FUNdamentals of Political

Science: Season 1, Episode 2

Chapter 2: The Meaning and

Nature of the State
Origin of the State

One of the significant questions about the state is: How did it originate
since there are no sufficient historical records explaining how the state
come to a being, political thinkers had no alternative but to speculate
and theorize.
Theories of State Origin

In order to have a clearer view and understanding of the origin of the state,
it is necessary that the major theories be presented more elaborately.
Below we will discuss them in a well explained manner.

1. Divine Right Theory

2. The Social Contract Theory
3. Force Theory
4. Instinctive Theory
5. Patriarchal Theory
6. Economic Theory
Divine Right Theory: The Idea was simple that the
ruler was God’s appointed agent on Earth,
legitimated the king’s rule, and that no matter how
absolute his power were, such power could never be
question or assailed by anyone. To challenge the
ruler was to challenge God’s authority.
The Essence of this divine right of king’s theory as
first stressed in the New Testament in Apostle Paul’s
teachings to his Christian followers. To his followers
in Rome he advised them to accept as legitimate the
rule of Rome’s emperors, however cruel or
oppressive. He wrote:
 
Let every person be subject to the governing
authority. For there is no authority except from God,
and those that exist have been instituted by God.
Therefore he who resists the authorities resists what
God has appointed, and those who resist will incur
judgement.

Romans 13: 1-6, Bible

The Social Contract Theory: The social contract or the social compact theory
became popular during the seventeenth and eighteenth century. This theory
explained that the state was formed by means of social contract of men who lived in a
state of nature. What the “state of nature” meant was that men lived together without
any super-body to establish peace and order and settle conflicts.

Social contract theory says that people live together in society in accordance with an
agreement that establishes moral and political rules of behavior. Some people believe
that if we live according to a social contract, we can live morally by our own choice
and not because a divine being requires it.

• Social Contract by Thomas Hobbes

• Social Contract by John Locke

• Social Contract by Jean Jacques Rousseau

Social Contract by Thomas Hobbes: He
viewed man in a state of nature as
despicable, nasty and brutish. He compared
the conditions of life as those prevailing a
jungle where the stronger animals despoiled
the weaker ones. Thus man’s desire for self-
preservation, order and peace could be
attained only if they surrendered all their
natural rights (Rights which are not
dependent on laws, examples: We can eat
what we choose from breakfast, Read articles
we want to read without interference from
anyone) and submitted their will to an
absolute sovereign monarch, the great
Leviathan, or the “mortal God” In return,
this great Leviathan would preserve the
peace and give his people the security they
needed. So absolute was the monarch
that the people had, has no right to
revolt.
Social Contract by John Locke: John Locke
believed that men were rational beings and could
make use of natural law for their own good. But they
needed the state to maintain peace and order,
provide them with essential services, and settle their
quarrels and conflict. Thus in a social contract to
which they voluntary consented, they created the
state for the purpose of promoting and preserving
their natural rights to life, liberty and property.

For him Social Contract or covenant was

formulated between citizens and its
government, a trustee which they could dismiss if
it did not maintain the freedom and equality that
men originally knew and enjoyed. In other words,
when the government no longer served the
citizens interests and welfare, it might be
resisted or overthrown. Why? Because the
government had violated its obligations under the
social contract to the extent that it had broken it.
What were these obligations? The government as
the trustee had to protect and preserve people’s
rights, especially natural rights.
Social Contract by Jean Jacques Rousseau: He emphasized his
theory about the general will. Rousseau conceived a social
community. Which he considered to be the “True State” as the
rightful substitute for anarchy in a state of nature. This
community possess “general will” shared by every member, who
would be stronger and freer than an individual living
independently in a state of nature.
 
He believes that the only free government was a direct
democracy in which citizens actually participated in a town
meeting to perform functions of the government. All
citizens, have equal rights to participate in the making of laws
and in decision-making process. Popular participation, therefore,
connotes participatory democracy, and that “the government is
legitimate only insofar as it operates according to the principles
of popular sovereignty.”
 
Under the theory of general will, Rousseau belittled the
importance of government because it did not exercise
sovereignty which rightfully belongs to the people as a
corporate body. Government is merely an agent with delegated
powers which could be withdrawn or altered as the general will of
the people dictated.
Force Theory: In this theory,
the state came into existence
out of conquest, force or
coercion. Before the state
existed there were always
leaders strong enough to assert
their leadership and power
through force, conquest of
violence. They subjected the
people and compelled them to
obey their law.
 Instinctive Theory: The advocate of this theory claimed that the state was
created because of natural inclination of men towards political association. A
social being by nature, man associated himself with other men for self-
preservation and security. Thus the state was born.

