CONCEPT OF STATE AND GOVERNMENT

A state is a community of persons more or less numerous, permanently

occupying a definite portion of territory, having a government of their own
to which the great body of inhabitants render obedience, and enjoying
freedom from external control.

Elements of State
The modern state has four (4) essential elements. They are:
• People. – This refers to the inhabitants living within the state. Without
people there can be no functionaries to govern and no subjects to be
governed. There is no requirement as to the number of people that
should compose a state. Ideally, it should be neither too small nor too
large: small enough to be well-governed and large enough to be self-
sufficing.

• Territory. – It includes not only the fixed portion of land over which
the jurisdiction of the state extends (territorial domain), but also the
rivers and lakes therein, a certain area of the sea which abuts upon
its coasts (fluvial and maritime domain), and the air space above the
land and the waters. (Aerial domain). Thus the domain of the state
may be described as terrestrial, fluvial, maritime, and aerial

• Government. – It refers to the agency through which the will of the

state is formulated, expressed and carried out. The word is
sometimes used to refer to the person or aggregate of those persons
in whose hands are placed for the time being the function of political
control. This “body of men” is usually spoken of as “administration”.
The ordinary citizens of a country are a part of the state., but are not
part of the government; and

• Sovereignty. – The term may be defined as the supreme power of the

state to command and enforce obedience to its will from people within
 its jurisdiction, to have freedom from foreign control. It has, therefore,
two manifestations:

a) Internal or the power of the state to rule within its territory; and
b) External or the freedom of the state to carry out its activities
without subjection to or control by other states. External
sovereignty is often referred to as independence.

Origin of States
There are several theories concerning the origin of states, among which
are:
1) Divine right theory. – It holds that the state is of divine creation and
the ruler is ordained by God to govern the people. Reference has been
made by advocates of this theory to the laws which Moses received
at Mount Sinai;
2) Necessity or force theory. – It maintains that states must have been
created through force, by some great warriors who imposed their will
upon the weak;
3) Paternalistic theory. – It attributes the origin of states to the
enlargement of the family which remained under the authority of the
father or mother. By natural stages, the family grew into a clan, then
developed into a tribe which broadened into a nation, and the nation
became a state; and

4) Social contract theory. – It asserts that the early states must have
been formed by deliberate and voluntary compact among the
people to form a society and organize government for their
common good. This theory justifies the right of the people to revolt
against a bad ruler.

It is not known exactly which of the above theories is the correct one.
History, however, has shown that the elements of all the theories have
played an important part in the formation and development of states.
STATE THEORY
PLURALIST THEORY:
Focuses on issue of agency: about individuals and groups. Society is
made up of thousands of groups. The existence of group competition is
natural for a society.

Originates from Hobbes and Locke’s social contract theory in which

the state acts on behalf of all citizens for the common good. The state
protects citizens through constitutional and representative government.

Hobbes: The state is a mid-way between anarchical state of nature,

and absolutist tyranny. Without it man would be “brutish, nasty and
short”.
Locke: The state protects life, liberty and property.The state is neutral
and must regulate and mediate between groups. The state bends to
the will of the government, which will act according to the balance of
power. All groups can have representation and usually get part of
what they want. The state is all about public service and the
democratic process.
- Weathervane Model: Classical pluralist view of the state. The
state and decisions made by the state simply reflect the
dominant stream of thought of society at a particular time
(reflected through elections). Reflect the ‘winds of the time’.
Government officials are largely passive and have no
interests but interpret the demands of groups and turn them
into policy outcomes. Is this role proactive or reactive to the
whims of the public?
Schwarzmantel: “The state is the servant of society, not its
master”.

- Neutral State Model: Neo-pluralist view of the state. This

model argues that the state doesn’t reflect the demands of
society, but state officials intervene in order to govern in the
national interests: a ‘for the many, not the few’ sort of idea.
The state acts neutrally as an umpire to ensure overall
 stability. The state listens to competing views on an issue and
them comes to a workable compromise: taking a more active
role in governing.

- Broker/Elitist Model: Major policy decisions and outcomes

aren’t driven by pressure group demands or a genuine desire
to govern in the national interests, but driven by government
officials to promote their agendas and interests. One elite/s
will dominate society.
Lindblom: “Business is a major government investor and so
the state may and will forge sectional interests”.

