Concept of a State Chapter Notes | Legal Studies for Class 11 - Humanities/Arts PDF Download

What is a State?

Black's Law dictionary defines 'State' as "the political system of a body of people who are politically organized; the system of rules by which jurisdiction and authority are exercised over such a body of people."

The concept of State and Article 12 of the Indian Constitution 

Article 12 of the Constitution of India explains that in this context, 'State' includes:

• The Government and Parliament of India, i.e., Executive and Legislature of the Union
• The Government and Legislature of each State, i.e., Executive and Legislature of the State
• All local and other authorities within the territory of India
• All local and other authorities under the control of the Government of India

What is Government?

Black’s Law dictionary defines ‘Government’ as “the structure of principles and rules determining how a state or organization is regulated.”

Difference between State and Government

Emergence of the State from Society 

• Definition of Society: Society is a group of people living together and forming social connections to meet various needs - physical, emotional, intellectual, or spiritual. It encompasses various institutions like family, clans, tribes, villages, religious and educational institutions, and workplaces.
• Nature of Social Relationships: Social relationships within a society are based on kinship, affinity, language, religion, shared values, and territorial connections. These relationships are guided by necessity, tradition, etiquette, morality, mutual understanding, agreements, or contracts.
• Transition to the State: A society becomes a State when it operates under a common set of laws, rules, regulations, and acknowledges a central authority. The State is essential for organizing the political aspects of society to facilitate collective living.
• Origin of the State: The State emerges from society, with society being the primary association. The State is established to manage the political affairs of individuals and maintain social order. It relies on society for its sustenance, not the other way around.
• Role of the State: As noted by R.M. MacIver, the State regulates the external interactions of individuals within society. It does not create certain social structures like families or churches, or forces like customs and competition. Personal relationships such as friendships or rivalries are too personal for the State to control.

Definition of State

• According to J. W. Garner, a state is a group of people, usually many, who live in a specific area of land. This group is independent or very close to it in terms of control from outside forces. Additionally, they have an organized system of governing to which the majority of residents regularly follow.
• Garner's description of a state includes all the essential components. A state must have four critical elements: a population of people, a defined territory, a functioning government, and the concept of sovereignty.

Theories on the origin of State 

1. Theory of Kinship

• Aristotle (384-322 BCE) proposed the theory of kinship in the origin of the State.

• Initially, societies were composed of many families forming villages, with each village primarily descendants of one family.

• The family unit was governed by the eldest member, with branches following suit due to their relationship.

• As villages united to form a single society, the State emerged, embodying a perfected form of governance.

• Kinship ties through blood relations were pivotal in bringing families together, leading to societal structure and eventually the State.

2. Patriarchal Theory

• According to Patriarchal Theory, the eldest male descendant of the family played a crucial role in the origin and development of the State.
• Sir Henry Maine (1822-1888) supported the Patriarchal Theory, explaining in his book 'The Spirit of Laws' (1861) that the state evolved from the family just as a legitimate legal system arose from the uncontrolled autocracy of the family head (patria potestas).
• Under patria potestas, the eldest male parent held absolute authority over the family and household.
• By practicing polygamy, the patriarch expanded family ties, creating bonds based on kinship that eventually led to the formation of a state.
• The aggregation of families resulted in the establishment of villages, which further extended to form tribes or clans, culminating in the creation of a State.

3. Matriarchal Theory

• Matriarchal Theory is supported by political thinkers like McLennan and Edward Jenks.
• In primitive times, patriarchal families were believed to be absent.
• Polyandry, where a woman had multiple husbands, was considered the highest authority in households.
• McLennan referred to mater familias as the martia potestas, indicating the mother's authority over family possessions.
• Edward Jenks studied primitive tribes in Australia and noted that they were organized into totem groups based on common symbols, not blood relations.

Evolution to Patriarchal Society:

• Over time, with the advent of the pastoral stage in human civilization, matriarchal societies transitioned into patriarchal societies.

