Reed论国家形构的展演性：以美国为例（ASR2019）

荐读：Reed, I. A. (2019). Performative State-Formation in the Early American Republic. American Sociological Review, 84(2), 334–367. 

Introducation

Performative Dimension有什么用？这篇文章要解决什么问题？

 this article argues that state-formation has a performative dimension: the initial accumulation of state power occurs, inpart, through “state by demonstration.” In this dimension of the accumulation of power,the publicity of thewould-be state’s acts of violence and coercion, and the variable interpretation of these acts (including, as part of interpretation, the attribution of such acts to the state), are paramount to a state’s success (or failure) and developing character. If the would-be state is compelling and convincing, tocertain audiences, in its execution of violence on certain targets, then itachieves a certain felicity condition.

Reed认为所有有志成为国家的组织都面临着一系列的代理问题。这些是因招募各种人员和组织进入国家建设项目而产生的问题，以及随后将任务分配给工作人员，精英盟友或其他版本的潜在国家的代理人。所以Reed的逻辑起点引入了社会学委托代理理论。Formal agency theory, as a part of rational choice sociology, often invokes strong assumptions about the strategic natureof human action and motivation when analyzing these problems (Coleman 1994; Kiser 1999; Kiser and Kane2007).

特别是，要使国家形成成功，必须克服一系列相互交织的代理问题。Reed举了几个例子

Corrupt tax officials can be offered betterrates to be honest and report on their dishonest co-workers, but (particularly if rulers lack money) they can also be punished via imprisonment. However, theuse of physical coercion to shore up taxation is, itself, an agency problem.

当这些代理问题汇集在一起时，它们结合成为国家形成的核心组织问题，即成功国家的相互加强的代理关系

(e.g., tax officials are honest because if theyare not they might be arrested by police loyal to the state) threaten to become the mutually undermining agency problems of a failed state (e.g., soldiers who are not confident they will be paid will not take physically risky actions to secure there sources that might be used to pay them and others). This intertwining hasbeen discussed extensively in the rational choice literature (Kiser 1994; Kiser and Schneider 1994)

Three Models to Solve Agency Problems

Reed综述了三种在State-Formationas the Resolution of Agency Problems之中的现有模型：

1.    查尔斯·蒂利的Capital和Coercion构成的交换与威胁；类似还包括Downing和Ertman

Interpreted broadly, the capital-and-coercionmodel can be understood as one of a series of models that analyze theovercoming of agency problems in state-formation in terms of exchange andthreat (for a counterpoint to this dimension that adds trust to the mix, see Tilly 2005)

查尔斯蒂利的“枪炮理论”盛极一时

2.    布迪厄和福柯的文化理论；

关于交换和威胁的经典研究往往低估的国家形成的一个方面是，the degree to which states may obtain legitimacy if social processes ensure the creation of subjects who are inclined to work for and with them, and if certain categories of thought favoring this legitimacy become naturalized and taken for granted.

Symbolic power, legitimacy, and discipline helprulers secure staff and allies who will consistently acton their orders, and, more generally, act in a manner consistent with theirinterests, desires, and projects.

3.    Mukerji的物质文化理论；知识、后勤和物质

通过物质世界的设计使得工作人员和精英对统治者具有约束力的成功更有可能使代理人能够顺利进行并保持忠诚度

Mukerji’s (1997) study of the making of French Absolutism, Territorial Ambitions and the Gardens of Versailles, is a study of material culture as a dimension of state-formation (for further investigation of the relationship between engineering and state-making, see Mukerji 2009). Taking “French formal gardens as laboratories of power,” Mukerji (1997:8) trace show a certain kind of triumph over nature, encoded into the built environment, projected the capacity of the state to control territory and naturalized this capacity as the condition of political action. For Mukerji (1997:55), the “displacement of organized violence from thefeudal nobility into a professional army”—that is, the making of a modernmilitary-fiscal state in France—was achieved, in part, by making “the French state not just a political regime but a material entity built into the landscape.” 

The Distinction Between Primitive Accumulation and RoutineMaintenance of State Power

此后，Reed区分了原始积累与国家权力日常维护的区别，并发现以上三个模型无法解决原始积累时期的Emergency，而Performative Dimension行.

