PRINCIPLES OF POLITICAL SCIENCE

UNIT-II- STATE:-MEANING, ELEMENTS AND NATURE

Origin of the state

Various attempts have been made in a speculative manner to explain the method by which the state
came into existence. These efforts were concerned, not primarily with the actual historical process of state
origin, but rather with a reasonable explanation of the way in which the state may have been supposed to
originate. They were attempts to give rational answers to the questions of why men lived in political
organisation, or why they should submit to political authority, and of what limits should be placed to such
authority.

The Social Contract Theory

The social contract theory starts with the assumption that man lived originally in a “state of nature”;
antecedent to the formation of a political organisation. During that time he was subjected only to such rules of
natural law as are prescribed by nature itself; and was the processor of natural rights. Later on, in its place man
deliberately formed an agreement or contract by which they setup a body politic. Submitting to the control of
all, they received in return the protection of all, thus losing their natural liberty but receiving in return security.
Human law replaced natural law, and each individual became the processor of political rights and obligations.
The state was thus of deliberate human creation, and authority was derived from the consent of the people. The
chief exponents of social contract theory were Thomas Hobbes, John Locke and Jean Jacques Rousseau.

Though there is general agreement about State of Nature, thinkers differ about its details. Hobbes gave
a gloomy picture about the State of Nature. In his opinion it was a state of war, a savage state. Men were selfish
and aggressive brutes. Every man was the enemy of other man. Might was Right. To avoid the fear and danger
of this terrible situation, man agreed to set up an authority.

To Locke, life in the state of nature was one of peace and ease. Freedom and tranquility was prevailed.
Men were bound by the law of nature and processed some natural rights. But there was the absence of an
agency to interpret and implement the law of nature. So, men agreed to create a common authority.

According to Rousseau people led an ideal life and enjoyed „idyllic happiness‟ in the state of nature.
But the rise of population and the rise of property create some evils in the society. To eliminate these evils from
the society they tried to settle a contract. As a result of this contract state was formed.

Evolutionary Theory of State

This Evolutionary theory is also known as sociological or the correct theory of the origin of the state. So
long as social sciences had not made any development and it was very difficult to determine the correct theory
the origin of the state. The advancement of the fields of history, anthropology and archaeology helped in finding
out various forces and factors responsible for the creation of the state. The Evolutionary Theory is regarded as

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the true and correct theory regarding the origin of the state. This theory helps in understanding the forces and
factors, which created the state and historical stage through which it passed.

Factors of Evolutionary Theory of State

Following are the forces and factors evolutionary theory of sate

1.Kinship
2.Magic and Religion
3.Property and the rise of Economic Classes
4.War and Force
5.Political Consciousness
Kinship
The state is based on the principle of command and obedience. In the earliest stages we find such a
relationship in the family based on blood and birth. In this respect the matriarchal and patriarchal societies
became the basis of the origin of the state. There were families, clans and tribes, whose Memberships were
based on blood relationship which was the first element of social unity and the first basis of organization and
discipline. There used to be a council of elders with a chief as political authority whose command was obeyed
by all the members of the tribe.. In this way the path was paved for the development of the state

Magic and Religion

In ancient times people were not civilized and advanced. So they did not understand the forces of nature.
At that stage man was at the mercy of nature. So he tried to control them by different practices which later on
got the name of magic. Some people tribes had the knowledge of these forces. So they acquired superiority over
others and became their leaders. With the passage of time such men became the priest-kings. Slowly and
gradually religion became a powerful instrument for keeping control over the people. Even today religion plays
an important role in the state activities.

Property and the rise of Economic Classes

In the beginning people roomed from place to place in search of pasture and water. They did not know
what agriculture was and how crops were cultivated. As a result of this they did not occupy a particular territory
and lead a settled life. With the passage of time population increased and man was compelled to lead a settled
life. This compelled them to occupy land with this there arose the need to have an authority to define and
enforce the rights of the families or individuals within the territory of the settled community.

This authority was also supposed to defend the wealth, which consisted mainly of land and domestic
animals. In other words a common authority was needed to define property rights and property relations and to
decide issues like inheritance, theft, exchange of goods etc. It is said where there is no property there can be no
government. This means that the government and the state came into existence with the beginning of the private
property and the division of the society with classes.

