifts away from conceiving of culture simply in terms of
beliefs, values, and interests, largely viewed within the military-
fiscal GOG through the analytic lens of ideology. The ideological
view treated culture in the classical sense, as a mere reflection/
distortion of material structures and interests at the more
determinate level of the political-economic. Culture was thus
explanandum rather than explanans. As recently as 1999 Tilly put
it thus: “culture and identity, not to mention language and con-
sciousness, [are] changing phenomena to be explained rather than
as ultimate explanations of all other social phenomena” (Tilly 1999:
411). Tilly overstates the choice, since cultural sociologists have not
generally claimed that culture is the ultimate explanation of every-
thing. On the other hand, the second wavers did, with few excep-
tions, hold that culture could explain nothing.
Brubaker and Spillman advance us beyond that view, by showing
how culture is constitutive of national identity and nationhood.
This constitutive view is also advocated by John Walton, who
strangely does not appear in the exhaustive bibliography in Adams
et al. Walton argued, in opposition to Tilly, that culture was con-
stitutive of identity, which fundamentally informs a groups sense of
their “interests,” and therefore explains collective action (Walton
1992). The absence of Walton from the third wave grouping tends to
confirm the generational character of the wave framing, as does the
absence, in Adams et al.’s detailed introduction, of Corrigan and
Sayer’s 1985 work on state formation as cultural revolution. In any
case, all cultural work of the third wave takes the constitutive view
(Adams et al., 2005). However, as far as explanatory capacity goes
it can be argued that the issue is not a theoretical one to be
answered once and for all, but an empirical question that requires
examination in every case. It is likely less a case of either/or than
one of the complex co-constitution of the political, the economic,
and the cultural.
Spillman’s work on the ways that culture is constitutive of nation
(and the open agenda for research that she lays out) could easily be
articulated with the military-fiscal and autonomous state COGs in
order to reveal the co-production of that perplexing hybrid, the
English state formation, over the very longue duree, molded a civil society in which
capitalist economy was possible. Critical in this was the early unification of England
as a national state. But equally significant was the “peculiar” character of the
political and legal institutions through which this national unification was
accomplished and in whose continuities, real and imagined, society came to be
represented. . . . These institutions of state directly, and from a very early date,
empowered a wide spectrum of Englishmen of property against encroachments,
whether from above or below. They proved sufficiently flexible, by virtue of their
rootedness in locality and interest, to accommodate secular economic and social
changes in the connotation of property. They long subjected the populace to a social
discipline that was local, personal, and patriarchal, and the more effective for all
that. And they legitimated all these things, superbly, in the name of an English
nationality claiming to embrace everyone in a common and ancient polity and
culture. From the point of view of its contribution to the rise of capitalism, there
would appear to be every reason for regarding such a polity as paradigmatic rather
than peculiar (1992: 1410–11).
them. The same can be said of the macro phenomena of the state.
Or in the context of Mitchell’s critique we can agree that deploy-
ing the category “repressive state apparatuses” transhistorically
produces a generalization that does not stand up to empirical
scrutiny. But we can deploy the ideas of coercion and extraction
at the heart of the military-fiscal conceptualization of the state in
order to grasp a key characteristic of states in general. That is,
while we should not generalize what are better seen as particu-
lars, nor should we take such errors of generalization as proof
that generalization itself is essentially flawed. Also, we do not
need to think of cultural analysis simply in terms of the “inter-
action,” “embeddedness,” etc., of culture and economy or culture
and polity or culture and state. Rather we can develop a distinc-
tively cultural analysis of state formation while revealing em-
pirically the complex networks of discourses, practices, and
materialities through which and out of which states are built and
sustained. In this context there need not be any essential barrier
to articulating the findings of governmentality studies with the
concerns of state theory. And it is worth noting that despite
efforts to eschew talk of the state it has generally not been pos-
sible to do so entirely. For instance, Miller speaks of the “inter-
relations between accounting and the state,” going so far as to
“define” the state, even if only “as a loosely assembled complex
of rationales and practices of government” (Miller 1990: 315; for
different conceptualizations of the state in governmentality
studies see Asch 2007; Christie 2005; Bailey 2006; Hannah 2000;
Ferguson and Gupta 2002; Goldman 2001; Hindess 2005;
Kivinen and Rinne 1998; Leibler 2004; Li 2005; Sharma 2006).
While I suggest below that the materiality of states as countries/
populations/technologies can and should be distinguished from
the ideas/discourses of state that constitute rationalities, and the
organizational practices of government that constitute the state
system, the point here is that the degree of tightness or looseness
in how the various elements are assembled is entirely an empiri-
cal question.
