WEEK #2: MODERN STATE
Why might a state "fail" or have diminished capacity?
A failed state is so weak that it loses sovereignty over part of its territory. A state might "fail" or have diminished capacity if its legitimacy, sovereignty, territory, and bureaucracy are being threatened. The instability from all of these characteristics can make a state fail and lose complete control of the nation, institution, economy, etc.
Absolutism
A form of government in which the ruler is an absolute dictator (not restricted by a constitution or laws or opposition etc.)
Bureaucracy
A large set of appointed officials whose function is to implement the laws of the state, as directed by the executive
Ideal Types
A model of what the purest version of something might be
What are the most important functions of modern states?
A modern state should be able to defend & protect its people against groups that challenge the state. It should also be the only one who has power within its territory. There should be legitimate power to a ruler, while considering both the state and population. They should also be able to collect revenue, maintain a military, pave roads, build schools, & provide retirement pensions. In order for it to officially be a modern state, it must have the approval of international states, making that the only external sovereignty allowed.
In what way is a "state" different from a "government"?
A state has an ongoing nature while a government uses the "ongoing apparatus of the state temporarily from one election to the next in a democracy", making the government itself transient (lasting only for a short time; impermanent.) This is due to the fact that a state changes in many ways over time. In other words, a state is something useful to a government.
Strong State
A state that is generally capable of providing political goods to its citizens
Failed State
A state that is so weak that it loses effective sovereignty over part or all of its territory
weak state
A state that only partially provides political goods to its citizens
Territory
An area with clearly defined borders to which a state lays claim
State
An ongoing administrative apparatus that develops and administers laws and generates and implements public policies in a specific territory
Explains how a state's strength can be weakened, and how this can eventually lead to state collapse.
Example: Frances Fukuyama (2014) "The US State has weakened in the last several decades due to "gift exchange" between legislators, lobbyists, and campaign donors. This leads to the weakening of the state's ability to make independent decisions based on some sense of the public interest." Indicators of State Weakening Corruption/illegal activity Porous borders, through which illegal arms, contagious diseases, terrorists, & illegal drugs might pass Immigration and race equality Political unstableness Uneven economic development Democracy is difficult or impossible to foster Lack of resources/ unable to provide at least the basic political goods citizens expect Questions of legitimacy are present Weaker rule of law External sovereignty, such as depending on international support All of these indicators can eventually lead to a state's collapse. First because external sovereignty is a huge threat to the institution in a state, which can lead to political instability, weaker rule of law, uneven economic development, corruption, porous borders, and lack of resources. To fully elaborate, if a leader is not seen as legitimate in a state, sovereignty, its territory, and bureaucracy are also at risk. All of the characteristics of a modern state must be strong and protected to ensure that there is democracy and a functioning society.
Why are some states called "welfare states"? (Case study on Germany).
Germany was the FIRST MODERN WELFARE STATE. Some states are called "welfare states" because in the case of Germany, Otto von Bismarck (1862) resisted the Social Democratic Party (SDP) efforts through brutal repression. This led to Europe's first social welfare programs (health insurance & old age pensions). By definition, a welfare state is "a system whereby the government undertakes to protect the health and well-being of its citizens, especially those in financial or social need, by means of grants, pensions, and other benefits"
Why might having a weak state be bad for the economy?
Having a weak state might be bad for the economy because of something called the resource curse or when a state relies on a key resource for almost all of its revenue. This can lead to the government completely ignoring the population and the well-being of the rest of the economy. In addition, because of a constant threat of external sovereignty to modern states, rebel groups can choose to overpower the government and seize the resource they depend on for economic strength.
What does "legitimate" mean for political scientists? Explain and define the three types of legitimacy.
Legitimacy It is the recognized right to rule. There are (3) types of legitimate authority. Traditional Legitimacy the right to rule based on society's long standing patterns and practices. Charismatic Legitimacy the right to rule based on personal virtue, heroism, sanctity, and other extraordinary characteristics. Rational-Legal Legitimacy the right to rule of leaders who are SELECTED according to an accepted set of laws.