War and Force

War and force also played an important role in the .development of the state. Wherever force is used
there is a definite purpose for it. In the beginning force was used to capture animals, wealth and land of the
neighboring tribes. So we can say that the wars in the beginning were for economic purposes. War changed the
tribes into political entity. As a result there came into being a permanent leadership. During the time of war the
tribal chose their leaders who led them in the war. Since war became a permanent feature of tribal life,
leadership also became permanent. With the passage of time a powerful tribal leader after many successful wars

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 became the king. In this way a tribal state was changed into kingdoms and in this way the modern state came
into being.

Political Consciousness
This means the thought of knowledge as to why political organization is needed. In the beginning there
was the need for defense and protection of life, liberty and property, regulation of social relations etc. Political
consciousness began in ancient times. It is a very slow process. It took a very long time for man to ask about the
political authority. The day people asked the question why political consciousness began and about its
progresses and development. This also helped in the growth and development of the state and government.

Meaning of State

The state existed under different names in different periods as an authority for maintaining the order and
protection in the society. The early Greeks used the term „Polis‟, while Romans used Two other terms such as
„civitas‟ and „republica‟. During the medieval period it was known as „Christian Commonwealth‟. It was in the
16th century that Machiavelli used the Italian term „stato‟ (state) in a modern scientific sense.

By the end of the 18th century, the term “state‟ come into use to represent that human association which
is composed of four essential elements such as population, territory, government and sovereignty.

Key Features of State

The state exercise authority through a set of permanent institutions referred as the government. The key
features of a state are as follows;

1) The institutions of the state are „public‟ in contrast to the private institutions of civil society. State bodies are
responsible for making and enforcing collective decisions in society and are founded at the public expense.
2) The state has legitimacy. Its decisions are usually accepted as binding on its citizens because it is claimed; it
reflects the permanent interests of society.
3) The state is an instrument of domination. It possesses the coercive power to ensure that its laws are obeyed and
those who disobey the law are punished.
4) The state exercise sovereignty. A state must be able to make and enforce policies on its citizens without any
form of external control.

5) Population- Without people, there is nothing like a state because people are the one who make up the state.

6) Boundaries/Defined Territory- A state must have specific boundaries separating it from other states.

7) Permanence- The state stays permanent unlike the government which changes periodically.

8) Recognition- A state must be recognized internationally to participate in nationwide activities like international
trade, global summits, Olympics, etc.

9) Government- The last but not the least. A state must have a government even though it is not permanent.

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 Important Elements of State
1. Population:
The state is a human institution. So population is its primary element. There is no hard and fast rule
about population. The ancient Greek writers like Plato and Aristotle preferred a small population. According to
Plato, an ideal state should have a population of 5040. Aristotle laid down a general principle that the
population of a state should be large enough to make it sufficient and small enough to make good government
possible. It must be remembered that both of them were thinking in terms of small city-states.

In modern times, Rousseau, prompted by considerations of direct democracy, fixed the number at
10,000. In modern times states vary greatly from the few thousands of Monaco or of San Marino to the crores of
China or of India. The modern tendency is in favor of large states. To recapitulate(summarise) a large
population is an advantage from the point of view of military defense.

However, a large population can be a liability if the resources of the state are not adequate for its
maintenance. One of the main problems faced by developing countries is over-population. Thus there should be
a well balance between the size of the population and material wealth of a state.

2. Territory:
A definite and more or less permanent territory is also regarded as an essential element of the state. In
modern times, the citizens are bound together by residence on a common territory. Land, water and air space
comprise the territory of a state. As in population, so in territory, no limit can be laid down. Small states and
large ones exist side by side. We have tiny states like San Marino with an area of less than twenty-five square
miles. On the other hand, there are giant states like the Russian Republic, China, U. S. A., and Australia with
millions of square miles.

According to international law, all states are equal in status and right, no matter how unequal they are in
population and area. It is claimed that small states are good for efficient administration and inculcating a sense
of unity and love for the state among the people. However, the truth is that a small state is a disadvantage in its
relations with larger ones. Small states are under the influence of other large and powerful states. It is said in
favour of large states that they are strong in defense and because of availability of resources they are
economically self-sufficient.

