Notes on Principles of Political Science: Recognition, State Bases, Theoretical and Physical Bases, and Methods

The Recognition of States

• The Philippines sought international recognition of belligerency and independence; on behalf of the Philippine people, it appealed to civilized powers to recognize the Philippine Republic.
• November 23, 1898: a commission was designated to inform the world of facts and the capacity of the people for government, and to work for recognition of independence.
• January 26, 1899: after the proclamation of the Philippine Republic, another commission (including Juan Luna, Ponce, Apacible, Del Pan, Regidor, Agoncillo) worked for recognition by the United States; Agoncillo actively pursued recognition through official/private channels, though he was never formally received by the U.S. President.
• The concept of international status requires some level of recognition; it is not necessary to have recognition by all members of the “family of nations”; general recognition suffices for state de jure status.
• Quoted reference: recognition is general, not universal. See Kalaw, The Development of Philippine Politics; Agoncillo’s correspondence in the Proceedings of the First Independence Congress.
• The “family of nations” evolves by consensus: a state may be de facto or de jure, but full international status largely rests on recognition by other states.

The Recognition of States (General Framework)

• Efforts of the Philippine Revolutionary government to gain recognition:
  • June 12, 1898: Philippine independence proclaimed at Kawit, Cavite. Part of the proclamation asserts sovereignty to act like independent states (war, peace, treaties, commerce, alliances) and to pledge life and honor to uphold the declaration.
  • June 23, 1898: Philippine Revolutionary government proclaimed, superseding Aguinaldo’s May 24, 1898 dictatorial government; purpose: to struggle for independence until all nations recognize it and to prepare for a Republic.
  • August 6, 1890: Aguinaldo petitioned foreign governments to recognize the Philippine Republic; warning against premature or unjustified recognition which could be tantamount to intervention or war (cites historical precedents such as recognition of Greece, Cuba, Serbia, Romania).
• Core question: When to recognize a revolt? Recognition should balance legal status (combat continues vs. virtually established independence) and policy considerations (third-party interest).
• Hershey’s view (as cited): Recognition should come when (1) a bona fide contest still exists or has ceased; (2) virtual independence has been established; (3) recognition would be in the interest of the recognizing power.
• The text emphasizes that recognition is both a legal act and a policy decision; the status of a new state depends on a combination of factual independence and political recognition. See Hershey, The Essentials of International Law, for supporting notes.

The Recognition of States: Types and Examples

• The family of nations and the status of a new state can arise in several ways: 1) A new state carved out of another state (unilaterally or peacefully/forcefully).
  • Examples: Brazil (independence from Portugal, peaceful from 1825), Egypt (1922), Philippines (1946 independence from the United States).
    2) A new state formed by union of two or more states already members of the family of nations (Italy, Germany in 1871).
    3) A new state formed by the union of two or more new states succeeding another state (Norway-Sweden as an example).
    4) Recognition of revolting territories: the act of recognizing the independence of a territory revolting against its parent state, which simultaneously implies recognition of its government and its ability to participate in international relations.
• The recognition can be extended before or after recognition by the parent state, but practice shows that such recognition is often conditioned by political and diplomatic considerations.

The Recognition of Revolting Territories

• A revolting territory is recognized as a state when it has: territory, people, independence from external control, and a government that can perform international obligations.
• Recognition of the government of such a territory implies willingness to deal with that government in all matters affecting the state.
• If a de jure government is overthrown and a new government is established, other states may terminate relations with the de jure government or refuse to recognize the new one; recognition preserves continuity of the state despite changes in government.
• The key point: continuity of the state can survive through changes in governance, provided the essential elements remain intact and the new government is recognized by other states.

Importance and Implications of Recognition

• Recognition is essential for a new state to enjoy the rights of membership in the international community (legal equality, right of intercourse, etc.). Before recognition, a new state lacks these privileges and obligations.
• The decision to recognize has both legal and political dimensions (policy interests, stability, regional balance, etc.).
• The process of recognition is influenced by historical experiences and the balance of power among states.