上面概述的过程被认为是状态形成的维度，可以被认为是重叠的，具有不同的时间尺度和它们如何交织的变化。尽管如此，这些不同模型中的相似性揭示了一个难题，其解决方案可以增强关于国家形成的社会学理论。这三种模型都倾向于指向多代时间轴。这两种文化模型追溯了意义的沉淀，社会技术设备的精心制作以及几十年来主题的形成。交换与威胁模型从不同的初始条件开始，然后通过重复机制的说明来实现，这些机制也在数十年甚至数百年内展开（例如，Ertman 1997 ; Tilly 1992).

但是，Reed认为，As a result, in situations where the success or failure of state-building faces an arrow timeline and an extreme precarity of rule within that timeline, there would appear to be a mismatch between the models outlined earlier and the exigencies of state-making. This is the inspiration for the development of a model of the performative dimension of state-formation.

In such a situation, a “Hail Mary” solutionwith some affinity to what Bentham (1864) called“deep play”—making bets that are well beyond what one can possibly afford(see also Geertz 2000)—might be appealing. The rulers could use up their (minimal) resources to secure a small number of agency relationships, and then hope that other potential agents of theirwould-be state will decide that the state will be successful,and thus they, too, will become a part of it—thus making it successful.

但是这些其他潜在的代理商如何决定加入州项目呢？也许他们可以被说服Persuaded。也就是说，关于他们如何看待和解释未来国家行为的一些事情使他们接受了国家权力，认为这是真实的和后果性的。根据定义，这种代理人的间接保护不受制于代理理论文献大部分的常见的监督，惩罚和奖励机制的约束（综述见Shapiro 2005）。相反，对统治者行为的广泛公开解释将对其组织的未来产生重大影响。

The Performative Dimension of State-Formation: A Basic Model

Reed的国家形成的表演维度抽取了资本和强制之中的physicalviolence ，从文化之中抽取了interpretation.

But it adds to these the analysis of publicity, which cantransform processes of interpretation in rapid fashion (Adut 2008, 2018). It focuses on public displays and interpretations of violence and coercion. Themodel has three interconnected elements

Emergency; “Acts of state” that involve violence and coercion; Public interpretation;

Public interpretation指的是通过媒体，这些国家行为被广泛和公开地提供给精英和民众的可变解释。这些解释将某些理解视野作为他们的背景（Gadamer 1989 ; Griswold 1993）该模型旨在迭代：紧急情况下暴力行为的公开解释成为下一次紧急情况的重要背景。出于这个原因，语境化对于追踪其动态非常重要：什么构成了紧急情况; 国家如何以及由哪些代理人制定暴力，胁迫或谈判; 媒体如何产生对暴力的解释; 以及如何以及对暴力的解释变得有影响力的所有问题都必须通过过程追踪（process-tracing）.来回答。

表演模型追踪了如何通过公开解释声称是国家的组织的行为来创造暴力的正当性和权力的合法性。This model focuses on the mediated reception of exemplary violence and coercion, and the felicitous or infelicitous displays ofvariably gilded state agents that accompany such moments. Inthe performative dimension, the state becomes the center of newspaper storiesand the gossip they generate; resentful and restless populations are convertedby flag and fear into overawed or grateful citizens; and certain actors withinthe proto-state seek to make the state appear well-funded, expertly violent, and, in some cases, judicious and fair.

this model elaborates on the concept of exemplary repression(Mann 2005:16–7), developing it into a theory of performative violenceand coercion, and asking how it connects with the felt and perceivedeventfulness of emergency, so as to understand how public interpretation is consequential forstate-formation. As we shall see, the use (or not) of violence during emergencies should be understood as a spectrum, further complicated byconflicts of interpretation over the meaning of the (non)violence performed.

The Problem of Explaining the Formation of the Early American State

Outcome是什么？The General Government

美国史学中众所周知的争论是对美国政府在内战之前是强还是弱的争论whether the federal apparatus in that period is bestcharacterized as a state of “courts and parties,” 12 and, perhaps mostprominently, how we should think about the relationship between the developmentof federal state capacity and recurrent strains of anti-statism in Americanpolitical culture (Baker 2002; Ericson 2017; Freehling 1994; Gerstle 2017; John 1997; Katznelson 2002; Novak 2008; Opal 2013; Skowronek 1982).

战前美国有一个联邦国家机构，其四个广泛的治理和控制点是 (1) the commerce system and the national market, (2)security and westward expansion, (3) use of tariffs, and (4) use of “the law toshape the political landscape” (Balogh 2009:381). 

