Chapter Four: State, Government and Citizenship
Chapter Four: State, Government and Citizenship
Chapter Four: State, Government and Citizenship
State,
Government
and
Citizenship
The term ‘state’ has been used to refer to a
bewildering range of things: a collection of
institutions, a territorial unit, a philosophical idea,
an instrument of coercion or oppression, and so on.
This confusion stems, in part, from the fact that the
state has been understood in four quite different
ways; from an idealist perspective, a functionalist
perspective, an organizational perspective and an
international perspective
The idealist approach to the state is most clearly
reflected in the writings of Hegel. Hegel identified
three moments of social existence: the family, civil
society and the state.
Within the family, he argued, a particular altruism
operates that encourages people to set aside their own
interests for the good of their children or elderly
relatives.
In contrast, civil society was seen as a sphere of
‘universal egoism’ in which individuals place their own
interests before those of others.
Hegel conceived of the state as an ethical community
underpinned by mutual sympathy – ‘universal altruism’.
The drawback of idealism, however, is that it fosters an
uncritical reverence for the state and, by defining the
state in ethical terms, fails to distinguish clearly
between institutions that are part of the state and
those that are outside the state.
Functionalist approaches to the state focus on the role or purpose of
state institutions.
The central function of the state is invariably seen as the
maintenance of social order.
state being defined as that set of institutions that uphold order and
deliver social stability. Such an approach has, for example, been
adopted by neo-Marxists (see p. 64), who have been inclined to see
the state as a mechanism through which class conflict is ameliorated
to ensure the long-term survival of the capitalist system.
The weakness of the functionalist view of the state, however, is that
it tends to associate any institution that maintains order (such as the
family, mass media, trade unions and the church) with the state
itself.
This is why, unless there is a statement to the contrary, an
organizational approach to the definition of the state is adopted
throughout this book.
The organizational view defines the state as the apparatus
of government in its broadest sense;
As that set of institutions that are recognizably ‘public’, in
that they are responsible for the collective organization of
social existence and are funded at the public’s expense.
The virtue of this definition is that it distinguishes clearly
between the state and civil society. The state comprises the
various institutions of government: the bureaucracy, the
military, the police, the courts, and the social security
system and so on;
It can be identified with the entire ‘body politic’. The
organizational approach allows us to talk about ‘rolling
forward’ or ‘rolling back’ the state, in the sense of
expanding or contracting the responsibilities of the state,
and enlarging or diminishing its institutional machinery.
The international approach to the state views it primarily as
an actor on the world stage; indeed, as the basic ‘unit’ of
international politics. This highlights the dualistic structure of
the state; the fact that it has two faces, one looking outwards
and the other looking inwards.
Whereas the previous definitions are concerned with the
state’s inward-looking face, its relations with the individuals
and groups that live within its borders, and its ability to
maintain domestic order, the international view deals with the
state’s outward-looking face, its relations with other states
and, therefore, its ability to provide protection against external
attack.
The classic definition of the state in international law is found
in the Montevideo Convention on the Rights and Duties of the
State (1933).
According to Article 1 of the Montevideo Convention, the
state has four features: a defined territory, permanent
population, an effective government and sovereignty. Let us
now discuss details of the above-mentioned attributes as
follows:
Population: Since state is a human association, the first
essential element that constitutes it is the people. How
much people constitute state? No exact number can be
given to such a question.
The fact is that the states of the world vary in terms of
demographic strength. There are states with a population of
greater than 1 billion like that of China and India, and with a
constituency of few thousand people like Vatican and San
Marino.
Another question that comes up at this stage is
whether the population of a state should be
homogenous. Homogeneity is determined by any
factor like commonness of religion, or blood, or
language or culture and the like. It is good that
population of a state is homogeneous, because it
makes the task of national integration easy. But it is not
must, because most of the states have a population
marked by diversity in respect of race, religion,
language, culture, etc. All problems of nation building
are solved and people of a state, irrespective of their
differences, become a nation. It signifies the situation
of ‘unity in diversity’.
In short, it is to be noted that without population there can be no
state, ‘it goes without saying that an uninhabited portion of the
earth, take in itself, cannot form a state.
Defined Territory: There can be no state without a territory of its
own. The territory of a state includes land, water, and airspace; it
has maritime jurisdiction extending up to a distance of three
miles, though some states contend for a distance of up to 20
miles.