The Family of Nations and the Status of States

• The family of nations is historically rooted; the United States was the first non-European member; Turkey joined in 1856; Japan in 1899; the Philippines joined in 1946.
• A community may have all requisite elements of a state (territory, people, government, sovereignty) but remain de facto; formal recognition by other states converts it into a recognized state with international status.
• Recognition of a state is distinct from recognition of a government; a state is recognized as a legal entity, while governments within that state can be recognized or refused independently.
• The concept of a “new state” can be either a de jure entity or a de facto one pending recognition by other powers.

The Bases of the State (Overview)

• The state is a political community that possesses territory, a population, a government, and sovereignty/independence.
• Government and state are distinct: a state exists independent of any particular government, whereas a government can change; the state endures as an international person regardless of regime changes.
• The modern state evolves through historical stages, and the state-first conception is tied to nationalism and territorial unity.

The Political Basis of the State: Sovereignty

• Sovereignty: the supreme power to command and enforce obedience; the ultimate authority in the state.
• Independence and sovereignty are related but distinct concepts: sovereignty is the internal/external power of a state; independence is an external manifestation of sovereignty.
• Distinctions:
  • Titular sovereignty vs. actual sovereignty: titular sovereignty is the person or body that personifies the state; actual sovereignty lies in the institutions that hold power.
  • Legal sovereignty vs. political sovereignty: legal sovereignty is the power to enact laws; political sovereignty concerns who actually holds power and can depose leaders or change governments.
  • Location of sovereignty: questions about whether sovereignty resides in the nation, the states, or the people; in modern democracies, sovereignty ultimately resides in the people.
• Acquisition and unity of sovereignty:
  • Sovereignty cannot be gifted or created by another state; it is inherent to the state’s existence.
  • Dependencies do not possess sovereignty; their sovereignty arises when they withdraw from the mother country’s authority.
  • Sovereignty is indivisible and unitary in principle; there is no true partition of sovereignty, though powers may be distributed among different organs.
• Essentials of sovereignty (Garner): perpetual, comprehensive, exclusive, absolutist, inalienable, and unity.
• Perpetuity: sovereignty endures as long as the state exists; regime changes do not dissolve sovereignty.
• Comprehensiveness: sovereignty applies to all persons, associations, and things within the state’s jurisdiction; diplomatic immunity and similar exemptions are not absolute obligations but comity.
• Exclusiveness: sovereignty is exclusive and indivisible; attempts to create a world state or divide sovereignty undermine the concept.

The Theoretical Basis of the State (Overview)

• The text surveys several theories of state origin and authority:
  • Divine-right theory: God vested political power in certain persons or groups; historically used to justify monarchy and resist popular sovereignty; now largely rejected by political theorists.
  • Contract theory: government derived from a social and governmental compact among the governed (Locke, Hobbes, Rousseau); includes the idea that obedience is conditional on just rule, with potential right of revolution.
  • Patriarchal and matriarchal theories: state origins from family structures expanding to patriarchal or matriarchal authority; Maine (Ancient Law) and Harrison discussed as influential proponents; Garner notes the evidence is not universal across all states.
  • Instinctive theory: political institutions emerge from an innate human instinct for association; Aristotle and Cicero cited as early proponents; political authority as a natural consequence of social life.
  • Necessity and force theories: leadership arises from the necessity of protection and may involve conquest or coercion; early leaders become rulers through force; not universally accepted as the sole genesis.
  • Economic theory: state origins tied to economic needs and class struggles; Plato’s idea of grouping for mutual needs; critiques argue that industrial capitalism postdates early state formation, so economic motive alone cannot explain origin.
  • Historical/evolutionary theory: state arises through gradual historical development; no single moment or force explains emergence; a synthesis of factors explains the growth of political institutions.
  • Additional perspectives emphasize the complexity and plurality of origins, with no single theory universally adequate.