Grabe talaga yung grupo

na yun no? sobra sila
e s kung manakot Ka
it wa
ar ay
iM ni
on la
Ma
rup ri t
G es

Takbo ka dito Sis! HELP!!!

Patriarchal Theory: Sociologist and Anthropologists maintains that the state
arose through a process of evolution. At the beginning, the state evolved from the
smallest unit of the society – the Family. Gradually the family headed by a parent
enlarged into a clan (a group closely related families headed by a chieftain) and
later on the clan expanded into tribes and tribes into a nation and the nation into
a state.

Family Clan Tribe

Economic Theory: The exponents of economic theory believe that the state
developed out of man’s economic wants. Man in isolation could not procure all the
necessary things that he needed. To satisfy his wants he could not be an island. He
had to associate with other men in order to provide themselves with their various
needs through exchange of goods and services and led a societal existence. Thus the
state is formed.
What is a State?

“The State is a community of persons, more or less numerous, permanently

occupying a fixed territory, and possessed of an independent government
organized for political ends to which the great body of inhabitants render habitual
obedience.”

-James Gardner

“The State is community of persons, more of less numerous, Permanently

occupying a fixed and definite portion of territory, having a government of its
own, rendering habitual obedience and free from internal and external
control”
Elements of the State:

1. People: The inhabitants of the State.

There is not legal requirement as to their number, it is generally agreed that they
must be numerous enough to be self-sufficient and to defend themselves and
small enough to be easily administer and sustain.

2. Territory: The fixed portion of the surface of the Earth inhabited by the
people of the state.
As a practical requirement only, it must be neither too big as to be difficult to
administer and defend nor too small as to be unable to provide for the needs of
the population. Legally the territory can extend over a vast expanse, such as
Russia, China or cover a small areas such as Abu Dhabi.
 1973 Philippine Constitution
Article I: National Territory

The national territory comprises the Philippine archipelago, with all the
islands and waters embraced therein, and all the other territories belonging
to the Philippines by historic right or legal title, including the territorial
sea, the air space, the subsoil, the sea-bed, the insular shelves, and the
other submarine areas over which the Philippines has sovereignty or
jurisdiction.

The waters around, between, and connecting the islands of the archipelago,
irrespective of their breadth and dimensions, form part of the internal
waters of the Philippines.
 1987 Philippine Constitution
Article I: National Territory

The national territory comprises the Philippine

archipelago, with all the islands and waters
embraced therein, and all other territories over which the
Philippines has sovereignty or jurisdiction, consisting of
its terrestrial, fluvial, and aerial domains, including its
territorial sea, the seabed, the subsoil, the insular shelves,
and other submarine areas.

The waters around, between, and connecting the islands

of the archipelago, regardless of their breadth and
dimensions, form part of the internal waters of the
Philippines.
Government: Is the agency or instrumentality through which the will of the state
is formulated, express and realized.

From a viewpoint of International Law, there is no particular form of government

is prescribe, provided only that the government is able to represent the state in its
dealings with other State. Under Article II Sec. 1 of the 1987 Philippine
Constitution “The Philippines is a democratic and republican State. Sovereignty
resides in the people and all government authority emanates from them.”

• De Facto Government: It is a government by fact. It actually have the power

or control but without legal title.

• De Jure Government: Has the rightful title, but with no power or control.
Either because this has been withdrawn or not actually entered into
exercise.
Sovereignty: It is the supreme and uncontrollable power inherited in a state
by which that state is governed.

• Internal Sovereignty: Internal sovereign refers to the power of the State

to control its domestic affairs or the ability or power of the state to
enforce its will on the people within its territorial jurisdiction.

• External Sovereign: The power of the state to direct its relations with
other States, is also know as independence. Independence of the state
from control by other state.

Types of Sovereign

1. Legal Sovereign
2. Political Sovereign
3. Popular Sovereign
4. De Facto Sovereign
5. De Jure Sovereign
Type of State Sovereign:

1. Legal Sovereign: is defined as the supreme authority of the State expressed by

the law and the constitution. As per John Austin in his lectures on
Jurisprudence describes law as a supreme command enforce by the ruler upon
his people who in turn render habitual loyalty and obedience to the rule.