It can be pointed out that the power and security of a state are not determined only by the size of its
territory. Some other factors in this regard are geographical location, resources and climate.

3. Government:
A group people occupying a definite territory cannot form a state unless they are politically organized
i.e., unless they possess a government. Government is the political organization of the state. It is the concrete
and visible instrument of state power. According to Garner, government is the agency through which "common
policies are determined and by which common affairs are regulated." The actions which have to be taken place
in a state are act through the government. Government must be effective; it must possess the capacity to
maintain order and enforce obedience. Without a government there would be lawlessness and anarchy and
ultimately the state would be dissolved.
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 Government consists of three organs, namely, legislature, executive and judiciary. The legislature makes
laws; the executive enforces laws while the judiciary adjudicates cases or disputes.

There are different kinds of government in different states such as monarchy, democracy and
dictatorship. Most of developed states are democracies. Many developing countries including India have
democratic governments. Whatever might be the form of government, one thing is clear that there will be no
state without government.

4. Sovereignty:
By far the most important characteristic of the state is its sovereignty. It is the characteristic which
distinguishes the state from all other associations. It denotes the supreme power or the final authority for which
there is no appeal. Sovereignty has two aspects such as internal and external. As per internal aspect, the state
has supreme power over all individuals and associations within its fixed area. It can compel obedience of its
people to its laws and commands. And as per external aspect, the state is free from control of any foreign state
or alien rule. Before independence India was not a state as it was ruled by the British.

It should be noted that however, absolute sovereignty is a legal concept, in actual practice no state is
able to exercise unlimited power either over individuals and associations within its territorial domain or in its
international relations.

A state respects and abides by international laws, treaties and the policies of the international
organizations like the UN and its agencies. A number of writers who have attacked the concept of absolute
sovereignty on theoretical grounds also hold that it is undesirable. H. J. Laski, for example, regards it as
incompatible with the interests of humanity and world peace.

5. International Recognition:
In modern times relations among nations have grown and many international organisations and
institutions have come into being. Therefore some scholars argue that international recognition is an essential
element of state. The recognition of the sovereign status of a new state by other states is called international
recognition.

Nature of State
The state has always been central to political analysis, to such an extent that politics is often understood
as the study of the state. This is evident in two key debates. The first and most fundamental of these focuses
upon the need for the state and the basis of political obligation. The classic justification of state is provided by
social contract theory, which constructs a picture of what life would be like in a stateless society-called as state
of nature. In the view of thinkers such as Hobbes and Locke, as the state of nature would be prepared to enter
into an agreement-a social contract- through which they would sacrifice their liberty in order to create a
sovereign body without which orderly and stable existence would be impossible. Individuals should obey the
state because it is the only safeguard they have against disorder and chaos (a state of extreme confusion and
disorder).

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 The second area of debate concerns the nature of state power. Much of the political theories deal
specifically with rival theories of the state. The major positions in this debate can be summarized as follows.
Liberals view, the state as a neutral arbiter amongst competing interests and groups in society, a vital guarantee
of social order-an it is considered as a necessary evil. Marxists considered state as an instrument for class
oppression. In the view of democratic socialists‟ state is an embodiment of common good. Conservatives have
generally linked the state to the need for authority and discipline to protect society from any type of disorders.
The feminist thinkers considered state as an instrument for male domination and power.

The following discussion analyses the various nature of the state under different ideologies:

1. Idealist Theory of State

Plato and Aristotle are considered to be the founders of the idealist theory of the state. They started with the
premise that man by nature a social and political animal. It is only by living in society, man can develop his
personality and realize all that are best in him. They never differentiated society from the state. They regarded
the state as a self-sufficing entity identical with the whole of society, existing for itself and by itself. The state is
an ethical institution and therefore, an end in itself. The true state is a partnership in a life of virtue.

When coming to the modern period Hegel, the founder of modern idealism proposed the state as an ethical
community. According to him state is an ethical ideal and the highest expression of human freedom. The
modern idealists developed a philosophy which magnified the state into a self-sufficing entity. They regarded
the state as an organic unity and held it as the highest expression of social morality. State exists to create and
maintain those conditions in which free and moral life is possible. It is accordingly the best and highest of all
other associations. Modern Idealists idealize the state and glorify it to the point of deification. They regard the
state as a vehicle of individual development and progress.