The Physical Basis of the State

• The physical basis includes territory, population, and a government capable of exercising sovereignty.
• Territory definition: land and water within external boundaries, surrounding seas within certain limits, bays/estuaries, islets; territorial extent varies widely among states (e.g., San Marino vs. United States).
• Population: a state must have a sufficient population to fulfill international obligations; the presence of a national community is important for the legitimacy and functioning of the state.
• The state is a legal entity and an ideal person; government is the instrumentality of this political unity.
• Distinction between state and nation:
  • State: juristic or political concept.
  • Nation: racial or ethnic concept; a state can contain one or more nations; a nation can exist without a state.
  • Poly-national states contain multiple nations; mono-national states contain a single nation.
• The Philippines case: a Filipino nation exists despite linguistic and religious diversity; the state-nation concept applies even with internal diversity.

The Historical Basis of the State

• The primitive state emerged in the Orient (Nile, Yangtze-Kiang, Ganges, Euphrates) before appearing in continental Europe.
• The Orient had early developments (alphabet, metals, commerce) and early forms of political organization; by 2500 B.C., Egyptians moved through tribal state, city-kingdom, confederations, and eventual nation-state formation.
• The diffusion of political institutions occurred via Mediterranean contact (Egypt to Crete) and through Asia Minor to Europe.
• The Greek city-states were independent units; they formed loose federations but never unified into a single political state.
• Rome contributed more to legal institutions than to political theories; its empire provided models for modern state administration.
• The evolution of the state is traced through the Roman imperial state, the feudal stage, and the modern state, which is characterized by nationalism, geographic unity, and regulatory frameworks governing peacetime and wartime relations between states.
• The modern state is the product of nationalism, geographic unity, and increasingly codified legal-political systems.

The Bases of the State (Closing Observations)

• The state as a political unit emerged from a blend of historical forces, including religion, law, economy, and sociopolitical organization.
• The process of state formation involved multiple theories, none of which alone fully explains origins; an integrated approach aligns with historical evidence and modern understanding.
• The modern state’s legitimacy comes from its ability to exercise sovereignty and maintain continuous authority over a defined territory and population.

The Nature, Scope, and Methods of Political Science

• Political science defined: studies of the phenomena of the state in its varied aspects and relationships; begins and ends with the state.
• Distinction between theoretical (fundamental characteristics of the state) and practical (politics in action) perspectives.
• Debates on whether political science should be considered a science; varied definitions place emphasis on the state, its institutions, and the laws governing political growth.
• Key sources and authorities cited; the field comprises several methods and approaches.

The Methods of Political Science

• Experimental method: used primarily for studying political problems and testing how political machinery operates under given conditions; inductive and aims for general political truth, but limits exist due to complexity of human behavior.
• Historical method: explains volition and surrounding influences by examining origin and development; emphasizes the continuity and transformation of institutions over time.
• Comparative method: compares contemporaneous institutions or those across different periods to draw general conclusions; requires caution to account for contextual differences (culture, religion, climate, resources, institutions).
• Analytical method: dissects institutions into parts and studies interrelations; useful for understanding structure and function.
• Psychological method: studies the passions and motivations behind political movements and decisions; applied in elections, campaigns, public administration morale.
• Juridical method: treats society as a juridical regime; analyzes public law relations, the legal nature of the state, and normative principles; common in German and French scholarship.
• Philosophic method: builds ideal models and normative visions (Plato, More, Campanella, Bellamy); used to inform policy goals and administrative philosophy.
• Sociological method: views the state as a social organism; examines how social structures influence political behavior; related to the study of crime, housing, labor, and social welfare.
• Biological method: draws analogies between the state and living organisms; associated thinkers include Auguste Comte, Herbert Spencer, Durkheim, and Le Roy; used to interpret growth and organization.
• Annotation: a combination of methods is typically most effective; political problems are complex and require interrelated analyses.