ELITIST THEORY:
Focuses largely on agency. They prefer to talk about groups of elites.
The state is not seen as an overarching structure, but rather as a
machine/tool used by the elite in their interests.

C. Wright Mills argues that some states are run by a powerful elite
(Western democracies have a drawn-out power-structure with many
groups competing for government influence: regardless of
this, there is an elite at the top.

- Classical Model: Robert Michels, Gaetano Mosca argue that a

ruling elite was inevitable. Elites claim to have an ‘iron law’
of oligarchy where no matter how complex power structures
can get/are they will remain on top due their resources and
social characteristics.

MARXIST THEORY
Marx believed the state wasn’t a totally negative concept: without it
the transition from capitalism to Communism wouldn’t take place. The elite
dominates society. Democratic elections are a façade and keep elites in
power. The elites are the bourgeoisie who control the means of production,
culture and economy and therefore, politics: a hegemony (Gramsci).
Revolution is needed to get the workers into power.
 - Instrumentalism: The view that the executive of the state is
serving the interests of the elites. The state is the apparatus
to dominate society. Ralph Miliband argued that the
dominance of the ruling class was ensured by the existence
of the state which also upheld order, family connections,
private clubs. Fairly similar to pluralism (focuses on agency,
groups and individuals), it ignores structural issues: why
does the state always work in favour of capitalism?

- Structuralism: The reason why the state serves capitalism is

because the state structure itself is capitalist. Louis
Althusser and Nicos Poulantzas: Created the view that the
job of the state was to serve the interests of capitalism. The
state itself has relative autonomy which is essential for the
state to reproduce capitalism: the state must have the ability
to act against the short-term interests of capitalism in order
to secure the long-term interests of capitalism. The state
must have relative autonomy from the inter-competition of
capitalism (finance, industrial and commercial capital) in
order to maintain it.

- Fractionalism: The way in which the state works is through

one particular fraction of capital will dominate the system
and state (financial dominates Wall St, City of London). One
fraction of capital will dominate the others and then will
present its interests as being in the interests over the many.

LEVIATHAN STATE THEORY:

Associated with classical liberal ideas and New Right ideas of radical
individualism, this theory states that state intervention threatens our liberty
and fiscal security. The state must be ‘rolled back’ to the basics: defense,
etc. A ‘nanny’ state meddles and pursues its own interests against society’s
interests: statism. This can mean higher inflation, taxes, etc.
 - External forces: Elections simply involve puppets of the
statepromising to spend more until taxes and inflation are
high. Promises simply cannot be kept.

- Internal forces: The ‘over supply thesis’ states that the state
intervenes and expands to protect itself: its bureaucrat’s job
security, status and pay.

Hobbes: “The state is a self-serving monster intent on serving itself”.

Pluralism leads to hyperpluralism which gives groups power over weak
governments.

FEMINIST THEORY:
A ‘patriarchal state’ exists in which men control institutions and
government. This gives men leverage over the family and economy.
Legitimate violence can intimidate family and domestic life: men can
enforce their superiority.

- Liberal feminists: Equality can be brought about through

piecemeal reform. If women are denied basic rights then the
state is biased towards men. This bias can be rooted out
through reform. Women can equal access to state power.
State intervention can be positive in enhancing gender
equality and the role of women: equal pay and abortion
legislation.

- Radical feminists: The state is an institution of male power.

Patriarchy is rife in society and the state is controlled by men,
for men.

- Marxist feminists: The state is run by men who wish to reap

the economic rewards of it. Economic greed can harm
women in business, childcare and welfare.
 - Structuralist feminists: The state is the tool of men to
preserve patriarchy. The welfare state is a way of men
transition women from private dependence (household
income) to public dependence, in which they are more
intensely managed by the men running the state

State Distinguish from Nation

Nation should not also be confused with state as they are not the same.
1) The state is a political concept, while nation is an ethnic concept. A
nation is a group of people bound together by certain characteristics
such as common social origin, language, customs, and traditions,
and who believe that they are one and distinct from others. The term
is more strictly synonymous with “people”;

2) A state is not subject to external control while nation may or may not
be independent of external control; and

3) A single state may consist of one or more nations or peoples and

conversely, a single nation may be made up of several states. The
United States is a melting pot of several nationalities. On the other
hand, the Arab nation is divided politically into several sovereign
states. Among them are: Egypt, Saudi Arabia, Jordan, Syria, Lebanon,
and others. The Philippines is a state composed of one nation.