Guns,Money, and the Agency Problems Posed by Early American Militias

早期美国军事权力的动员和使用与大多数国家较为不同，极度依赖于：民兵制。

Mann (2012) cites conscription as a key innovation ofthe American War of Independence, and the cozy relationship between revolutionary leaders andlarge merchants and bankers on the Eastern Seaboard is well established. However, a war for independence and the formation of a federal state apparatusare not the same thing, and in the case of the former North American coloniesof the United Kingdom, this was especially the case when it came to militaryforce.

I believe, what Mann (2012:151–2) is referring to when he discusses conscription in theAmerican revolution, the first “mass mobilization warfare,” and thus the way the revolution let“the ‘people’ onstage” inhistory. 14 But, if militias were an option for the federalgovernment, they were always potentially a problem for thatgovernment as well, due to the politics of organized violence in this era andthe “dual army” tradition(Cress 1982; Herrera 2015; Higginbotham 1998; Laver 2002; Mahon 1960; Weigley 1984).

其结果是，在美国早期共和国中使用有组织的暴力行为既不符合官僚法国模式，也不符合本土的贵族模式，在欧洲现代性的社会学叙事中，这种模式在拿破仑理性的推动下被粉碎。And every instance of land conflict with an external enemyinvolved an amalgamation of citizen militia forces with a small number ofregulars, a process that was messy and often involved resentment, politicking,and even treachery or sabotage (Gaff 2004). Finally, as we will see, militias and the threat ofcoercion they contained could, precisely because of their local orientation, beused to resist federal power, particularly the power of the legalsystem.

Ambiguityof National Symbols

如果暴力掌握在县民兵和各州的“治安（Policing）权力”手中，那么联邦机构的合法性是否可能来自文化认同？答案是：There was not anequivalent institution, in the early American republic, to the Church in the Netherlands, or a tightly bound elite with a familial imagination.  A significant literature, however,describes ritual and festival in the early republic as a route to creating theAmerican nation as an imagined community (Neem 2011; Newman 1997; Waldstreicher 1997).

甚至是“反联邦的”

The evidence points against this culture abetting the legitimacy of the federal government and is highly ambiguous, at best, when it comes to the possibility that “nationalidentity” trumped various local and state identities in the 1780s and 1790s (Berkin 2017).

In other words, there was no obviousor taken-for-granted fusion between“American nation” and “general government” before the turn of the century. During this period, these symbols of the nation could be used either for or against thelegitimacy of the general government—the erection of liberty poles, forexample, could signify adherence to, or defiance of, federal laws.

令人烦恼的种族认同问题为理解美国早期国家形成的文化层面提供了更有希望的途径，因为given (1) the three-fifths clause andthe debates surrounding it that contributed to the writing of the Constitution;(2) the origins of local policing policies and governors’ emergency powers,especially in the American south, in the need to command, control, andviolently dehumanize the enslaved population; and (3) the racialized elementsof the ongoing guerrilla war between American settlers and members of Indiantribes in the Northwest and Southwest Territories after the Treaty of Paris in1783.

The Emergence of the Press as a Stage for State 

Action andits Variable Interpretation

一种形式的物质文化确实将十八世纪末的美国公民联系在一起：印刷社。在独立前的时代，报纸和小册子的制作已经建立了一套完善且高度合法的解决方案，将代理问题作为其结构的一部分。

The relationship between printers andthose who wrote pamphlets and funded their publication was that of artisan (agent) and gentleman(principal).Gentlemen published anonymously to protect their “honor,” and printerswerehighly deferential to them.

可以合理地假设这种关系持续到革命后时代，因此构成了建立联邦政府公共合法性的特别有利的手段。但是，Instead, the world ofnewspapers—particularly in the 1790s—ballooned into a semi-autonomous field of its own (for aparallel argument about book publishing, see Remer 1996). Printer-editorsemerged as “new men of power,” less and less responsive to the gentlemen whoran the federal government. Thus, gentleman principals lost their artisanagents as the social character and positioning of newspapers was transformed.

