The Modern StateChapter 3

This Week• The Modern State

• State Capacity• The Bureaucracy

• The Emergence of States

• Failed States

• The Welfare State

Central Concepts: The State• Max Weber:• “The state is the central political institution that exerts a

‘monopoly on the legitimate use of physical force within a given territory.’”

• A few important points:• Legitimacy• State here refers to what we might commonly refer to as

government – the decision making apparatus, bureaucracy and the provision of public goods

The Modern State• What did the non-modern state look like• Feudalism in Europe• Multiple actors with legitimate power• Law and taxes local• Any other system unfeasible

• The modern state?• Today, who legally uses power and violence?• Who has the right to tax?

Capacity• Definition:• “The ability of the state to achieve its objectives,

especially the abilities to control violence, effectively tax the population, and maintain well-functioning institutions and the rule of law.”

• How does a state increase its capacity?• Monopoly on the use of force• Effective (reasonably speaking) bureaucracy• Rule of law

• Of note, capacity is a relative concept

Failed States• A state that fails to perform as expected• Multiple purveyors of power and violence• Ineffective bureaucracy• Inequality of power or resources

• Leads to:• Mistrust with government and between individuals• Less economic development• Fewer services

• How does one avoid failed states?• State-building or nation-building projects

Failed State Index(Foreign Policy Magazine)

The Relationship Between State and Society

• The state is a part of society, but a relatively autonomous part

• At its core, the state acts like a general director, making policies and passing laws that are designed to achieve the goals it wants

• At the same time, it isn’t apart from society, as groups and institutions within society can seek to change the state• Democracy

Bureaucracy: The Core of the Modern State

• Bureaucracies are often viewed with suspicion• They’re too big• It’s hard to fire members of the bureaucracy• They’re inefficient• They aren’t innovative

• Effective bureaucracy, though, is necessary for the success of a state

• Bureaucracies are, in fact, designed to be a very “efficient way to organize collective action in pursuit of common projects”

Impersonality and Sovereignty in the Modern State

• Leadership is not dependent on charisma, rather on presenting different policy options (more often than not, anyway)

• The state, broadly speaking, doesn’t care who you are – everyone is treated equally before the law and by government

• Sovereignty:• Recognition as being the single legitimate power within a

territory• The source of legitimate authority (…that is to say, it is

way governments can actually take action, like tax collection)

What do States Do With Their Sovereignty?

• Public Policies: Often defined as “what government does”• Designed to improve the public good, either through the

provision of resources, protection, or the collection of taxes to accomplish these goals

• Typical Functions of the Modern State:• Tax collection• Military and Defence• Public Safety and Policing• Broad economic policy: economic management, fiscal and

monetary policy• A social safety net• Infrastructure and public goods

Theory: Why Did States Emerge – War?

• The Bellicist Theory: Lots of war leads to strong states

• States have 3 functions• Centralized administration• Significant tax collection• Ability to mobilize an entire population

• Consistent and total war, forces leaders to pursue each of these goals

Bellicist Theory Cont…• Explains why Europe which was, otherwise

backwards to other civilizations around the globe, were the first to see emergence of strong states

• Large, regionally dominant empires were able to create central bureaucracies, but never forced to extensively tax or mobilize the whole of their people

• Relation to weak states in South America and Africa

Theory: Why did States Emerge – Economics?

• Marxist Theory• Interest of the bourgeoisie

• Regime or Coalition Theory• Coalitions, generally of societal elites, were formed• The goal of these was to achieve a common end• Government was an opportunity to that end

Theory: Why did States Emerge – Culture?

• Nationalism• A unifying factor that makes people more amenable to

state-building exercises?

• Religion• Theory primarily focused on Calvinism

Why Did the Structure of the Modern State Emerge All Over the World?

• Competition?• Are strong states more effective in war?• Colonialism• Economic competition and preference

• Economics?• The international capital class• Neo-colonialism

• World Society Theory• Interaction between states demonstrates the

effectiveness of the organization and is, in turn, copied

The Welfare State• First, what are we talking about:• The provision of a safety net to those most in need or at risk

in society, often provided in the form of health care and poverty relief

• These are big programs, that require lots of money and organization to provide

• Cultural theory:• Norms and values changed• Problems can be solved through collective action• Citizenship• Citizens are deserving of some dignity

The Welfare State: Industrial Theory

• The rise of industrial capitalism• Economic benefits• Social costs?• Role of the state in the economy?

• Marxist interpretation• Welfare state is designed to make the worst off feel as though they

are getting more• Doomed to fail…eventually

• OR...is it the state creeping towards left-wing socialism?

• Or…is it simply a response to the incredible societal changes that happen during and after industrialization?

The Three World’s of Welfare Capitalism

• Gosta Esping-Andersen• Doesn’t like any of these options

• Looks to the role of groups in decision making• Namely: Business, Labour and Government

• Where these groups compromise, strong welfare states appear to emerge

• Where these groups act in competition, trying to gain advantage over the others, welfare states are weak