The territorial authority of a state also extends to ships on high
seas under its flag as well as its embassies and
legations/diplomat’s residence in foreign lands.
As seen in the case of the factor of population, so here it should
be emphasized that the size of a state’s territory cannot be fixed.
There are as large states as China and Russia and as small states
of Fiji and Mauritius in respect of their territorial make-up.
It also possible that states may be in the form of
islands as Indonesia, Philippines, and Japan. It is,
however, certain that the boundary lines of a state
must be well marked out. This can be done either by
the geographical make up in the form of division by the
seas, rivers, mountains, thick forests, deserts, etc., or it
may be done by creating artificial divisions in the form
of digging trenches or fixing pointed wire fencing.
Government: Government is said to be the soul of the
state. It implements the will of the community. It
protects the people against conditions of insecurity. If
state is regarded as the first condition of a civilized life,
it is due to the existence of a government that
maintain law and order and makes ‘good life’ possible.
The government is the machinery that terminates the
condition of anarchy. It is universally recognized that as
long as there are diverse interests in society, some
mechanism is needed to bring about and maintain a
workable arrangement to keep the people together.
The government of a state should be so organized that
it enforces law so as to maintain the conditions of
peace and security. The form of government may be
monarchical, aristocratic, oligarchic, democratic, or
dictatorial and the like, what really needed is that if
there is no government, there is anarchy and the state
is at an end.
Sovereignty: As already pointed out, sovereignty is the
fourth essential attribute of the concept state.
It is the highest power of the state that distinguishes it
from all other associations of human beings.
Sovereignty, in its simplest sense, is the principle of
absolute and unlimited power.
It has two aspects - Internal and External. Internal
Sovereignty implies that inside the state there can be
no other authority that may claim equality with it. The
state is the final source of all laws internally.
On the other hand, External sovereignty implies that
the state should be free from foreign control of any
kind.
It is, however, a different matter that a state willingly
accepts some international obligations in the form of
membership to some international intergovernmental
and other organizations such as the United Nations
Conceptually, the existence of sovereign authority
appears in the form of law. It is for this reason that the
law of the state is binding on all and its violation is
resulted with suitable punishment. It is universally
accepted that a sovereign state is legally competent to
issue any command that is binding on all citizens and
their associations.
In addition to the essential attributes of the state
agreed in the 1933, the contemporary political
theorists and the UN considered recognition as the
fifth essential attribute of the state. This is because, for
a political unit to be accepted as a state with an
‘international personality’ of its own, it must be
recognized as such by a significant portion of the
international community.
It is to mean that, for a state to be legal actor in the
international stage; other actors (such as other states,
international-intergovernmental and non-
governmental organizations… etc.) must recognize it as
a state.
Thus, recognition implies both approaching of the
necessary facts and the desire of coming in to effect of
the legal and political results of recognition.
Likewise, for a government of a state to be formally to
act on its behalf, the government must be recognized
as legitimate government of the state by other
governments.
Rival Theories of State
There are various rival theories of the state, each of
which offers a different account of its origins,
development and impact on society.
Indeed, controversy about the nature of state power
has increasingly dominated modern political analysis
and goes to the heart of ideological and theoretical
disagreements in the discipline.
The Pluralist State
The pluralist theory of the state has a very clear liberal
lineage. It stems from the belief that the state acts as
an ‘umpire’ or ‘referee’ in society.
This view has also dominated mainstream political
analysis, accounting for a tendency, at least within
Anglo-American thought, to discount the state and
state organizations and focus instead on ‘government’.
Indeed, it is not uncommon in this tradition for ‘the
state’ to be dismissed as an abstraction, with
institutions such as the courts, the civil service and the
military being seen as independent actors in their own
right, rather than as elements of a broader state
machine.
Nevertheless, this approach is possible only because it
is based on underlying, and often unacknowledged,
assumptions about state neutrality.
The state can be ignored only because it is seen as an
impartial arbiter or referee that can be bent to the will
of the government of the day.
The origins of this view of the state can be traced back
to the social-contract theories of thinkers such as
Thomas Hobbes and John Locke. The principal concern
of such thinkers was to examine the grounds of
political obligation, the grounds on which the
individual is obliged to obey and respect the state.