The individual apart from state has no meaning. The life of the individual, his rights and liberties are depend
upon his being as a part of the state. The state is the guarantor and the creator of rights. It guarantees rights by
creating conditions for the full moral development of the individual‟s personality. The state, in this way
becomes the source as well as the guardian of social good. It is an end rather than means. Its authority is
unlimited and its competence unrestricted. The idealists, such as, place the state “upon a pedestal at the foot of
which its members are expected to bow down and worship.” They teach that state cannot do wrong and its laws
can never be unjust. Its authority must be obeyed without any grumbling, and resistance to its commands
however oppressive, is not justifiable.

2. Capitalist State

The capitalist nature of the state was analysed by Karl Marx, who is the architect of Marxist political
philosophy. Here capitalism means the domination of an elite class in the state. In other words, in the capitalist
state the means of production is under the control of this elite group. The elite class means the Chosen Few/
Master Class/Bourgeoisie. The owners of Means of Production determines the three basic questions of
production, that is, What Produce? How to Produce? And Whom to Produce? The basis of capitalist state was
wage labour and the private ownership of the means of production. The ownership in the state was restricted
into a small group. According to Marx, “the men who possess no other property than his labour power must, in

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 all conditions of society and culture, be the slave of other men, who have made themselves the owners of the
material conditions of labour. He can work only with their permission, hence live only with their permission.”

Marx identified some reasons behind the attractive nature of the capitalist state. These are:

i. Remarkable economic progress through technological development.

ii. The growth of commerce and factories.
iii. Instituting the cooperative social production.

Capitalism was cosmopolitan and international. Because it crossing national boundaries and penetrated
every corner of the world for searching raw materials and markets. It eliminates the distinction between town
and country.

Benefits

 It undermined national barriers

 Abolition of the idiocy of rural life.
 Centralized production.
 Use of advanced technology.
 Attainment of maximum level of profit.

Disadvantages

 Exploitation of labour
 Eviction of peasants
 Alienation of workers
 Decline of Human Resource Development.
 Profit centered production.
 Emergence of Bourgeoisie
 Economic inequality.

3. Marxian State

The early Marxist thinkers considered the state as an instrument of exploitation in the hands of the dominant
class. The state doesn‟t stand for the good of all. rather it protects and promotes the interests of the few at the
coast of the many. The state is an agency of class coercion in the hands of the dominant economic class. The
state maintains its exploitative class character right from its origin through various phases of its developments.

Society is a natural institution, the state is not. The state does not come into existence for the fulfillment of
moral purpose, nor does it emanate from the will of the people. The state did not exist from eternity but came
into existence at a certain stage of social development. The state is neither originated out of the will of society
nor it is maintained for the benefit of all sections of society.

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 Features

 State is an instrument of class domination.

As soon as mankind emerges from the stage of primitive communism, at every stage of history a particular
class assumes ownership and control the means of production and becomes the dominant class in all spheres of
social life. This class exploits the rest of society which is subjected to its domination.

Marx had indicated the broad outlines of the circumstances which led to the emergence of the state. These
ideas were later developed by his illustrious associate, Friedrich Engels. When the development of productive
forces reached a stage that was marked by surplus production, a class arose in society which managed to secure
ownership of the means of production and forced the rest of the society to labour for their masters. The
machinery of the state was created by the dominant class to maintain its hold on economic power.

 State comes into existence for the protection of private property.

Both the institution of private property and state began at the same period. When the means of production
was just enough for survival, the concept of private property was unknown. But when surplus production
became possible private property came into existence and correspondingly the emergence of two classes-the
haves and the have-nots, exploiters and exploited, master and his slave. The machinery of the state was created
by the dominant class with the primary purpose of protecting its private property.

 State is a symbol of injustice

The Marxist concept of the nature of the state is fundamentally different from the idealist as well as liberal
theories. Liberal thinkers regarded the state as an instrument of order and justice; the idealist regards it as the
expression of superior reason; but the Marxist have found it to be a symbol of social injustice, because the state
creates two different classes in the society. Political power is merely the organized power of one class for
oppressing another.

