Comprehensive Study Guide: Theories of the State, Origins, and Government Regimes
Non-Contract Theories of the Origin of the State
Force Theory
Basis: This theory traces the origin of the state to "Power" and the conflict between primitive groups.
Mechanism: Primitive groups lived in non-stop conflict; the result of these conflicts was the victory of one group and the defeat of others. This is described as a "real victory on the ground" or the victory of "materialistic power."
Authority: Materialistic power served as the only authority and established the state.
Critique/Comment: While this may explain ancient states, kingdoms, and empires, it lacks explanatory power for many Asian and African states that were established after gaining independence from imperial rulers.
Family Evolution Theory
Concept: The state originated from the family, which is viewed as a "mini-copy" of the state.
Developmental Sequence: The progression followed this hierarchy: Family $\rightarrow$ Clan $\rightarrow$ Tribe $\rightarrow$ Town $\rightarrow$ City $\rightarrow$ STATE.
Authority: The roots of authority trace back to the head of the family. The society forms from above, controls a piece of land, and rules a group of people based on sovereignty.
The Divine Right Theory
Origins: Advocates maintain the State was created by God.
Governing Authority: The State is governed by God’s deputy or vicegerent. God sent His deputy to rule over the people.
Accountability: The ruler is a divinely appointed agent responsible for his actions to God alone.
Obligation: Obedience to the ruler is a religious duty; resistance is considered a sin.
Historical Evolution Theory
Concept: The state is a natural phenomenon resulting from the interaction of various factors over a long duration.
Factors: These include material and economic power as well as religious and spiritual factors. Unlike other theories, it does not depend on just one factor.
Variability: The specific factors and their level of importance differ from one state to another.
Social Contract Theories
Core Agreement: Despite different viewpoints, all contract theorists agree that the state's origin and the transition from the "state of nature" to an organized political society (the state) occurs via a Social Contract.
Key Thinkers: Thomas Hobbes, John Locke, and Jean Jacques Rousseau.
Elements of Comparison:
The Nature of the Case of (the State of Nature).
Parties of the contract (e.g., between people and ruler, or among the people themselves).
Body/Essence of the contract.
Commitment of the contract.
Comparison: Thomas Hobbes vs. John Locke
Thomas Hobbes:
The State of Nature: A life of war, violence, and conflict between individuals; the strong control the weak. Characteristics: Chaos, Struggle, Evil.
Parts of the Contract: Between the people and the ruler. Notably, the ruler is not a part of the contract (he is not bound by it).
Essence of the Contract: The people give up all their rights to the ruler for protection.
Commitment: People must obey the ruler and have no right to rebel or revolt against him.
John Locke:
The State of Nature: A life of cooperation and exchange of benefits. Natural law guarantees freedom. Characteristics: Organized, Cooperation, Good.
Parts of the Contract: Between the people and the ruler. The ruler is part of the contract.
Essence of the Contract: The people give up only part of their rights to the ruler.
Commitment: The ruler must respect the people. The people retain the right to rebel or revolt against the ruler.
Comparison Between Nation and State
The State (e.g., Egypt, USA):
Definition: A territory considered an organized political community under one government (Political Structure).
Focus: Refers to a territory.
Requirement: Government is a MUST.
Nationality: One Nationality.
Bond: Bonded by laws and regulations.
The Nation (e.g., Arab Nation, Nation of Islam, Kurdish Nation):
Definition: A large body of people united by common origin, history, culture, ethnicity, or language (Social and Cultural Structure).
Focus: Refers to a group of people.
Requirement: Unified government is not a necessity.
Nationality: Several Nationalities.
Bond: Bonded by common history.
The Five Elements of the State
1. Territory
Definition: A specific geographic area including water, land, and air where people live.
Size: Can be big or small; wide territories often provide economic and strategic advantages.
Borders:
Natural borders: Existing for ages (e.g., Egypt).
Artificial borders: Established by colonial authorities (e.g., African countries).
2. Population
Definition: People living within the borders.
Ideal: Should have a sense of cohesion/unity. Common language is helpful but often not present.
Stability: If the population does not like the state, it may be "ready to explode."
Example: A long guerrilla war between the Ethiopian government and Eritreans led to the establishment of the Eritrea state in .
3. Government
Rule: "No Government, No State."
Function: Expresses political authority and the form of the political system through institutions. It organizes power over the population.