They argued that the state had arisen out of a
voluntary agreement, or social contract, made by
individuals who recognized that only the establishment
of a sovereign power could safeguard them from the
insecurity, disorder and brutality of the state of nature
Without a state, individuals abuse, exploit and enslave
one another; with a state, order and civilized existence
are guaranteed and liberty is protected. As Locke put
it, where there is no law there is no freedom.
In liberal theory, the state is thus seen as a neutral
arbiter amongst the competing groups and individuals
in society; it is an ‘umpire’ or ‘referee’ that is capable
of protecting each citizen from the encroachments of
fellow citizens.
The neutrality of the state reflects the fact that the
state acts in the interests of all citizens, and therefore
represents the common good or public interest.
In Hobbes’ view, stability and order could be secured
only through the establishment of an absolute and
unlimited state, with power that could be neither
challenged, nor questioned.
In other words, he held that citizens are confronted by
a stark choice between absolutism and anarchy. Locke,
on the other hand, developed a more typically liberal
defense of the limited state.
In his view, the purpose of the state is very specific: it
is restricted to the defense of a set of ‘natural’ or God-
given individual rights; namely, life, liberty and
property.
In Hobbes’ view, stability and order could be secured
only through the establishment of an absolute and
unlimited state, with power that could be neither
challenged, nor questioned.
In other words, he held that citizens are confronted by
a stark choice between absolutism and anarchy. Locke,
on the other hand, developed a more typically liberal
defense of the limited state.
In his view, the purpose of the state is very specific: it
is restricted to the defense of a set of ‘natural’ or God-
given individual rights; namely, life, liberty and
property.
Moreover, since the state may threaten natural rights
as easily as it may uphold them, citizens must enjoy
some form of protection against the state, which Locke
believed could be delivered only through the
mechanisms of constitutional and representative
government.
As a theory of the state, pluralism holds that the state
is neutral, insofar as it is susceptible to the influence of
various groups and interests, and all social classes.
The state is not biased in favor of any particular
interest or group, and it does not have an interest of its
own that is separate from those of society.
Two key assumptions underlie this view. The first is
that the state is effectively subordinate to
government.
Non-elected state bodies (the civil service, the
judiciary, the police, the military and so on) are strictly
impartial and are subject to the authority of their
political masters.
The state apparatus is therefore thought to conform to
the principles of public service and political
accountability.
The second assumption is that the democratic process
is meaningful and effective. In other words, party
competition and interest-group activity ensure that
the government of the day remains sensitive and
responsive to public opinion.
Ultimately, therefore, the state is only a weather vane
that is blown in whichever direction the public-at-large
dictates.
Modern pluralists, however, have often adopted a
more critical view of the state, termed the neo-
pluralist theory of the state.
Theorists such as Robert Dahl and Charles Lindblom
(1953) have come to accept that modern industrialized
states are both more complex and less responsive to
popular pressures than classical pluralism suggested.
Neo-pluralists, for instance, have acknowledged that
business enjoys a ‘privileged position’ in relation to
government that other groups clearly cannot rival.
Ultimately, therefore, the state is only a weather vane
that is blown in whichever direction the public-at-large
dictates.
Modern pluralists, however, have often adopted a
more critical view of the state, termed the neo-
pluralist theory of the state.
Theorists such as Robert Dahl and Charles Lindblom
(1953) have come to accept that modern industrialized
states are both more complex and less responsive to
popular pressures than classical pluralism suggested.
Neo-pluralists, for instance, have acknowledged that
business enjoys a ‘privileged position’ in relation to
government that other groups clearly cannot rival.
Neo-pluralists have accepted that the state can, and
does, forge its own sectional interests.
In this way, a state elite, composed of senior civil
servants, judges, police chiefs, military leaders and so
on, may be seen to pursue either the bureaucratic
interests of their sector of the state, or the interests of
client groups.
Indeed, if the state is regarded as a political actor in its
own right, it can be viewed as a powerful (perhaps the
most powerful) interest group in society.
The Capitalist State
Marxists have typically argued that the state cannot be
understood separately from the economic structure of
society.
This view has usually been understood in terms of the
classic formulation that the state is nothing but an
instrument of class oppression: the state emerges out
of, and in a sense reflects, the class system.
The scope to revise Marxist attitudes towards the state
stems from ambiguities that can be found in Marx’s
own writings.
Marx did not develop a systematic or coherent theory
of the state.