一战时，飞机发传单印刷物的“宣传炮弹”屡见不鲜

The quantitative expansion ofjournalism, and its emergence as a field (which anxious elites referred to asthe “tyranny of printers”) had three important features：

First,the press network was radically decentralized compared to Britain or France, where the system was centered on the word from London or Paris.Instead, the early American republicsaw hundreds of local papers spring up, die off, and be reinvented, in anever-evolving maelstrom of print culture. Second, the reach of exciting stories was extensive, due to the habitual process of “exchange,” whereby faraway papers ran storiesby clipping pieces from other papers—having “an effect akin to modernnewswires” (Parkinson 2016:15). 19 These storiescertainly reached a very broad and, for the era, highly literate public thatconstituted the American electorate (Monaghan 2005; Parkinson 2016). Third, especially over the course of the 1790s, the field of newspapers became a hyperpolarized space of warring interpretations.Even withinPhiladelphia, different readers would receive different “spins” on news incommon.

其中“每个人都知道每个人都知道”发生了这个或那个事件，但是通过相同的设备对该事件的解释受到显着变化的影响。换句话说，媒体可能是公共表演的一个阶段，而不是一个以紧密的方式传达信息和观点的社会化机制。

This reinterpretation of the earlyAmerican press has consequences for theory. One cannot assume that a mediasystem in which similar news stories are read in different quarters of a large,spread-out society fuses nation to state directly via the standardization of printcapitalism (Anderson [1983] 2006). Rather, such a system may constitute an extensive publicapparatus, in which “everyone knows that everyone knows” that this or thatevent happened, but in which the interpretation of that event is, via that sameapparatus, subject to significant variation.

 实证部分：The Whiskey Rebellion

紧急事态: TaxResistance Becomes a Violent and Widely Known Subversion of Law

威士忌叛乱涉及美国在革命和内战之间最大的军队暴动(Troop Movement)。这些部队应对因抵抗威士忌消费而导致的暴力紧急情况。作为更大的农村顽固性国家形成的一部分，税收抵抗在1791年之后在美国西部地区普遍存在。

7月17日，500名民兵与头部税务检查员和几名武装人员进行了交火，将他的房屋烧毁，8月1日，一支7000人的军队在匹兹堡游行。这支军队打出“Westsylvania”旗帜，这标志着宾夕法尼亚州最西部的四个县和弗吉尼亚州的两个最北部县（今西弗吉尼亚州）为独立的政治实体。George Washington proclaimed a stateof emergency on August 7, 1794.

国家行动I：Public Speeches and Networks of Communication EnableWashington and His Cabinet to Assemble an Army

华盛顿的积累暴力手段的项目。这是通过华盛顿和弗吉尼亚州，宾夕法尼亚州和新泽西州的州长发表的一系列宣言和激动人心的演讲而发生的。其中一些表演是通过信件，然后是演讲。These initial “callings up” were successful and representeda tremendous outlay of scarce federal resources, as commitments to pay statefunds to foot soldiers were made. 

国家行动II：A Two-Part Performance ofNegotiation and Magnificent Coercion

代表联邦和周的谈判小组：Sent ahead of the amassed troops in the movement west fromPhiladelphia were two negotiating teams—representing the federal andPennsylvania governments.

Via face-to-face interactionsand letters back and forth with a set of 12 men who represented a set of 60 menwho represented the rebels, these teams acted out a “state solution” to the rebellion.

随后，叛乱分子于8月28日和29日举行会议，他们投票决定接受联邦当局的批准：On September 11, in a large public event held in every townin Pennsylvania west of the Allegheny Mountains, white male citizens came out to sign an oath ofallegiance to the federal government.

这种服从行为之后是拼凑而成“联邦军”的到来

The process of getting approximately12,950 troops, cobbledtogether from various militias of varying size, over the Alleghenymountain range involved agreat deal of dissembling and awkward negotiation of agency problems.

但是军队非常蹩脚

But the army was ill-equipped,under-fed, and not yet paid; Henry Knox and others in the administration thushad to hide from Washington (and the press) soldiers’ repeated raids on localfarms. Letters show that the day-to-day process of the march was not a prettysight (Hogeland 2010:207–36).