Absence: Absence of government results in anarchy, territory splitting, or occupation.
Recognition: The government must have diplomatic recognition.
Examples:
Somalia: Case of state absence during the civil war () with no central government.
Southern Sudan: Non-recognition of the government in the and while trying to keep the state unified.
4. Independence
Definition: Ruling itself, not occupied by another country, and exercising sovereignty. Decisions are taken according to free will and choice.
Issues: Domination by powerful countries over weaker ones.
Examples:
Algeria: Re-established as a state upon formal independence from France in .
Taiwan: Lacks independent state status by formal and diplomatic recognition; considered part of China.
Palestinian Occupied territories: Currently no state.
5. Sovereignty
Definition: Unique characteristic of government authority where no other authority is higher internally or externally.
Nature of Sovereignty:
Original: Not derived from another authority.
Superior: Highest commanding power exercised over all borders.
Permanent: Ongoing authority that continues after the person in charge leaves.
Unified: Not subject to partition.
Classification of Governments and Regimes
Monarchy vs. Republic
Most countries are now republics, though this does not ensure democracy.
Constitutional Monarchies: Power is limited (e.g., Britain, Norway, Sweden, Denmark, Spain, Holland).
Working Monarchies: Active in the Arab world (e.g., Morocco, Saudi Arabia, Jordan, Kuwait). Failure to transition to limited constitutional monarchies has historically led to overthrows and replacement by revolutionary regimes (e.g., Egypt, Iraq, Libya, Ethiopia, Iran).
Aristotle’s Six Types of Government
Classification Criteria: Number of rulers and whether they rule for the "Common Interest" (True) or "Selfish Interest" (Despotic).
One Ruler:
True: Monarchy.
Despotic: Tyranny.
Few Rulers:
True: Aristocracy.
Despotic: Oligarchy.
Many Rulers:
True: Polity (Constitutional Democracy; best form).
Despotic: Democracy (Rule of many in selfish interest; worst form according to Aristotle).
Contemporary Vision: Types of States
Success Metrics: Ability to control territory, capacity for core functions, and response to challenges.
Effective States
Control and tax the entire territory; laws are obeyed.
The government ensures general welfare and security with minor corruption.
Usually democracies with free/fair elections.
Examples: Japan, United States, most European countries.
Weak States
Crime penetrates politics; government cannot fight lawlessness, drug trafficking, or poverty.
Justice is bought; little tax is collected; elections are often rigged.
Revenues from natural resources go into private pockets.
Examples: Mexico and Nigeria (oil), much of Asia, Africa, and Latin America.
Failed States
No functioning national government; territory is threatened by breakup.
Warlords, militias, and drug lords rule via "the gun."
Very low education and health standards.
Examples: Afghanistan, Libya, Somalia (notable for pirates due to lack of state power).
Power Distribution: Unitary and Federal Systems
Unitary System
Definition: Centralization of power in the capital with little autonomy for subdivisions (e.g., Egypt).
Pros:
Central authority can marshal resources and coordinate development.
Uniform taxation nationwide.
High, uniform standards for education and health.
Cons: Citizens may ignore local administration; authority has the upper hand in all issues.
Federal System
Definition: Balancing power between the nation's capital and autonomous subdivisions/states (e.g., USA).
Pros:
Citizens are closer to local government and participate in decision-making.
Development policies are more realistic to local needs.
Diverse education systems provide alternatives.
Cons:
Local governments may lack financial independence.
Duplication of services between central and local governments.
Devolution: The process of shifting some powers from the central government to component units.
Political Institutions
Definition: Organizations that create, enforce, and apply laws. They mediate conflict, make policy on economy/social systems, and provide representation.
Examples: Executive Branch, Parliament (Legislative), Courts (Judicial), Political Parties, Trade Unions.
Importance:
Solving problems.
Dispute arbitration.
Setting directions and making policies.
Facilitating participation and representation.
States and the Economy
Laissez-faire System
Government owns little or no industry.
Little redistribution via welfare programs.
Welfare State
Government owns little or no industry.
High redistribution of wealth to the less well-off (e.g., health insurance, child care, job training, retirement funds).
Statist System
The state acts as the "number one capitalist."
State owns and runs major industry but provides few welfare benefits.
Small and medium businesses remain private.
Socialist System
Combines state ownership with extensive welfare benefits.
Government owns nearly all means of production and runs the economy for the society’s interest.
Example: Former Soviet Union.