In a general sense, he believed that the state is part of
a ‘superstructure’ that is determined or conditioned by
the economic ‘base’, which can be seen as the real
foundation of social life.
However, the precise relationship between the base
and the superstructure, and in this case that between
the state and the capitalist mode of production, is
unclear.
Two theories of the state can be identified in Marx’s
writings. The first is expressed in his often-quoted
dictum from The Communist Manifesto (1848): ‘The
executive of the modern state is but a committee for
managing the common affairs of the whole
bourgeoisie’.
From this perspective, the state is clearly dependent
on society and entirely dependent on its economically
dominant class, which in capitalism is the bourgeoisie.
Lenin thus described the state starkly as an instrument
for the oppression of the exploited class.
Marx suggested that the state could enjoy what has
come to be seen as ‘relative autonomy’ from the class
system, the Napoleonic state being capable of
imposing its will upon society, acting as an ‘appalling
parasitic body’.
Marxist theorizing about the state has been dominated
by rival instrumentalist and structuralist views of the
state
The Leviathan State
The image of the state as a ‘leviathan’ (in effect, a self-
serving monster intent on expansion and aggrandizement)
is one associated in modern politics with the New Right
Such a view is rooted in early or classical liberalism
and, in particular, a commitment to a radical form of
individualism.
The New Right, or at least its neoliberal wing, is
distinguished by a strong antipathy towards state
intervention in economic and social life, born out of
the belief that the state is parasitic growth that
threatens both individual liberty and economic
security.
In this view, the state, instead of being, as pluralists
suggest, an impartial umpire or arbiter, is an
overbearing ‘nanny’, desperate to interfere or meddle
in every aspect of human existence.
The central feature of this view is that the state
pursues interests that are separate from those of
society (setting it apart from Marxism), and that those
interests demand an unrelenting growth in the role or
responsibilities of the state itself.
New Right thinkers therefore argue that the twentieth
century tendency towards state intervention reflected
not popular pressure for economic and social security,
or the need to stabilize capitalism by ameliorating class
tensions but, rather, the internal dynamics of the state.
New Right theorists explain the expansionist dynamics
of state power by reference to both demand-side and
supply-side pressures.
Demand-side pressures are those that emanate from
society itself, usually through the mechanism of
electoral democracy.
The New Right argue that electoral competition
encourages politicians to ‘outbid’ one another by
making promises of increased spending and more
generous government programs, regardless of the
long-term damage that such policies inflict on the
economy in the form of increased taxes, higher
inflation and the ‘crowding out’ of investment.
Supply-side pressures, on the other hand, are those
that are internal to the state.
These can therefore be explained in terms of the
institutions and personnel of the state apparatus. In its
most influential form, this argument is known as the
government oversupply thesis. The oversupply thesis
has usually been associated with public-choice
theorists, who examine how public decisions are made
on the assumption that the individuals involved act in a
rationally self-interested fashion.
While Marxists argue that the state reflects broader
class and other social interests, the New Right portrays
the state as an independent or autonomous entity that
pursues its own interests.
In this view, bureaucratic self-interest invariably
supports ‘big’ government and state intervention,
because this leads to an enlargement of the
bureaucracy itself, which helps to ensure job security,
improve pay, open up promotion prospects and
enhance the status of public officials.
This image of self-seeking bureaucrats is plainly at odds
with the pluralist notion of a state machine imbued
with an ethic of public service and firmly subject to
political control.
The Patriarchal State
Modern thinking about the state must, finally, take
account of the implications of feminist theory.
However, this is not to say that there is a systematic
feminist theory of the state.
Feminist theory encompasses a range of traditions and
perspectives, and has thus generated a range of very
different attitudes towards state power.
Moreover, feminists have usually not regarded the
nature of state power as a central political issue,
preferring instead to concentrate on the deeper
structure of male power centered on institutions such
as the family and the economic system.
Some feminists, indeed, may question conventional
definitions of the state, arguing, for instance, that the
idea that the state exercises a monopoly of legitimate
violence is compromised by the routine use of violence
and intimidation in family and domestic life.
Nevertheless, sometimes implicitly and sometimes
explicitly, feminists have helped to enrich the state debate
by developing novel and challenging perspectives on state
power
Liberal feminists, who believe that sexual or gender
equality can be brought about through incremental
reform, have tended to accept an essentially pluralist view
of the state.
