1. October 5, 2015Introduction to Political Science1 The State Frank H. Brooks

2. October 5, 2015Introduction to Political Science2 Defining the “State” Weber’s definition: –What are the specific means (techniques) of the state? –What about its exclusive or typical functions? –Typical structures? (structural functionalism) Associated Concepts –Sovereignty –Autonomy –Legitimacy –Territoriality Models of the State –Liberal pluralist –Marxist –Organic

3. October 5, 2015Introduction to Political Science3 Weber: The State and Violence The state is “a human community that (successfully) claims a monopoly of the legitimate use of physical force within a given territory” The state is NOT defined by: –“leadership activity” (politics) –Functions (“content of actions”) Violence is the “means specific to the state” –Not the normal or only means (i.e. necessary, but not sufficient) –State claims monopoly on legitimate use of force within a given territory

4. October 5, 2015Introduction to Political Science4 Weber: Power, Authority, Administrative Techniques Power –Essential to rule –Motivation especially powerful for “politics as a vocation” (living “off” politics) Authority –Legitimizes domination –traditional, charismatic, legal/rational Administrative Techniques –“organized domination requires control of the personal executive staff and the material implements of administration” –Staff bound by legitimacy, material reward, and social honor –Material implements can be directly controlled or “farmed out” to estates, fiefs, rentiers –Modern state tends towards direct control by appropriating autonomous functionaries

5. October 5, 2015Introduction to Political Science5 State Autonomy Weber –Authority and rule put state at center of analysis –Modern state characterized by centralized control of administration and force Society-centered approaches make the state and its actions a “dependent variable” –Policies are “outputs” determined by political inputs –Focus on state structures is “old-fashioned” Skocpol – “bringing the state back in” –The state is a political actor –Not just an arena for political struggle –“States conceived as organizations controlling territories and people may formulate and pursue goals that are not simply reflective of the demands and interests of social groups, classes, or society”

6. October 5, 2015Introduction to Political Science6 Key Concerns of “Autonomous” State Territoriality –Governs its space through violence –Focus on military and coercive apparatus Sovereignty –Internal: highest authority domestically relations between state and society) –External: Relations to other states transnational context Capacity –To maintain territory and sovereignty –To pursue policy goals –To meet social demands

7. October 5, 2015Introduction to Political Science7 State Capacity What gives the state capacity to act? Structures of coercion –Stepan: “the continuous administrative, legal, bureaucratic, and coercive systems” –i.e. military, bureaucracy, courts, treasury –What about legislatures or executives? – related to regime, autonomy Finance –Skocpol: “nerves of the state” –Taxation (and credit)

8. October 5, 2015Introduction to Political Science8 Models of the State Liberal – pluralist model –State is neutral and passive (umpire, arbiter) –Group theory and focus on inputs (players, not field/rules) Marxist model –State actions determined by hegemonic class –May have “relative autonomy” when no hegemonic class, or where bureaucracy becomes parasitic Organic statist model –State necessary to pursue common good –Thus, state strong and interventionist –not necessarily conservative or authoritarian Religious state (Juergensmeyer) –As an “ideology of order,” religion competitive with secular nationalism –Religion is appropriate basis for creating sense of national identity (and for determining content of policy)

9. October 5, 2015Introduction to Political Science9 State Formation How does the state form? (How did it?) Alternative political structures –Tribes, families, villages –Cities, empires –Origin of “nation-state” is modern (and European) Are states created by consensus or force? –Consensus Contract – on what (rational) basis Leads to democratic (republican) regimes –Force Imposed from within or without Related to competition Contract and consensus are emphasized in ideology of modern European states, but reality is (mostly) force

10. October 5, 2015Introduction to Political Science10 Modern state formation in Europe Tilly: competition and war –Evolved out of chaos of “Dark Ages” –Protection rackets and armed bandits –Randolph Bourne: “war is the health of the state” Other Factors –Cities as political units (vs. monarchy, empire) –Decisive role of monarchs in unifying (cf. Machiavelli) –Challenging (political) role of religious authority –Trade and international travel Advantages of states as political units –Encouraged economic development –Encouraged technological innovation –Assisted in “homogenization of peoples” (nation-building)

11. October 5, 2015Introduction to Political Science11 Comparing European and African States Herbst’s thesis –relative infrequency of interstate war in Africa has retarded state formation –war affects taxation and nation-building –i.e.,for successful states, builds capacity and legitimacy Alternative explanations of weak states in Africa –Economic weaknesses Large peasant populations Significant nonmonetarized sectors Widespread poverty –Lack of nationalism Anti-colonial “nationalism” never as strong in rural areas Borders of African countries cut across ethnic boundaries

12. October 5, 2015Introduction to Political Science12 Graphic Comparisons General map of Africa (UN) Maps of Africa during colonial period and showing dates of independenceMaps of Africa during colonial period and showing dates of independence Map of Europe Size comparison

13. October 5, 2015Introduction to Political Science13 Permanently-Weak African States? Civil rather than interstate war –“truly competitive state system … penalizes military weakness” (57) –Much interference of outside forces in civil wars, but little intent to permanently annex territory –Consider recent conflicts (e.g. in “Horn of Africa,” Congo) Opposition to “imperialist” IMF not enough to build nationalism –IMF won’t destroy states, just keep them dependent –“structural adjustment” policies create winners and losers in African states Is War the Answer? –Herbst says not to glorify war –But, there’s no good alternative to it for state formation

14. October 5, 2015Introduction to Political Science14 Weak States and “Failed” States Characteristics of a “failed” state –Persistent violence aimed at existing government (all-out internal war) –Massive deterioration of living standards and infrastructure –Intercommunal conflict and violence –Lack of control over boundaries (external and internal) –Rulers prey on citizens –Growth of criminal violence –Few public goods (e.g. security, education, health care) provided –Corruption and unequal economic development –Inflation, smuggling, famine Examples –Afghanistan during most of 1990s –Somalia after 1993 –Bosnia in 1990s –Lebanon during civil war Index of State Weakness (Brookings Institution)Index of State Weakness “Fixing a Broken World” (The Economist)“Fixing a Broken World”

15. October 5, 2015Introduction to Political Science15 Why Do Weak States Fail? Look at weak states that haven’t failed –Sri Lanka: long civil war hasn’t led to breakdown in Sinhala areas –Indonesia: several secessionist movements haven’t undermined central authority –Colombia: central government controls most of territory –Zimbabwe: no widespread (effective) internal insurgent movement Failure due mostly to bad leadership –Not inevitable for geographic reasons –Bad leaders, e.g. Mobutu in Zaire, dos Santos in Angola Sustaining Weak States –Security is first –Administration and judicial system –Providing public goods –Elections not as essential (at first)