PSCI112D

The Modern State

What is a country?
What is a nation?
What is a state?

A country is not a term used in political

science because the meaning is too vague.

A nation refers to a group of people who

perceive themselves as sharing a sense of

belonging, often including connotations of
tradition, language, or culture.
A state, does not refer directly to a group of
people or their sense of who they are.
It is possible to have a stateless nation (such
as Israel prior to 1948)

In concrete term, how do we define a state?

A State is a set of ongoing institutions that

develops and administers laws and generates

and implements public policies in a specific
territory.

What is the difference between a state and

government?
Government is transient because it only
makes use of the apparatus of the State.

Characteristics of the
Modern
State

1. Territory
Territories vary enormously. It could be as big
as Russia or as small as Luxemburg.
The number of states and their borders
continue to change frequently. (e.g. Kosovos
independence from Serbia.)

2. External and Internal Sovereignty

-A state must be able to defend its territory

and must not be overly dependent on the
resources or decisions of other power.
-Example was the collaborationist Vichy
government in the unoccupied Southern free
zone of France during World War II, and all
colonial States.

Modern States also strive for internal

sovereignty, that is, to be the sole authority

within a territory capable of making and
enforcing laws and policies.
States try to enforce sovereignty by claiming,
in the words of famous German sociologist
Max Weber, a monopoly on the legitimate
use of physical force (1970).

3. Legitimacy
Legitimacy is the recognized right to rule.

It has two sides: the claims as to why they

have a right to rule and that the population
accept or at least tolerate this claimed right.
Traditional legitimacy is the right to rule based
on a societys long-standing patterns and
practices. Example is the European divine
right of kings.

Charismatic legitimacy is the right to rule

based on personal virtue, heroism, sanctity, or

other extraordinary characteristics.
Rational-legal legitimacy is the right of
leaders who are selected according to an
accepted set of laws.
Modern state often control an overwelming
amount of coercive power, but it is expensive
and difficult.

4. Bureaucracy
A large set of appointed officials whose

function is to implement the laws of the state

as directed by the executive.

How did the modern states

come
about?

The modern state arose first in Europe

between the fifteenth and eighteenth
centuries.
Prior to approximately 1500, Europe consisted
of feudal states. They neither claimed nor had
undisputed sovereignty.
At the heart of it was fealty, a relationship
between the lord and vassal in which the lord
gave a vassal the right to rule a piece of land
known as a fief, including the right to rule

 And tax the people living in the fief in exchange

for political and military loyalty.

A vassal could shift loyalty from one lord to the
other.
The loyalty of the peasants who had no vassals
and had virtually no rights-followed that of their
Lord.
In addition, the catholic church claimed a
separate and universal religious sovereignty over
all and give religious legitimacy to the kings and
lords.

By the fifteenth century, feudalism was giving

way to absolutism, rule by a single monarch

who claimed complete, exclusive sovereignty
over a territory and its people.
Absolutist state included at least rudimentary
forms of a standing army and diplomatic
service; centralized bureaucracy; systematic
taxation; and policies to encourage economic
development.

Legitimacy remained based on tradition and

heredity.
The State was not conceived of as a set of
ongoing institutions separate from the
monarch. Rather, as Louis XIV of France
declared Letat, cest moi (I am the state)
In 1648, the Peace of Westphalia codified the
idea of states being legal equals that
recognized each others sovereignty via
diplomacy or war if possible.

The states that survived were those that had

developed more effective systems of taxation,

more efficient bureaucracies, and stronger
militaries. This long process ultimately helped
create modern nations.
Modern states may have developed before or
simultaneously with Europe.

Europe exported the modern state through

colonial transplantation.
The English-or common law tradition is
characterized by the relative independence of
judges, the importance of juries, and the reliance
on broad legal principles such as fiduciary duty
to resolve disputes.
England transplanted its laws to the United
States, Canada, Australia, New Zealand, as well
as South Asia, East Africa, and other areas it
colonized.

The civil law tradition is derived from Roman law,

was eventually adopted by most Continental

European states.
It is characterized by state-employed judges,
relative unimportance of juries and extensive
control and oversight of lower level judicial
decisions through superior review.
French civil law was transplanted to the parts of the
world controlled by the Portuguese, the Spaniards,
the Dutch,, and the French themselves, and today
remains in Latin America, North and West Africa, as
well as parts of Asia.