They recognize that, if women are denied legal and
political equality, and especially the right to vote, the state
is biased in favor of men.
However, their faith in the state’s basic neutrality is
reflected in the belief that any such bias can, and will, be
overcome by a process of reform.
In this sense, liberal feminists believe that all groups
(including women) have potentially equal access to
state power, and that this can be used impartially to
promote justice and the common good.
Liberal feminists have therefore usually viewed the
state in positive terms, seeing state intervention as a
means of redressing gender inequality and enhancing
the role of women.
This can be seen in campaigns for equal-pay legislation,
the legalization of abortion, the provision of child-care
facilities, the extension of welfare benefits, and so on.
Nevertheless, a more critical and negative view of the
state has been developed by radical feminists, who
argue that state power reflects a deeper structure of
oppression in the form of patriarchy.
Whereas Marxists place the state in an economic
context, radical feminists place it in a context of gender
inequality, and insist that it is essentially an institution
of male power.
In common with Marxism, distinctive instrumentalist
and structuralist versions of this feminist position have
been developed.
The instrumentalist argument views the state as little
more than an agent or ‘tool’ used by men to defend
their own interests and uphold the structures of
patriarchy.
This line of argument draws on the core feminist belief
that patriarchy is rooted in the division of society into
distinct ‘public’ and ‘private’ spheres of life,
Men dominating the former while women are confined
to the later. Quite simply, in this view, the state is run
by men, and for men.
Whereas instrumentalist arguments focus on the
personnel of the state, and particularly the state elite,
structuralist arguments tend to emphasize the degree
to which state institutions are embedded in a wider
patriarchal system.
Modern radical feminists have paid particular attention
to the emergence of the welfare state, seeing it as the
expression of a new kind of patriarchal power.
The Role of the State
there is profound disagreement about the exact
role the state should play, and therefore about the
proper balance between the state and civil society.
Among the different state forms that have
developed are the following:
Minimal states
Developmental states
Social-democratic states
Collectivized states
Totalitarian states
Religious states
The minimal state is the ideal of classical liberals,
whose aim is to ensure that individuals enjoy the
widest possible realm of freedom.
This view is rooted in social-contract theory, but it
nevertheless advances an essentially ‘negative’ view
of the state.
From this perspective, the value of the state is that
it has the capacity to constrain human behavior and
thus to prevent individuals encroaching on the
rights and liberties of others.
The state is merely a protective body, its core
function being to provide a framework of peace and
social order within which citizens can conduct their
lives as they think best.
In Locke’s famous simile, the state acts as a night
watchman, whose services are called upon only
when orderly existence is threatened? This
nevertheless leaves the ‘minimal’ or ‘night
watchman’ state with three core functions.
First and foremost, the state exists to maintain
domestic order. Second, it ensures that contracts or
voluntary agreements made between private
citizens are enforced, and third it provides
protection against external attack.
The institutional apparatus of a minimal state is
thus limited to a police force, a court system and a
military of some kind.
Economic, social, cultural, moral and other
responsibilities belong to the individual, and are
therefore firmly part of civil society.
Developmental States
The best historical examples of minimal states were
those in countries such as the UK and the USA
during the period of early industrialization in the
nineteenth century. As a general rule, however, the
later a country industrializes, the more extensive
will be its state’s economic role. In Japan and
Germany, for instance, the state assumed a more
active ‘developmental’ role from the outset.
A developmental state is one that intervenes in
economic life with the specific purpose of
promoting industrial growth and economic
development.
This does not amount to an attempt to replace
the market with a ‘socialist’ system of planning
and control but, rather, to an attempt to
construct a partnership between the state and
major economic interests, often underpinned by
conservative and nationalist priorities.
The classic example of a developmental state is Japan.
A similar model of developmental intervention
has existed in France, where governments of
both left and right have tended to recognize the
need for economic planning, and the state
bureaucracy has seen itself as the custodian of
the national interest.
In countries such as Austria and, to some extent,
Germany, economic development has been
achieved through the construction of a
‘partnership state’, in which an emphasis is
placed on the maintenance of a close relationship
between the state and major economic interests.
More recently, economic globalization has fostered
the emergence of ‘competition states’, examples of
which are found amongst the tiger economies of
East Asia.
Competition states are distinguished by their
recognition of the need to strengthen education and
training as the principal guaranteeing economic
success in a context of intensifying transnational
competition.