April 19, 2023 Introduction to Political Science 1

The State

Frank H. Brooks

April 19, 2023 Introduction to Political Science 2

Defining the “State”

• Weber’s definition:– What are the specific means (techniques) of the

state?– What about its exclusive or typical functions?– Typical structures? (structural functionalism)

• Associated Concepts– Sovereignty– Autonomy– Legitimacy– Territoriality

• Models of the State– Liberal pluralist– Marxist– Organic

April 19, 2023 Introduction to Political Science 3

Weber: The State and Violence• The state is “a human community that

(successfully) claims a monopoly of the legitimate use of physical force within a given territory”

• The state is NOT defined by:– “leadership activity” (politics)– Functions (“content of actions”)

• Violence is the “means specific to the state”– Not the normal or only means (i.e. necessary, but not

sufficient)– State claims monopoly on legitimate use of force within

a given territory

April 19, 2023 Introduction to Political Science 4

Weber: Power, Authority, Administrative Techniques• Power

– Essential to rule– Motivation especially powerful for “politics as a vocation” (living

“off” politics)• Authority

– Legitimizes domination– traditional, charismatic, legal/rational

• Administrative Techniques– “organized domination requires control of the personal executive

staff and the material implements of administration”– Staff bound by legitimacy, material reward, and social honor– Material implements can be directly controlled or “farmed out” to

estates, fiefs, rentiers– Modern state tends towards direct control by appropriating

autonomous functionaries

April 19, 2023 Introduction to Political Science 5

State Autonomy• Weber

– Authority and rule put state at center of analysis– Modern state characterized by centralized control of

administration and force• Society-centered approaches make the state and its

actions a “dependent variable”– Policies are “outputs” determined by political inputs– Focus on state structures is “old-fashioned”

• Skocpol – “bringing the state back in”– The state is a political actor– Not just an arena for political struggle– “States conceived as organizations controlling territories and

people may formulate and pursue goals that are not simply reflective of the demands and interests of social groups, classes, or society”

April 19, 2023 Introduction to Political Science 6

Key Concerns of “Autonomous” State• Territoriality

– Governs its space through violence– Focus on military and coercive apparatus

• Sovereignty– Internal:

• highest authority domestically • relations between state and society)

– External:• Relations to other states • transnational context

• Capacity– To maintain territory and sovereignty– To pursue policy goals– To meet social demands

April 19, 2023 Introduction to Political Science 7

State Capacity• What gives the state capacity to act?• Structures of coercion

– Stepan: “the continuous administrative, legal, bureaucratic, and coercive systems”

– i.e. military, bureaucracy, courts, treasury– What about legislatures or executives? – related to

regime, autonomy• Finance

– Skocpol: “nerves of the state”– Taxation (and credit)

April 19, 2023 Introduction to Political Science 8

Models of the State• Liberal – pluralist model

– State is neutral and passive (umpire, arbiter)– Group theory and focus on inputs (players, not field/rules)

• Marxist model– State actions determined by hegemonic class– May have “relative autonomy” when no hegemonic class, or

where bureaucracy becomes parasitic• Organic statist model

– State necessary to pursue common good– Thus, state strong and interventionist– not necessarily conservative or authoritarian

• Religious state (Juergensmeyer)– As an “ideology of order,” religion competitive with secular

nationalism– Religion is appropriate basis for creating sense of national

identity (and for determining content of policy)

April 19, 2023 Introduction to Political Science 9

State Formation• How does the state form? (How did it?)• Alternative political structures

– Tribes, families, villages– Cities, empires– Origin of “nation-state” is modern (and European)

• Are states created by consensus or force?– Consensus

• Contract – on what (rational) basis• Leads to democratic (republican) regimes

– Force• Imposed from within or without• Related to competition

• Contract and consensus are emphasized in ideology of modern European states, but reality is (mostly) force

April 19, 2023 Introduction to Political Science 10

Modern state formation in Europe• Tilly: competition and war

– Evolved out of chaos of “Dark Ages”– Protection rackets and armed bandits– Randolph Bourne: “war is the health of the state”

• Other Factors– Cities as political units (vs. monarchy, empire)– Decisive role of monarchs in unifying (cf. Machiavelli)– Challenging (political) role of religious authority– Trade and international travel

• Advantages of states as political units– Encouraged economic development– Encouraged technological innovation– Assisted in “homogenization of peoples” (nation-building)

April 19, 2023 Introduction to Political Science 11

Comparing European and African States• Herbst’s thesis

– relative infrequency of interstate war in Africa has retarded state formation

– war affects taxation and nation-building– i.e.,for successful states, builds capacity and legitimacy

• Alternative explanations of weak states in Africa– Economic weaknesses

• Large peasant populations• Significant nonmonetarized sectors• Widespread poverty

– Lack of nationalism• Anti-colonial “nationalism” never as strong in rural areas• Borders of African countries cut across ethnic boundaries

April 19, 2023 Introduction to Political Science 12

Graphic Comparisons

• General map of Africa (UN)

• Maps of Africa during colonial period and showing dates of independence

• Map of Europe

• Size comparison

April 19, 2023 Introduction to Political Science 13

Permanently-Weak African States?• Civil rather than interstate war

– “truly competitive state system … penalizes military weakness” (57)

– Much interference of outside forces in civil wars, but little intent to permanently annex territory

– Consider recent conflicts (e.g. in “Horn of Africa,” Congo)• Opposition to “imperialist” IMF not enough to build

nationalism– IMF won’t destroy states, just keep them dependent– “structural adjustment” policies create winners and losers

in African states• Is War the Answer?

– Herbst says not to glorify war– But, there’s no good alternative to it for state formation

April 19, 2023 Introduction to Political Science 14

Weak States and “Failed” States• Characteristics of a “failed” state

– Persistent violence aimed at existing government (all-out internal war)

– Massive deterioration of living standards and infrastructure– Intercommunal conflict and violence– Lack of control over boundaries (external and internal)– Rulers prey on citizens– Growth of criminal violence– Few public goods (e.g. security, education, health care) provided– Corruption and unequal economic development– Inflation, smuggling, famine

• Examples– Afghanistan during most of 1990s– Somalia after 1993– Bosnia in 1990s– Lebanon during civil war

• Index of State Weakness (Brookings Institution)• “Fixing a Broken World” (The Economist)

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Why Do Weak States Fail?• Look at weak states that haven’t failed

– Sri Lanka: long civil war hasn’t led to breakdown in Sinhala areas– Indonesia: several secessionist movements haven’t undermined

central authority– Colombia: central government controls most of territory– Zimbabwe: no widespread (effective) internal insurgent

movement• Failure due mostly to bad leadership

– Not inevitable for geographic reasons– Bad leaders, e.g. Mobutu in Zaire, dos Santos in Angola

• Sustaining Weak States– Security is first– Administration and judicial system– Providing public goods– Elections not as essential (at first)