4. Socialist State

Socialism arose as a reaction to the rise and development of capitalism. It arose at a certain stage of
development when capitalism failed to deliver goods. It arose against the concentration of wealth in fewer
hands; against the deteriorating conditions of the workers; and against over-production, exploitation and
unemployment.

The socialist state stands for the following things:

i. An egalitarian society- a society of human fellowship where genuine liberty exists with reasonable equality.
ii. The satisfaction of man‟s basic needs-a system where there is a sufficiency for all before surplus is available for
some.
iii. Social ownership of the means of production, at least, of some major ones- say, of land, power, banks,
insurance, leading ultimately to a situation of equality of wealth and opportunities.

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iv. A system where all the citizens have to contribute to the common good or general or social welfare.

The socialist state running on the basis of the equitable distribution of income, resources and wealth.
Unlike the capitalism, here the ownership of the means of production under the control of state. the state doing
the whole productive work for the welfare of all and it is not profit motive. The production process in the
socialist state is service oriented. The common ownership of the wealth and resources are the results of this
service centered production.

Features

 State ownership
 Preservation of social justice, economic justice and political justice.
 Material resources of the society should be distributed on the basis of needs. (“from each according to his
ability, to each according to his need”- Karl Marx)
 Production should be service oriented.

5. Liberal State

Liberal states adopt a liberal attitude towards the rights and privileges of citizens. It has been assumed
that the restrictions of any type adopted by the government will curb the liberty and natural growth of the
individuals. It will increase the growth of mans personality and inherent qualities. So a liberal state denotes a
limited government or limited state. In other words liberal state means limited functions and role of the state in
human affairs.

A state is liberal when it acknowledges the opinions, attitudes and behavior of individuals and doesn‟t
think these as threat to the existence and administration of state. There are differences among the political
philosophers as to the functions of a liberal state, but there is a common strand among them all-and it is that
individuals must have maximum freedom so that their free development does not receive any setback due to
state policy or action.

Features

i. The liberal state embraces multiplicity of ideas, views and existence of numerous groups and parties. This
indicates a competition among them for seizure of political power through constitutional and democratic ways.
The characteristic feature of a liberal state is that these groups are engaged in cooperation and conflict
depending on their interests on public issues.
ii. The liberal state maintains absolute neutrality towards all groups. Since multiplicity of groups and organizations
and coexistence among them are the characteristic features of a liberal state, clash of interests can be seen as an
inevitable consequence.
iii. The important feature of a liberal state is that it is accountable to the citizenry for all its activities, decisions and
policies. The consent and accountability are the twin ideas associated with the liberal state.

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 iv. A liberal state always adopts a liberal attitude towards the rights of citizens. Mention has been made that the
most vital precondition of individual‟s development is granting of rights and privileges to all individuals
equitably.
v. A liberal state cannot be imagined without political parties; and this is not all. In any liberal state there are
number of ideas number of political parties and they struggle to capture power. Here lies a major difference
between a liberal state and authoritarian state.
vi. A liberal state is sometimes called a pluralist state because of the plurality of ideas and organisations.
vii. Separation of power is generally regarded as a feature. A liberal state means limited state and it again implies
the three organs of the government and it will discharge this function keeping them within the confinement
decided by law and constitution. When this is implemented no organ of the government will interfere with the
functions and jurisdiction of another organ.
viii. A liberal state does not endorse the domination of a particular ideology, various opinions or ideologies work
and exist side by side. It is a state of multiple ideas, ideals ideologies and views and all of them enjoy ample
opportunities and atmosphere for work. In a non-liberal state such a situation is unimaginable.
ix. In all liberal states there are mainly two centers of power—one is economic and the other is political. But the
interesting fact is that economic power-centre controls the political power. Marx emphasizes this aspect of
liberal state.
x. There is no fixed form of liberal state. For example, we find in Britain a constitutional monarchy. There is clear
incongruity between monarchism and liberalism. But the mere fact is that Britain is a liberal state. On the other
hand, United States is also a liberal state with constitutional republic in character.

Functions of a liberal state

 It will have to do those functions which could help to maintain free society.

 It must see that rights and liberties are properly protected.

 It must encourage the moral development.

 Basic requirements of the citizens are met.

 The state should launch welfare schemes.

 Coercion should be reduced to the minimum.

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