The Interrelation of Political Science with Other Disciplines

• History: political science benefits from historical context to understand origins, growth, and transformations of political institutions; history provides essential data for forecasting political trends.
• Economics: economics influences policy and public finance; understanding economic factors is essential for analyzing labor, capital, taxation, and public utilities.
• Geography: geography explains environmental constraints and opportunities shaping political development, territorial arrangements, and infrastructure.
• Psychology: helps interpret voter behavior, morale, leadership effects, and the social psychology of crowds.
• Law: government and law are intertwined; legal developments accompany political change; law provides the normative framework for state power and governance.
• Sociology: societal structure informs political processes; crime, housing, and welfare are political issues with sociological dimensions.
• Philosophy and ethics: provide the normative foundations for political theory and evaluation of governance, rights, justice, and the common good.

The Scope of Political Science and Its Divisions

• The scope includes political theory, descriptive and comparative government, public law (constitutional, administrative, jurisprudence), international law and diplomacy, and administration.
• The study aims to describe, analyze, and evaluate political institutions and their functions; it seeks to understand the state and its problems, and to propose solutions.

Practical Takeaways for Exam Preparation

• Recognize the distinction between state, government, and nation, and why sovereignty is considered both internal and external.
• Understand the different pathways through which recognition of states occurs and the role of “general recognition” in conferring international status.
• Be able to explain why recognition may be delayed or withheld for strategic or ethical reasons, and how this affects the continuity of the state and its government.
• Grasp the major theories of state origin (divine-right, contract, patriarchal/matriarchal, instinctive, necessity/force, economic, historical) and their strengths/limitations.
• Memorize the essentials of sovereignty and its six characteristics (perpetuity, comprehensiveness, exclusiveness, absolutism, inalienability, unity).
• Distinguish between legal and political sovereignty, and between titular and actual sovereignty.
• Be able to explain the historical evolution of political organization from ancient times (city-states, empires) to the modern state, including feudal and imperial phases.
• Know the major methods used in political science and the value of combining them to study political problems comprehensively.

Key Dates and Figures (Selected for Quick Review)

• November 23, $1898$: Commission designated for world recognition of Philippine belligerency/independence.
• January $26, 1899$: Commission for recognition efforts by the United States; Agoncillo active in diplomacy.
• June $12, 1898$: Philippine independence proclaimed at Kawit, Cavite.
• June $23, 1898$: Proclamation of the Philippine Revolutionary government.
• August $6, 1890$: Aguinaldo’s petition to foreign governments; note potential dating discrepancy discussed in text.
• Rivers of historical development: Egypt ca. $2500 ext{ B.C.}$; Congress of Westphalia $1648$; Russia admitted to family of nations $1721$; Japan recognized by 1899; Philippines recognized as a state in $1946$.
• Classic references cited include Hershey (The Essentials of International Law), Garner (Introduction to Political Science), Maine (Ancient Law), McIlvaine v. Cox's Lessee (early U.S. Supreme Court), and Seeley (Introduction to Political Science).

Connections to Broader Themes

• Recognition as a crucial step in the establishment of legal personality in international law; without recognition, even a de facto state may lack rights and status.
• The evolution of sovereignty reflects a shift from divine-right and force-based legitimacy to popular sovereignty and rule of law, aligning with modern democratic norms.
• The relationship between theory and practice is dynamic: theories of state origin inform constitutional design, while empirical historical analysis shapes both policy and pedagogy.
• The interdisciplinary nature of political science is emphasized, with consistent calls to integrate history, law, economics, sociology, geography, and psychology to understand political phenomena.

Quick Reference: Definitions and Distinctions

• State: a permanent community occupying definite territory, independent of external control, with an organized government and sovereignty.
• Government: the institution or aggregation of institutions that prescribes and enforces rules; distinct from the state, though often confused.
• Nation: a cultural, linguistic, or ethnic community; a state may contain one or more nations.
• Sovereignty: the supreme power to command and enforce obedience; internal sovereignty concerns the state's internal authority, external sovereignty concerns its independence from other states.
• Independence vs. Sovereignty: independence is an external manifestation of sovereignty; sovereignty is the ultimate legal-political power.
• Recognition: the act by which a state is granted international status by other states; general recognition is often sufficient for de jure status.
• Requisites for state existence: $1)$ people, $2)$ territory, $3)$ government, $4)$ independence/sovereignty.

End of Notes