The United States, Canada, and Australia did

not have to invent their laws from scratchthey inherited them from England.
Transplantation increased benefits for the
security of property rights and economic
development for the settlers.
When the colonists did not settle,
transplantation may account for institutional
inefficiency.

The elements of the State discussed were

what Weber called an Ideal Type. In reality,

nothing matches the ideal type. No state
indisputably enjoys complete external or
internal sovereignty, absolute legitimacy and
a monopoly on the use of force, and a
completely effective and efficient
bureaucracy.

A weak state is one that cannot provide

adequate political goods to its population.

A state that is so weak that it loses effective
sovereignty over part or all of its territory is
known as a failed state.
If a state lack resources, it may mean that it
goes to corruption; then further decline in the
quality of services. The vicious cycle would
not end.

Quasi-states according to Robert Jackson are

states that have legal sovereignty and

international recognition but lack almost all
the domestic attributes of a functioning state.

United Kingdom: A Strong,

Modern
State
Territory: Consolidated from three nations
(England, Wales, and Scotland) by 1707; colonial
empire from mid-nineteenth to mid-twentieth
century
Sovereignty: Aided by island status; fully
developed by 1707; partially yielded to European
Union
Legitimacy: Traditional legitimacy of monarchy
with some limits since thirteenth century; slow
transition to liberal and democratic legitimacy
since 1688.

United Kingdom: A Strong,

Modern
State

Bureaucracy: Industrialization in nineteenth

and twentieth century expanded democracy
and modern bureaucracy; welfare state since
World War II
State Strength: One of the strongest; weakest
on uneven economic development along
group lines and threat of group violence
(terrorism)

United Kingdom: A Strong,

Modern
State

Under King Henry VI, the full union of England

and Scotland establish the Kingdom of Great
Britain and marked the start of the modern
state.
Centuries later, with the addition of Ireland,
the Kingdom of Great Britain was called the
United Kingdom. With the independence of
Ireland in 1927, the name was officially
changed to the United Kingdom of Great
Britain and Northern Ireland.

United Kingdom: A Strong,

Modern
State

Even before that, the origin of the state

started with the Norman invasion that included
part of what is now Northern France. The
Normans constituted the bulk of the nobility of
the new kingdom. Over the centuries, interexchange in the culture led to the fusion and a
new language called English appeared.
Upon ascension of Henry VII, England and
Wales united and the Scottish and Welsh
parliaments were dissolved.

United Kingdom: A Strong,

Modern
State

The greatest threat to the monarch is the

religious wars between the Catholics and the
Protestants. When Henry VIII ascended to the
throne, he broke with the Catholic church and
established the Anglican Church persecuting
the Catholics.
Later when Mary Queen of Scots assumed
power, she persecuted the Protestants. This
led to a civil war and brought to power a nonroyal, Oliver Cromwell.

United Kingdom: A Strong,

Modern
State

The monarchy was restored but was removed

after the glorious revolution.
By the mid-18th century, Britain became one of
the first countries to begin industrializing.
After the war it became a distant power to the
US and nationalist movement in its colonies
forced it to free most of its colonies.
In the 1960s, it yielded some of its sovereignty
to the European Economic Community which
became European Union in 1993.

Germany: The First Modern

Welfare
State

Territory: Widespread sense of national

identity among German-speaking people, but
many states until 1871; boundaries changed
with wars until 1990; brief colonial empire
prior to World War I
Sovereignty: Established over much of
German-speaking people by 1871; divided by
Cold War, 1945-1990

Germany: The First Modern

Welfare
State
Legitimacy: Based on nationalism first; failed
liberal democracy after World War I led to Nazi
rule; divided state with liberal democratic and
communist components until united under
democratic constitution in 1990
Bureaucracy: First modern welfare state starting
in late nineteenth century; extensive since World
War II
State Strength: One of the strongest; weakest on
vengeance-seeking group grievance (terrorism
threat)

Germany: The First Modern

Welfare
State
Germany used to be divided into principalities,
duchies and the like.
Adding to the fragmentation is the rise of
protestantism by Martin Luther.
When Napoleon Bonaparte defeated Franz, he
formed the Confederation of the Rhine under
Bonapartes protection. When Napoleon was
defeated, the Confederation of the Rhine
disintegrated and formed loose associations.
Prussia, located in the City of Berlin rose to
power under Bismark.

