The American State slides

The American State

Development of the American State

• Overview of the American state structure and its historical evolution.

APD Scholarship and the Concept of "The State"

• Various Perspectives on the State by APD Scholars:

  • “The bureaucratic state” (Carpenter 2001)

  • “The garrison state” (Friedberg 2000)

  • “The wartime state” (Dudziak 2012)

  • “The warfare state” (Sparrow 2011)

  • “The national security state” (Stuart 2008)

  • “The straight state” (Canaday 2011)

  • “The sympathetic state” (Dauber 2012)

  • “The litigation state” (Farhang 2010)

  • “The invisible welfare state” (Howard 1997)

  • “The agricultural welfare state” (Sheingate 2001)

  • “The submerged state” (Mettler 2011)

The Concept of State

Definition of the State

• The state constitutes a network of interconnected institutions of governance and representation, characterized by its legitimacy, stability, resilience, and evolution (Mettler and Valelly 2016).

• State Capacity: The government’s capability to enact the will of its legitimate principals effectively when needed (Mettler and Valelly 2016).

State Autonomy

• Role of Professionals in the State:

  • Professionals influence policy and actions influenced by political linkages, social demands, and their own worldviews (Mettler and Valelly 2016).

Determinants of State Capacity

Initial Necessities

• Fundamental needs include the capacity to tax, mobilize for war, and manage economic activity minimally.

• Over time, states adapt by increasing welfare provisions and labor market regulations.

War and State Development

• Charles Tilly's Argument: "War made the state and the state made war."

• Growth of capacity: As states demand more from citizens, there develops a reciprocity, compelling subjects to advocate for additional state services and meet new needs.

John Hobson on Taxation and Authority

• States must negotiate with civil societies for resource extraction, achieving a balance between coercion and consensual agreements (Baldwin 25).

Theoretical Spectrum of State Control

• Visualizing states on a spectrum, from garrison-like authority structures to more internally regulated, self-governing societies (Baldwin 25).

Questions Regarding State Strength and Taxation

Tax Compliance in America

• Why do Americans agree to pay taxes?

  • Potential threats of penalties? Social pressures? Other possible reasons?

Comparison of States

• Are some states inherently weaker than others? Comparison of the United States with European countries in terms of state strength.

Theorizing the State

Baldwin’s Observations

• Americans tend to mistrust the state which results in limitations on its growth, contrasted with European perspectives.

  • Centralization vs Federalization:

    • Differences in state centralization and interventionist tendencies in countries such as France and Germany.

Baldwin's Perspective on State Capacity

• Nature of State Intervention: States differ qualitatively rather than just in strength or weakness.

• States provide options such as rehabilitation versus harsh punishment for criminals and government subsidies versus indirect tax deductions.

Historiography of the Welfare State

Evolution of Welfare State Theories

• First Generation: All nations will eventually become welfare states.

• Second Generation: Identifies varieties of welfare states, with the Scandinavian model as an ideal.

• Third Generation: Acknowledges inner differences within seemingly similar welfare states.

Styles of Statism

Expectations and Approaches to Issues

• Questioning the uniformity in how states confront problems and emphasizing the uniqueness of each state's approach.

The American State in the Antebellum Period

Challenges to the Assumption of Weakness

• Increasingly complex state involvement in areas like public health and safety, which contradicts the belief in limited governance.

Antebellum State Capacity

Territorial Expansion and State Formation

• Federal government utilized treaties and warfare for territorial acquisition while implementing land policies to encourage migration without overwhelming the state’s initial capabilities (Frymer 2014).

The Analysis of State Weakness

Evolution of Perspectives

• The view of the American state as historically weak has shifted; it's now viewed as simply different in its organizational and operational capacities, yet some aspects still highlight weaknesses.

Antebellum America: A Dual Perspective

Visibility of State Engagement

• The state exhibited engagement in significant activities but lacked various capacities considered standard today. Major turning points leading to greater state capacity included:

  • The Civil War

  • Reconstruction and the New Deal.

Key Takeaways

Understanding the American State

• Comprehension of state capacity and its transformations over time.

• Evaluation of Baldwin’s theory on state strength and interpretations of American state capacity.

Future Readings

• Next Class Assignments:

  • Bensel's Yankee Leviathan (one chapter)

  • Suryanarayan and White, “Slavery, Reconstruction, and Bureaucratic Capacity in the American South.”

Overview of State Building Moments

The Role of the Census

• Importance of accurate demographic knowledge for state functionality, updated every decade to inform governmental representation and planning.

Historical Changes in Census Operations

Evolution and Significance

• Changed methodologies and contents reflect broader socio-political conflicts, particularly regarding slavery.

The Civil War's Transformation of the State

Impact of War on Governance

• Significant increases in national budget and the emergence of a large federal bureaucracy.

Reconstruction and its Effects

Political Landscape Post-Civil War

• Reconstruction as an experiment in interracial democracy leading to advances in Black representation and infrastructure.

Taxation and Redistribution During Reconstruction

Consequences of Democratization

• Greater taxation in southern states due to inclusion of a poorer median voter.

Political Dynamics in Post-Reconstruction

Shift in Power Structures

• A concerted effort by white southern Democrats to restore pre-war social hierarchies through regression in taxation and governance.

Analysis of Suryanarayan and White (2021)

Research Findings on Slavery and Taxation

• Examination of taxation levels concerning prewar slavery and evolving political and economic power dynamics in the South post-Reconstruction.

The Diverse States in the 19th Century

Bensel’s Perspective on State Variability

• Identification of differing American states during the late 19th century and how they differ from classic European state models.

The Evolution of the American State Post-Civil War

Insights into Reconstruction's Dimensions

• The complexity of power structures and potential reforms that were gradually dismantled after Reconstruction.

The Great Depression’s Effects on State Building

Economic Crises and Constitutional Responses

• The intersection of economic crisis and governmental intervention, shaping policy responses.

The New Deal’s Strategies

Key Legislation and Initiatives

• Introduction of the National Industrial Recovery Act (NIRA) and Agricultural Adjustment Act (AAA) marked a significant turn towards a new interventionist approach.

Comparative Analysis of NIRA and AAA

Outcomes and Institutional Success

• AAA succeeded in institutionalization, while NIRA faced significant challenges post-Supreme Court rulings.

Theoretical Frameworks for Understanding Outcomes

Pluralist and Marxian Perspectives

• Evaluating the implications of differing frameworks for state capacity versus organizational strengths.

Administrative Capacity and Policy Outcomes

Significance of Existing Structures

• The effectiveness of administrative frameworks pre-existing the New Deal shaped the outcomes of state interventions.

Post-War Developments and State Retention

Continuity in Federal Power

• World War II reinforced existing state power dynamics and led to increased public acceptance of taxation.

Tax Structures Post-WWII

Path Dependency in Taxation Policies

• The evolution and establishment of mass-based income tax became a central feature of post-war revenue generation.

The Postwar American State

Ongoing Challenges and Political Dynamics

• The development of state capacity continues to adapt through various administrations, reflecting shifting priorities and strengths.

Discussion Points

Comparative Analysis of Recent Administrations

• Analyzing the strengths and weaknesses of the U.S. state under both Trump and Biden administrations and their implications for current governance.