然而，却得到了戏剧性的成功表演，在目击者记录中得到了较好的反馈。

这个场景所产生的印象对于理解美国早期国家的建立具有重要意义。囚犯被这个观察者的想象所亵渎，与被憎恨的被奴役者类似。Furthermore, the wealth and strengthof the state apparatus is merged together in the sensory impression of thehorses and their swords, held aloft to signify the might of the new Leviathan. Yet this was pure drama; thePhiladelphia Light Horse was privately funded, it was the publicperformance that made them the avatar of the federal government.随着对威士忌叛乱的解释的发展，公民会认为政府既“可畏（Dreadful）”又“公平（Fair）”，因此，通过国家权力积累的表演层面，合法有效。

公众解释：A Two-Part Performance of Negotiation andMagnificent Coercion

威士忌判断在报纸印刷界展开了激烈的讨论：汉密尔顿，反和汉密尔顿；联邦主义，反联邦主义；反对叛乱，同情叛乱等等。

The General Advertiser ofPhiladelphia reported the “disagreeable news” about the violence on July 25 and26, 1794 (Owen 2015:165); Hamilton’s letter was published in the AmericanDaily Advertiser on August 21, 1794, and “by having this version ofevents printed in the newspaper first, the administration gained the initiativein influencing public opinion regarding the decision to use force against therebels” (Davis 2000:50). Hamilton’s letter provided a narrative history of theevents in clear moral language, and it was the first “total” account (i.e.,attributing cause, discussing conditions and the purpose of the excise law,placing blame) to be widely published. Its efflorescent rhetoric denounced byname several local elites as outside the law, a public denunciation thatinfluenced law and its execution—those named were, at a later date, not offeredamnesty (Davis 2000).

回想起来，这是一个具有讽刺意味的声明，因为在叛乱的历史编纂中，人们在这些规范和规则中采取了哪些行动并且不在其中的行为存在巨大争议（参见Davis 2000 ; Griffin 2007 ; Hogeland 2010 ; Neem 2003）。但是，当时通过全国各地的争论和反驳，在公开解释国家行动时出现的是反叛分子的暴力行为失灵; 国家对叛乱分子的反应（相对）可以理解; 最重要的是，some legitimacy could beascribed to the exchange that occurred in the negotiation between thegovernment’s agents and the rebel committee.

在公众眼中，美国联邦合法性被重塑：a picture of government restraint andhighly moral enforcement of laws. The exchange between citizen and sovereignstate—of obedience for amnesty, and a promise from Washington to try taxresisters locally—signified, in its pragmatism, the reality and legitimacy ofthe new federal government. It thus became “the general view that the federalgovernment had demonstrated to its citizens, and to the world, that it couldwithstand domestic rebellion without resorting to tyrannical measures . . . toshow both resolve and leniency” (Berkin 2017:79).

Conclusions

Reed认为新美国联邦政府的组建取决于通过绩效积累权力。帮助建立美国国家的表演发生在一个环境中，即国家行为者对暴力的解释不确定 - 既不是纯布迪厄那套文化和传统的编纂，也不是纯蒂利那套由压倒性的资本，强制或组织来保障。而是：itwas through the skilful combination of negotiation, coercion, and well-timedpublicity, in the crushing ofthe Whiskey Rebellion, and the skilful combination of violence, destruction,and well-timed publicity, in the Battle of Fallen Timbers, that the new federal government,via its agents, came into being as a solid part of the social universe.

在提出这一论点时，代理理论的语言特别有用，这使我能够表明如何将表演性的国家形成视为对现存社会学国家形成理论所确定的未来国家的相同组织问题的解决方案。As such, the argument proceedsaccording to an understanding of state power focused on the hierarchicalrelationships that obtained, to varying degrees, between rulers, staff, eliteallies, and the electorate—an understanding of state power borrowed, as itwere, from the realist strands of Weber and the early work of Tilly. In thisconclusion, I invert theform of argument to address extant issues in contemporary sociological theorythat start from performance and dramaturgy.

在社会理论中，表演的概念允许通过强调有意义的行动和互动的方面来修订文化的结构性叙述，这些行为和互动通过说和做来使社会生活成为现实。The dramaturgical metaphor and itsrelated concepts—frontstage, backstage, actor, audience, mis-en-scène—providean approach to social processes and their interpretation that emphasizes timing,rhetorical skill, persuasion, creativity, and publicity (Alexander 2004; Goffman [1956]1978; Turner 1982; Wagner-Pacifici 1986, 2000).

（Sociological理论大缸第298期。感谢李立同学赐稿）

链接：Isaac Reed专辑

上文中谈到从物质文化角度理解国家建构，之前推送过