Germany: The First Modern

Welfare
State

By warfare, he was able to regain germanspeaking states of Denmark, Austria-Hungary

and France.
Opposition to Bismarck came with the Social
Democratic Party. This was successfully
repulsed by Bismarck.
Rapid industrialization of Germany and its
ambition to catch up with U.K. led it to join the
World War I where it has been defeated.

Germany: The First Modern

Welfare
State

The Kaiser fled and the SDP gained power.

This was only shortlived because war
conditions led to the rise of Communism and
the Nazis.
National Socialist Hitler came to power and
led to World War II. When Germany was
defeated, the victorious allies returned
occupied territories except Russian occupied
territories. It became the Communist East
Germany (German Democratic Republic)

Russia: Strong External

Sovereignty
with
Weak
Rule
When Ivan the terror came to power, it
ofinitiated
Lawmilitary campaigns and significantly

increased its territory.

The tsar has huge power and controlled all
lands in Russia.
The tsar faced pressure and eventually freed
the serfs. Rapid industrialization led to the
migration of the serfs to the cities.
What Russia joined the World War, it had poor
military and by the end of the war, the
Bolsheviks, a communist group under Lenin

Russia: Strong External

Sovereignty
with
Weak
Rule
The tsar and his family was assassinated and
oftheLaw
USSR was formed.
Lenins successor Stalin industrialized USSR

making it as the serious rival to US power.

After his death, his successor Gorbachev
initiated reforms that resulted to the collapse
of Soviet State.
Yeltsin rose to power and claim democratic
rule although the mafias and the oligarchs still
has huge control in the state.

States and Citizens

To what extent should a state regulate many

areas of the citizens lives?

There are various models of the relationship
between a state and its people and how state
legitimize these models. The models are
embodied in a regime-a set of fundamental
rules and institutions that govern political
activity.

States and Citizens

Germany

Current Regime: Liberal Democracy

Year Established: Federal Republic of Germany,
established 1945; reunited with German Democratic
Republic in 1991.
Russia

Current Regime: Semi-authoritarianism

Year Established: Constitution promulgated, 1993

States and Citizens

United Kingdom

Current Regime: Liberal Democracy

Year Established: Glorious Revolution, 1688

States and Identity

Are you willing to die for your country?
If the Philippines will go to war and enlistment

is optional, are you willing to enlist for military

service?

Primordialism is a

theory that sees identity

groups as being in some
sense natural or Godgiven, as having existed
since time
immemorial, and as
defined unambiguously
by such clear criteria as
kinship, language,
culture or phenotype.

An influential

primordialist work
is that of Samuel
Huntington, Clash
of Civilizations
(1996/1997).

Roger Petersen

argued that
emotions like fear,
hatred, and
resentment can
trigger ethnic
conflict.

Instrumentalism

argues that rational

and self-interested
elites manipulate
symbols and feelings
of identity to mobilize
a political following.

Constructivism argues

that identities are

created through a
complex process usually
referred to as social
construction.

What is the difference between a nation and

an ethnic group?

Cultural nationalism. Only

those people who share

that characteristic can be
included in the nation.
Civic nationalism. A sense
of national unity and
purpose based on a set of
commonly held political
beliefs.

States and Markets

To what extent should states

intervene in the market?

Keynesianism argued that
governments can reduce the
boom and bust cycles of
capitalism via active fiscal policy,
including deficit spending when
necessary.
Monetarist Theory states that only
monetary policy can affect the
well-being in capitalist economies;
rejects Keynesian policy, arguing
instead for a reduced role for
government in the economy.

Role of State in the

Market
Essential Functions of the State
-Providing national and personal security.
-Protecting property and contract rights.
-Providing a currency.

Beneficial Functions of the State

-Providing public goods
-Mitigating market failures
Politically Generated Functions of the State
-Improving working conditions
-Redistributing income
-Protecting the environment

Do certain institutional arrangements achieve

greater political accountability?

Political accountability-the ability of the
citizenry, directly or indirectly, to control
political leaders and institutions.

Guillermo ODonnell used the terms vertical

and horizontal accountability.

Vertical accountability
The ability of individuals and groups in a
society to hold state institutions accountable.
Horizontal accountability
The ability of state institutions to hold one
another accountable.