4) In common usage, however, the two terms are often used

synonymously. The Constitution uses them interchangeably.

State Distinguish from Government

In common speech, they are usually regarded as identical. As
ordinarily, the acts of the government (within the limits of the delegation of
powers) are the acts of the state, the former is meant when the latter is
mentioned, and vice versa.
 The government is only the agency through which the states articulate
its will. The former is the agent, the latter is the principal. A state cannot
exist without a government, but it is possible to have a government without
a state. Thus, we had various governments at different periods of our
history, from pre-Spanish times to the present. There was no Philippine
state during those periods when we were under foreign domination.

A government may change, its form may change, but the state, as long
as its elements are present, remains the same.

WHAT IS GOVERNMENT?
People are social, and they need to live with other people in groups or
communities. Communities make rules to settle disagreements among
members and to protect the community from those who violate the rules.
The organization set up for these purposes is called a government.

WHAT IS THE ROLE OF GOVERNMENT?

Simply, a government guides the members of a community in their
dealings with each other and outsiders.

POWERS OF GOVERNMENT
All governments are given powers to carry out their authority over
the members of society.
Purpose and necessity of government
1) Advancement of the public welfare. – Government exists and should
continue to exist for the benefit of the people governed. It is necessary
for (a) the protection of society and its members, the security of
persons and property, the administration of justice, the
preservation of the state from external danger, dealings of the state
with foreign powers (constituent functions) and (b) the advancement
of the physical, economic, social, and cultural well0being of the
people. (ministrant functions)

2) Consequence of absence. – Government exists to do these things

which by their very nature, it is better equipped to administer for the
public welfare than any private individual or group of individuals. It is
obvious that without an organized structure of government, anarchy
and disorder, and a general feeling of fear and insecurity will prevail
in society, progress and development will not be possible, and
values taken for granted in a free modern society such as truth,
freedom, justice, equality, rule of law, and human dignity can never be
enjoyed.
 The need for government is so apparent that even the most primitive
societies, history shows, had some form of it.

FORMS OF GOVERNMENT
The principal forms are the following:
1) As to number of persons exercising sovereign powers:
a) Monarchy or one in which the supreme and final authority is in
the hands of a single person without regard to the source of
his election of the nature or duration of his tenure.
Monarchies are further classified into:
1. Absolute monarchy or one in which the ruler rules by
divine right; and
2. Limited monarchy or one in which the ruler rules in
accordance with a constitution;

b) Aristocracy or one in which political power is exercised by a few

privileged class which is known as an aristocracy or oligarchy;
and
c) Democracy or one in which political power is exercised by a
majority of the people. Democratic governments are further
classified into:
1. Direct or pure democracy or one in which the will of
the state is formulated or expressed directly and
immediately through the people in a mass meeting or
primary assembly rather through the medium of
delegates or representatives chosen to act for them; 22
and

2. Indirect, representative, or republican democracy or one

in which the will of the state is formulated and expressed
through the agency of a relatively small and select body
of persons chosen by the people to act as their
representatives. 23
 2) As to extent of powers exercised by the central or national
government:
a) Unitary government or one in which the control of national and
local affairs is exercised by the central or national government;
and
b) (Federal government or one in which the powers of government
are divided between two sets of organs, one for national affairs
and the other local affairs, each organ being supreme within its
own sphere. The United States is a federal government.

3) As to relationship between the executive and the legislative

branches of the government:
a) Parliamentary government or one in which the state
confers upon the legislature the power to terminate the
tenure of office of the real executive. Under this system, the
Cabinet or ministry is immediately and legally responsible
to the legislature and immediately or politically responsible
to the electorate, while the titular or nominal executive –
the Chief of State – occupies a position of irresponsibility;
and

b) Presidential government or in one in which the state makes

the executive constitutionally independent of the legislature
as regards his tenure and to a large extent as regards his
policies and acts, and furnishes him with sufficient powers
to prevent the legislature from trenching upon the sphere
marked out by the constitution as executive independence
and prerogative.

Theocracy
Governmental rulers are identical with the leaders of the dominant
religion. Governmental policies are either identical with or strongly
influenced by the principals of the majority religion. § Government claims
to rule on behalf of God or a higher power