In what ways do modern states develop legitimacy beyond the use of rational-legal procedures?
Modern states develop legitimacy through their national identity and some claim of representation or service to their citizens. This is central to modern politics.
In what ways can Nigeria be characterized as typical of postcolonial states?
Nigeria can be characterized as typical of postcolonial states because before it was colonized by the Europeans, it was home to plenty and differing societies (Muslims, Yoruba, Igbo). Negotiations were made among local elites and the departing colonial power (Emirs accepted British oversight). Political institutions were also somewhat copied from the departing colonizers (Chiefs were invented by the British and like in the US Colonies, they implemented forced labor & taxes).
Resource Curse
Occurs when a state relies on a key resource for almost all of its revenue, allowing it to ignore its citizens and resulting in a weak state
feudal states
Premodern states in Europe in which power in a territory was divided among multiple and overlapping lords claiming sovereignty
Sovereignty
Quality of a state in which it is legally recognized by the family of states as the sole legitimate governing authority within its territory and as the legal equal of other states
Why do scholars believe that modern states have to be bureaucratic?
Scholars believe that modern states have to be bureaucratic because it strengthens sovereignty and enhances the state's power. Not only that, but it limits the power of the leader, while also focusing on protecting its citizens, whether through the creation of laws, the building of infrastructure, providing a public education, etc. (the more bureaucracy there is, the stronger the state will be)
Why do social scientists consider bureaucracies to be more efficient than their alternatives?
Social scientists consider bureaucracies to be more efficient than their alternatives because there is a restriction to certain tasks due to sets of laws. Compared to Absolutism/Feudalism, it sees humanity in the citizens and does not allow those with large amounts of power to abuse the power they have. Bureaucracies in a modern state also ensure that it is protecting its citizens.
______ is foundational to the modern state.
Sovereignty
External Sovereignty
Sovereignty relative to outside powers that is legally recognized in international law
Quasi-States
States that have legal sovereignty and international recognition but lack almost all the domestic attributes of a functioning state
Clientelism
The exchange of material resources for political support
What led to the rise of the modern state?
The modern state is a fairly recent development. In Europe, modern states arose between the fifteenth and eighteenth centuries. Before 1500, there were feudal states, which neither claimed nor had disputed sovereignty & involved multiple and overlapping sovereignties. It consisted of a relationship between a lord and vassal (king and peasants, for example). The Catholic Church was at the center of feudal states because they claimed a separate and universal religion over all and gave religious legitimacy to the kings and lords who recognized central authority. However, absolutism (rule by a single monarch who claimed complete, exclusive sovereignty over a territory and its people) was becoming the new normal. The rise in absolutism introduced a number of the modern state's key elements, i.e rudimentary forms of a standing army and diplomatic service & policies to encourage economic development. As time progressed, elites realized that their subject's loyalty was a great benefit, leading to the expansion of public education and shifting from their use of Latin or French, in order to communicate clearly. The true development in what is now known as the modern state is when the state came to be seen as separate from an individual ruler. There was still sovereignty, but the power of the leaders became increasingly limited. Instead of subjects, the common people were now seen as citizens of the state. In addition to the development of the characteristics in a modern state, it is crucial to understand how it is now "virtually" in every part of the world. Colonial conquest began with the Americas in the sixteenth century and were ruled by European absolutist states. Because European settlers in the colonies began to identify their interest as distinct from the monarch's, the rise in rebellions began (United States (1774), Haiti (1793), Central & South America (1820's- 1830's)) The process of developing modern states began through independence.