Legal Sovereignty is the authority which has the power to issue final commands.
Sources of power who rule the sovereign or the people.

Whichever authority has the power to make the law or amend the constitution,
that authority exercise legal or constituent sovereignty. In the Philippines it is the
Congress, Constitutional Convention and the people which exercise legal authority
to change the constitution.

2. Political Sovereignty: The supreme will of the state expressed by the

electorate. Political Sovereignty is also called electoral sovereignty in the sense that
this supreme authority of the state is exercised by the electorate in the choice of
public officers during election.

Political Sovereignty: is the power behind the legal sovereign, or the sum of the
influences that operate upon it.
3. Popular Sovereignty: Popular Sovereignty is supreme authority of the state which
resides in the people. This authority possess coercive power to control government
through which they allow themselves to be governed. It was said that sovereignty
resides in the people and all government authority emanates from them. (i.e. People
Power)

4. De Facto Sovereignty: Power was vested on a person or a group of persons who

have succeeded in a legitimate sovereign. From a legal stand point, the revolutionary
government that was established after the installation to the presidency of Corazon
Cojuangco-Aquino was not sanctioned by the constitution for the power that it
exercise was not found in the constitution or in the laws, hence, the revolutionary
government as de facto.

5. De jure Sovereignty: The theory of de jure sovereignty is that the supreme legal
authority of the state is based on the supremacy of the law this means that
sovereignty is formally expressed by the constitution and by the laws enacted
conformably with its provision. In reference with the revolutionary government as
explained above, it was at its inception illegal for lack of constitutional basis. But it
acquired de jure Status when it gained wide acceptance from the people and
recognition from the community of nations.
Characteristic of Sovereignty:

1. Absolute: The exercise by the state of its sovereign powers is absolute or

diminished in any way in a sense that the state is not subject to restriction by
any other power. However, in reality, we cannot say that the sovereign power
of the state is absolute especially when the state has treaty agreements with
other states. Treaties are the chief basis of international law, and if a nation-
state is a signatory to a treaty, let us say, a defence treaty or a military
agreement, then it has to surrender some sovereign rights that infringe upon
certain provision of the treaty. A perfect example for this would be the
Philippines although it declared its independence from Spain on June 12,
1898 it became again a colony for another Foreign Power which is the United
States, when the latter granted the Philippines political independence on
July 4, 1946, it did not have an absolute independence during the ensuing
years for it remained a vassal of United States economic imperialism.
Comprehensive: The sovereignty of a Nation-State is comprehensive for its
supreme legal authority to extend to all the citizens, aliens, associations or
organization within its boundaries.

There is an exemption to this characteristic of sovereignty. Rules of

international relations, however, provided several exemptions to this
characteristic. Under the mutual respect or international courtesy, diplomatic
immunity is extended to foreign ambassadors, ministers together with their
respective families during the period of their assignment in the host nation-
state. Under the principle of ex-territoriality, diplomatic immunity means that
diplomatic representative and their families are exempted from local
jurisdiction of the state.
Permanent: Sovereign is perpetual in the sense that as long as the state exists,
sovereignty also exist. This is because sovereignty is an inherent attribute of the
state.

Rulers may be ousted through elections, or they may be overthrown from power
through revolutions. Government may be changed from one form to another. But
as long as the state exists, sovereignty is always present as one of its elements.
Indivisible: Sovereignty is indivisible power as “to divide sovereignty is to
destroy it” in fact, the exercise of sovereignty may be distributed but not
sovereignty itself.

Thus the power of the government are apportion to Legislative, Executive

and Judiciary and/ or distributed into Central and local government.
However these are not evidence of division of sovereignty, but manifestation
of how it is exercised. It is important to understand about the indivisibility
of sovereignty is that such supreme authority or supreme will is the
monopoly of the state. The exercise of authority may be delegated to various
organ of the government.
 State Versus Nation

A state is a political concept, legal fiction. It is perpetual existence as long as its

four essential elements (People, Territory, Government, and Sovereignty) are
intact. Compare to Nation it is an ethnic concept, a sociological collectivism of
individuals who possess in common certain non-political characteristics such as
common racial origins, common language, common religion, common historical
experience, a common cultural and social tradition or common beliefs or creed.

Even if some of the essential elements of a nation may not be present, like
absence of common racial origins, religion, common culture or those of a state,
like absence of sovereignty or lack of territory, provided the spirit of nationalism
is strong among the people they still constitute as a nation although they do not
form a state.