Finally, it is clear that some working under the governmentality
umbrella have more explicitly adopted a cultural analysis, particu-
larly those from the perspective of anthropology. Ferguson and
Gupta, for instance, point to a growing anthropological literature
which recognizes that “states are not simply functional bureau-
cratic apparatuses, but powerful sites of symbolic and cultural
production that are themselves always culturally represented and
understood in particular ways” (2002: 981). On the other hand, in
other governmentality studies the status of culture in the analysis
is sometimes vague (for instance Asch 2007; Silverman and
Triangulating Culture
interacting realities, but are fully embedded in each other and are
co-productive of each other. They are analytical distinctions, not
ontological separations.
– but the size and shape of individual fields, and the precise
meandering of ditches and streams. An army of engineers moved
methodically (for two decades) across the country, equipped with
the mundane baggage of tents, chains and provisions, and the more
esoteric technologies of the time, at the heart of which were tele-
scopes, microscopes, compasses and so on. The use of scopes and
meters in the production of graphs, in this context as in others,
indicates the logic of cultural practice at the core of engine science.
Spirit leveling rendered the rise and fall of the land, producing a
map that facilitated the more effective prosecution of roads and
railways into the interior, and in this sense the map was never only
about representation. The map served the practices of material
intervention, roads and railways permitting deeper penetration into
the country by the agents of government. To paraphrase an old
saying about Roman conquest, English colonial governmentality
traveled down English roads. An early nineteenth century engineer
captured the idea succinctly in his book, Strictures of Road Police,
in which he argued that roads were themselves agents of govern-
ment policy, and hence part of the internal police of a country
(Greig 1819).
The survey included geological, zoological, and botanical inquir-
ies that helped value the land as a commodity and establish its
potential for economic development. Of particular importance was
the search for coal deposits. All manner of samples were collected
and analyzed in government museums and laboratories. Antiquar-
ian and archaeological research reconstructed the ancient face of
the island, complicating and making intellectual the question of
who could legitimately lay claim to it. Historical, statistical,
political-economic, and social-economic studies rounded out the
map as a statement not simply of place, but of the people, their
economy, society and culture. Ethnographic and orthographic
inquiries documented every possible place-name and spelling of
that name, clearing the way for the wholesale translation of the
country into the English language. Data was inscribed in reports
and maps, delivered to government, integrated with other repre-
sentational forms like the census and the land valuation, and made
to stand for the real Ireland, that which was demonstrated by
science and enshrined in law. Integration with the land valuation
was particularly important as the latter served to legitimate and
regularize revenue extraction through property taxes. O’Brien
points out that during the early modern period “all attempts by
ambitious Chancellors and fiscal advisor[s] to construct realistic
valuation of the King’s base for taxation provoked serious resis-
tance and turned out to be impossible to use on a routine basis”
(2006: 353–54). Here again we can broaden the analysis of the
Concluding Remarks
The state can be understood simultaneously as an idea, a system,
and a country as a complex of meanings, practices, and materiali-
ties. The state idea has become a powerful discursive formation,
a cognitive structure, and assemblage of institutions; the state
system has become a vast organizational apparatus that is prac-
ticed with varying degrees of coherence (and indeed incoherence)
from the heads of executive agencies to the most mundane aspects
of everyday life (e.g. the building police who insure the plumbing
is up to code); and the state country is constituted through the
materialities of land, built environment, and bodies/people, trans-
formed by the co-productive agencies of science and government,
and rendered in the new forms of techno-territory, infrastructural
jurisdiction, and bio-population (Carroll 2006). The concept of
infrastructural jurisdiction articulates with Mann’s concept of
infrastructural power. Both concepts point to a “power to routinely
implement decisions across a realm” (Mann 2006: 344). Infrastruc-
tural jurisdiction, however, points not so much to relations between
state officials and “dominant classes,” as to the extension of gov-
ernment regulation of the built environment, from health and
building inspectors, to surveys and control of development. The
growth of infrastructural jurisdiction through the state system
undermines the unitary image of the actor state found in the
autonomy COG. Yet the institutional analysis within the latter
articulates with analysis of meaning and practice within the culture
COG. Institutional analysis points to a more complex image of
Notes
1
I use the acronym for brevity, but also because the word “cog”
indicates that each center of gravity captures only a piece of the complete
object – i.e. the state – and also because it implies that in principle each
piece can be articulated with the other in a more or less workable fashion.
