The Origins

of the State
THE STATE is a central concept in the study and practice of politics
State (Webster’s Dictionary: a form or mode of being, a
condition). From Latin status (literally: standing)
(l’etat – in French, das Staat – in German, lo stato – in Italian,
estado – in Spanish)
____________
*David Held, Introduction. In: “States and Societies”. Edited by David Held et al. Oxford:
Basil Blackwell, 1985, p.1
Society and the State
Human society predates the state. 200,000 years of
human existence passed without the state
The state arises at a certain stage in social evolution:
when human society becomes bigger, more complex,
more productive, more divided by private property –
and when the very existence of society begins to
require a special mechanism for coordination and
use of social power
• Human history can be described as a process of social evolution
• Just as biological evolution is development of simpler
forms of life into more complex and highly organized forms of
life,
• social evolution (or social development) is a process of
• growth of complexity and differentiation of social
organization (cooperation between human beings,
coordination of human activities)
• *See Stephen Sanderson, Social Transformations. Blackwell, 1995, Ch. 1 - and
• Jared Diamond, Guns, Germs and Steel: The Fates of Human Societies. Norton, 1997, 1999
• For an interesting discussion of theories of social evolution, go to:
• Science and Society: OVERVIEW PAGE
• In other words,
• It is a process of creation and development of new, more
complex, and more effective forms of social organization.
• It takes place under the influence of ecological, demographic,
technological and economic factors
From band to state
The prehistoric band
• Band – a small community bound by blood ties
– Not centralized, egalitarian (belief that everyone should be treated
the same or equally and all should have the same rights) (low
inequality), low division of labour (mostly gender-based),
– Decisions are made collectively.
– Unity is based on customs and traditions
• Hunter and gatherer societies
The tribe
• Tribe – a group of bands united for a common purpose
– In order to survive, humans tend to form bigger groups.
– Also egalitarian: power is dispersed throughout the tribe.
– Leaders are first among equals, they don’t have the means to
compel tribesmen to obey. Custom, tradition, ritual, religious
belief are the main tools to maintain social order.
• Agricultural societies (farming, animal husbandry)
The chiefdom
• Chiefdom – a transitional form on the way from tribe to state.
– A larger society with more developed division of labour, higher
productivity, which means that there is surplus product to use
beyond mere subsistence.
– Private property appears, inequality grows, people are more and
more divided by class.
– Power is increasingly separate from society, as power over society.
– Authority is formalized (institutionalized) in the office of the chief,
which can be filled by different people. The chief has means of
compelling members of society (military force)
• Develops in agricultural societies, which increasingly rely on slave
labour
• Appears about 10,000 years ago
 God Horus
– symbol of
Pharaoh’s
The Pharaoh
supreme
power

The
Pharaoh’s
Tax collector
enemy

Enemy
soldiers
killed

Ancient Egypt: image of the state

• State – a highly structured organization of power over a more
developed, more complex, class-divided society.
– The state is capable of performing massive tasks:
• suppressing social revolts,
waging wars,
organizing construction of fortresses, dams and canals,
minting money.
– It has the power to tax and to punish those who break the law
– The city is the seat of state power
• First states appear in Egypt, Babylon, Assyria and Persia (Iran),
beginning around 5,000 years ago.
• RECORDED HISTORY OF HUMANITY BEGINS
Ancient Babylon
Ancient Egyptian kinglist
From Band to State: Summing Up

• -- As societies become more complex, differentiated, populous,

and technologically advanced, their political organizations
become more centralized and separate from society
• -- As societies develop from band to state, they become less
egalitarian
• -- As societies become more complex, the power of community
decreases and the power of the state grows.
 Origins of the State
• Four Theories:
– Force Theory
– Evolutionary Theory
– Divine Right Theory
– Social Contract Theory
 Force Theory
• Theorists believe
the state may have
been born through
force
• One person or a
group claimed
control of an
area and forced
people to abide
by their rule
 Paternalistic/Evolutionary Theory
• Primitive Family – The head of the household
ruled over the family >

Clan – The original family has offspring and

eventually the connected families become a clan
>

Tribe – The clan abandons its nomadic

ways and the state is born
 Divine Right Theory
• The state is created by God, who in turn has
bestowed upon royalty a “divine right” to rule
– Subjects are bound to obey their ruler as they
would God
– Present day democracy was / is a challenge to
Divine Right
• Many civilizations used this theory to
determine government systems
 Social Contract Theory
• Significant to the American political system
– Developed in France in the 17th and 18th centuries
– The building blocks of democracy
 Social Contract
Thomas Hobbes:
“state of nature” is a term in political
philosophy used in social contract theories to
describe the hypothetical condition that preceded
governments. There must have been a time before
government, and so the question is how legitimate
government could emerge from such a starting
position
“nasty(morally offensive or indecent),
brutish (cruel), and only the
strongest survived
 Social Contract
• Humans overcame this lifestyle by agreeing to
form the state
– Giving up to get
– The people had, by contract, giving up some of their rights in
return for stable and agreeable government

– Contract = Constitution

• The state arose out of a voluntary act of free

people
 Social Contract
• 3 Things Social Contract Theory Says:
– 1. State exists only to serve the will of the people
– 2. The people are the sole source of political
power
– 3. The people are free to give or take power away
 Social Contract Concepts
• Popular Sovereignty
• Limited Government
• Individual Rights
Government and the State
 The State
• State – A body of people, living in a defined
territory, organized politically, and able to
make and enforce laws
– 4 Parts to a State
– Population
– Territory
– Sovereignty
– Government
 Population
• Varies from state to state
• Clearly, to have a state, you must have people
 Territory
• Land with recognized boundaries
• Varies from state to state
• United States – 3.7 Million Sq. Miles
• USSR – 6.6 Million Sq. Miles
• San Marino – 24 Sq. Miles
 Sovereignty
• Every state is sovereign
• It has supreme and absolute power within its
boundaries
• It can make its own policies, decide its own
future
• Determine its own form of Gov’t
 Government
• Government consists of the machinery and
the personnel by which the state is ruled
• Every state is politically organized
• Many different forms of Gov’t
• The power to rule can be enforced many different ways
 How Is Government Involved In Your
Life?
• Is Government involved in your life?
• If so, how much?
• What is democracy?
• Three things to know:
– The purpose of government
– The major forms of government
– The major concepts of government
 What is government?
• Government – The institution through which a
society makes and enforces public policies
– Public Policy – All of the things a gov’t decides to do
» Taxation
» Defense
» Education
» ...and on and on and on and on and on