Legitimacy
The recognized right to rule
Rational-Legal Legitimacy
The right of leaders to rule based on their selection according to an accepted set of laws, standards, or procedures
Traditional Legitimacy
The right to rule based on a society's long-standing patterns and practices
Charismatic Legitimacy
The right to rule based on personal virtue, heroism, sanctity, or other extraordinary characteristics
Internal Sovereignty
The sole authority within a territory capable of making and enforcing laws and policies
How does the term "state" as used by political scientists differ from "country" and "nation"?
The term "state" is used by political scientists because it does NOT refer to a group of people or their sense of who they are. The term "country" is not used because its meaning is too vague. The term "nation" refers to a group of people who perceive themselves as sharing a sense of belonging and who often have a common language, culture, and set of traditions.
Explain and identify the characteristics of modern states.
There are four characteristics in a modern state. Territory An area with clearly defined borders to which it lays claims. "Territories and borders help both claim the status of [a] state." External & Internal Sovereignty External Sovereignty relative to outside powers. A state MUST be able to defend its territory and NOT be over dependent on another power. NO EXTERNAL AUTHORITY in order to be a state. The only form of external sovereignty that is ever allowed is when a state is legally recognized by the family of states as the SOLE legitimate governing authority within its territory and as the legal equal of other states. This is important for sovereignty. Internal Be the SOLE authority within a territory capable of making and enforcing laws & policies. States must defend against domestic groups (take a form of declaration of independence from some part of the state's territory; may lead to a civil war) that challenge it. Max Weber, "the state claims to be the ONLY ENTITY within its territory that has the right to hold a gun to your head and tell you what to do." States insist on the right to use force to ENSURE their internal & external sovereignty. Both internal & external sovereignty vary greatly and depend on many factors. Wealthier states can defend their territories from attack better than poorer and weaker ones. They can also more effectively ensure that their citizens comply with their laws. Legitimacy (It is the recognized right to rule.) - claims that states/others make about WHY they have the right to rule - the empirical fact of whether their populations accept or at least tolerate this claimed right In short for there to be legitimacy in a state, BOTH the state and population MUST be considered. Legitimacy enhances the state's sovereignty. Because modern states often control an overwhelming amount of coercive power, its use can become expensive and difficult; they CAN NOT maintain effective internal sovereignty in large, modern society through constant use of force. Legitimacy allows them to have power, but at a much lower cost. Paul Collier, "Where power is seen as legitimate, the cost of citizen compliance is reduced" Without legitimacy, (3) outcomes are possible. Repression State incurs the high costs necessary to enforce its decisions on citizens Conflict State attempts conflict, but is NOT strong enough to prevent violent opposition. Theater The state abandons the attempt to impose its well, merely mimicking the actions of a functional government. Bureaucracy A large set of appointed officials whose function is to implement laws. They must also collect revenue and use it to maintain a military, pave roads, build schools, and provide retirement pensions. It is a central part of modern, rational-legal legitimacy. In theory, individuals obtain official positions in a modern bureaucracy via a rational-legal process of appointment and are restricted to certain tasks by a set of laws. Effective bureaucracy strengthens sovereignty. It also enhances the state's power.
Security, rule of law, ______ , and infrastructure are all considered "political goods."
a functional legal system
Although Mexico was established in 1821, a modern state of Mexico was established after ______.
a revolution brought the PRI to power
The statement "L'état, c'est moi" (The state, that's me) describes the concept ______.
absolutism
In a(n) ______ regime, the state is not seen as a set of ongoing institutions separate from the monarch.
absolutist
In modern states, ______ is a must have.
bureaucracy
Industrialization in Britain resulted in ______.
expansion of voting rights
Internal sovereignty ______.
requires the sole authority to make and enforce laws and policies within a territory
A(n) ______ can best be described as "an ongoing administrative apparatus that develops and administers laws and generates and implements public policies in a specific territory."
state
No ______ can be perfectly strong in all conceivable categories of ______ strength.
state; state
Which of the following ultimately resulted in territorial change?
the independence of Kosovo
Which of the following groups promoted democratization in Brazil in the late 1970s and 1980s?
unions