2
Orloff (and implicitly Adams) reiterated her commitment to the wave
framing at the 2009 American Sociological Association meetings.
3
If I situated my own work in the wave framing it would fit solidly in the
third wave. So it is the framing, not third wave research, which I am
critiquing.
4
They list the following: “(1) institutionalism, (2) rational choice, (3) the
cultural turn, (4) feminist challenges, and (5) the scholarship on colonial-
ism and the racial formations of empire.” Of course, a focus on articulating
key findings could engage any or all of these foci.
5
The notion that states emerge from war, as a universal
proposition, has been effectively critiqued (See, for instance, Centeno,
1997).
6
Randall Collins states the matter in almost mirror fashion exactly
three decades later: “To reiterate the main points, which have been well
documented by Tilly, Mann, Skocpol, Goldstone and others: the state
originates as a military organization, and expands by military conquests
(e.g. Prussia) or alliances (e.g. Dutch); military costs are the biggest item in
the state budget; the ‘military revolution’ in size and expense of troops,
weapons and logistics leads to creation of administrative apparatus
(bureaucracy) to extract revenues. From here on several historical path-
ways can be followed: resistance by aristocrats and populace to revenue
burdens and administrative encroachment can lead to state breakdown
and revolution, or alternatively to authoritarian restoration, or to state
disintegration; what happens to states which take the latter pathways is
usually a fatal geopolitical weakness that ends the independent history of
that state. In the long run, the states which survive are those which
successfully expand their tax extraction and administrative organization;
and this penetrates into society, breaking down patrimonial households,
inscribing individuals as citizen-subjects of the state, and thereby creating
mobilizing conditions for modern mass politics, and for state welfare
administration” (Collins 2004: 5).
7
“A COMMONWEALTH is said to be instituted when a multitude of
men do agree, and covenant, every one with every one, that to whatsoever
man, or assembly of men, shall be given by the major part the right to
present the person of them all, that is to say, to be their representative;
every one, as well he that voted for it as he that voted against it, shall
authorize all the actions and judgements of that man, or assembly of men,
in the same manner as if they were his own . . . [for] . . . the right of bearing
the person of them all is given to him they make sovereign . . . ” (Hobbes
2008 [1651]: 114 [Ch. xviii]). Emphasis added.
8
John Meyer notes that states “are by no means really actors” (Meyer
1999: 137), and his followers are apt to put the word actor in quotation
marks when speaking about the state.
9
While Skocpol ascribed to the military-fiscal model as well, it was not
her innovation. Where she ascribes to the model – “Any state first and
fundamentally extracts resources from society and deploys these to create
and support coercive and administrative organizations” (1979: 29), she
cites as follows: “My views on the state have been most directly influenced
by such classical and contemporary writings as: Max Weber, Economy and
Society, 3 vols., ed. Guenther Roth and Claus Wittich (New York: Bedmin-
ister Press, 1968), vol. 2, chap. 9 and vol. 3, chaps. 10–13; Otto Hintze,
essays in Historical Essays, ed., Felix Gilbert, chaps, 4–6, 11; Tilly, ed.,
Formation of National States; Randall Collins, Conflict Sociology (New York:
Academic Press, 1975), chap. 7; Bendix, et al., eds., State and Society; and
Franz Schurmann, The Logic of World Power (New York: Pantheon Books,
1974), page 301, note 77.”
10
Block’s classic “The Ruling Class Does Not Rule” (1977), became a key
text for articulating the two. The piece is reprinted in Block 1987.
11
Institutionalists sometimes speak of the “relationship” between insti-
tutions and culture, but it is difficult to conceive institutions as anything
other than cultural.
12
A micro-physics, to use Foucaultian terminology, of agency.
13
An exception is Meyer Kestnbaum’s piece, “Mars Revealed: The Entry
of Ordinary People into War between States.”
14
Orloff’s idiomatic/analytical shift from talking about the welfare state
to talking about “regulation and provision” is a critical advance in theory.
The language of “welfare state,” like that of “regulatory state,” is thoroughly
problematic.
15
“The more general point here is that a rich array of interesting
questions for comparative-historical investigation emerge when the nation
is conceptualized as – and not simply assumed to be – one among a
number of common forms of mobilizable collective identities, with fluid and
contested relationships.” 436–457.
16
There has been something of a rediscovery of Durkheim in the context
of state theory, but exploring such in detail is beyond the already wide scope
of this paper. See for instance Giddens ed., 1986; Stedman Jones 2001).
17
A range of work has adopted the notion of “moral regulation” in
various ways, but one of the most compelling examples is Alan Hunt’s
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