Parliamentary Rule in
Britain
Britains prime minister is often called the
most powerful democratic executive in the
world.
Like the US, Britain has two major parties
(Labour and Conservative)
British parties are highly disciplined in the
legislature.

President or
Unelected
monarch

Local
government

PM

Parliament

Citizens

Cabinet

Laws

Provincial
Legislature (in
Federal systems)

In Britain a vote of no confidence is extremely

rare.
Britain has bicameral legislature: House of
Commons and House of Lords.
Parliament also serves an important watchdog
function.

Russia:
Semipresidentialism
Laws

President

Cabinet

PM

Parliament
Local
Government

Provincial governments
(in Federal System)
Citizens

Russia has constitution with very powerful

presidency
The president is directly elected to a four-year
term, with a maximum of two terms possible.
He must be elected by an absolute majority: if
no candidate wins a majority in the first
election, a second is held between the top two
candidates.

Unitary systems are

political systems in
which the central
government has sole
constitutional
sovereignty and
power; in contrast to
a federal system.

Federal systems are

political systems in
which a states power
is legally and
constitutionally
divided among more
than one level of
government.

The once sharp division between unitary

and federal systems has been blurring.

The Russian constitution of 1993

created an asymmetrical federal

system.
The status of republic is given to areas
deemed ethnically non-Russian, but the
boundaries are arbitrary and the ethnic
group constituted a majority in only 7 of
the 21 republics.

Party Systems
Dominant-party system: Party system

in which multiple parties exist but the

same one wins every election and
governs continuously.

Two-party system: Party system in which

only two parties are able to garner enough

votes to win an election, though more may
compete.

Two-and-a half-party system: Party system

in which two large parties win the most

votes but typically neither gains a majority;
a third part (the half party must join one
of the major parties to form a legislative
majority.

Multiparty systems: Party systems in

which more than two parties could

potentially win a national election and
govern.

France and the Shift

toward
a Two-Party
Prior to the fifth
republic, France had a
proportional representation-an electoral
System
system in which seats in a legislature are
apportioned on a purely proportional
basis, giving each party the share of seats
that matches its share of the total vote.

During the fifth republic, the constitution

created a strong presidency and a

majoritarian electoral system.
This created the shift to two-party system
consistent with Duvergers Law-an
institutionalist argument by French
political scientist Maurice Duverger that
FPTP electoral system will produce two
major parties, eliminating smaller parties.

Two-and-a-Half-Party System
and Neocorporatism under
Neocorporatism peak associations bring
Threat
together numerous local groups to
represent the major interests in society
and government works closely with them
to develop policy but no legal restrictions
exist to prevent other groups from
arising.

Why do some states remain democratic while

others do not?

Seymour Martin Lipset argued that democracies arise

only in countries with reasonably wealthy economies

and a large middle class that is educated and has its
basic needs securely met.
Almond and Verba, in The Civic Culture, argued that
democracy can thrive only in countries that have
democratic political cultures that value participation
and whose citizens are willing to defer to elected
leaders so that these leaders can govern while in
office.
Others argue that state and sense of national identity
must emerge before a democracy can do so.

Hyperglobalization: Thesis that globalization is so

powerful, it will overwhelm the power of nationstates, forcing convergence of economic policies.
Varieties of capitalism: School of thought analyzing
wealthy market economies that focuses primarily on
business firms and how they are governed.
Liberal market economies (LMEs): In the varieties of
capitalism approach, countries that rely heavily on
market relationships to govern economic activity.
Coordinated market economies (CMEs): Capitalist
economies in which firms, financiers, unions, and
government consciously coordinate their actions via
interlocking ownership and participation.

Social Policy
Is it practical to uphold the right to free

access to education?

Welfare states are classified into:

Social democratic welfare states- States whose

social policies strongly emphasize universal

entitlements to achieve greater social equality
and promote equal citizenship.
Christian democratic welfare states-States whose
social policies are based on the nuclear family
with a male breadwinner, designed primarily to
achieve income stabilization to mitigate the
effects of market induced income insecurity.

Religion and State

It is my hypothesis that the fundamental source of
conflict in this new world will not be primarily
ideological or primarily economic. The great divisions
among humankind and the dominating source of
conflict will be cultural. Nation states will remain the
most powerful actors in world affairs, but the principal
conflicts of global politics will occur between nations
and groups of different civilizations. The clash of
civilizations will dominate global politics. The fault
lines between civilizations will be the battle lines of
the future.