Criticism of Matriarchal and Patriarchal Theories:

• Some critics argue that political authority in a state is based on choice rather than inherent nature.
• The purpose and structure of a state differ significantly from that of a family.
• Rulers are selected based on status and competence, not solely on seniority.

4. Divine Theory

• According to the Divine Theory, the state is established and governed by God or some superhuman power, the King acting as His agent along with religious scriptures.
• Political thinkers like James I (1566-1625) and Sir Robert Filmer (1588-1653) subscribed to this theory.
• Individuals are expected to obey and support a ruler with a moral status equivalent to God, thus adding a moral character to state functions.
• Laws enforced with religious backing were more appealing to primitive societies, encouraging obedience to the king's authority.
• Hindus, Christians, Muslims, Jews, and followers of other faiths believe in the divine sanction of political authority.
• Hinduism regards King Rama and King Krishna as divine incarnations, while Islamic states uphold the rule of God (Allah) on earth and Christianity attributes political theory's origin to God's will.

5. Social Contract Theory

• The Social Contract Theory explains that the State originates from a mutual agreement among people to form a State.
• Thomas Hobbes, John Locke, and Jean Jacques Rousseau are the key philosophers behind this theory.
• Individuals entered into a social contract to escape the pre-political state of society.
• This theory underpins modern democracy and emphasizes obedience to political authority based on people's consent.
• The state of nature is described as the pre-civilization condition of mankind.

Thomas Hobbes

• Hobbes described the state of nature as a period of constant struggle characterized by selfishness and conflict.
• Individuals entered into a social contract to establish a state for securing their natural rights.
• The sovereign, who was typically the King, was granted authority by the people under this contract.
• Hobbes believed in an all-powerful sovereign to maintain law, order, and security in society.
• He did not allow for the right of revolt against the sovereign, except in extreme circumstances.

John Locke

• Locke's state of nature was peaceful and ensured natural rights of life, liberty, and property.
• He introduced the idea of limited government, where rulers' powers were restricted and subject to change by the people.
• Contrary to Hobbes, Locke believed in government authority deriving from the consent of the community.
• Locke advocated for a form of limited monarchy where the ruler served as a trustee of the people.
• If the ruler abused power, Locke supported the right of the people to revolt and change the ruler.

Jean Jacques Rousseau

• Rousseau's concept of the social contract emphasized the general will of the people creating the State.
• He viewed the state of nature as a time of happiness that deteriorated due to societal complexities.
• Individuals formed a social contract to maintain their natural rights under the general will, not under a ruler.
• Rousseau considered the general will of the people as sovereign, leading to direct democracy.
• He believed that government should act as a tool to execute the popular will, with no room for revolt in his theory.

Elements of a State

1. Population

• The state is formed by the people living there, making population an essential element.
• People create and sustain the state, maintain resources, inhabit the land, and establish the Government.
• Plato recommended 5040 citizens for an ideal state, while Aristotle emphasized a balance in population size for convenience and security.
• Stephen Leacock highlighted the need for a population size that can support the state organization effectively.
• Populations can be homogeneous or heterogeneous concerning race, religion, language, or culture, as seen in countries like India, the USA, and Canada.

2. Territory

• A state is a territorial institution, recognized by its fixed territory and population.
• This fixed territory gives the state a physical identity under municipal and international law.
• Territory refers to a geographical area owned and controlled by a government for exercising state sovereignty.
• It includes land, internal waters, territorial sea, and the airspace above, along with resources like agriculture, minerals, and more.
• Territory forms the physical foundation of a state, essential for its existence and jurisdiction.

Importance of Territorial Features

• Size and form of government: Aristotle and Montesquieu emphasized the relationship between state size and suitable governance.
• Diversity in state sizes: States vary greatly in demographic and territorial dimensions.
• Territorial characteristics: States may lack geographical unity but still constitute a single territorial entity.
• Essential criteria: States require exclusive jurisdiction over a defined territory with territorial contiguity.
• Modern state characteristics: All contemporary states operate within specific territorial limits.

3. Government

• Government is the political and administrative organ of a State.
• The state functions through its government, which comprises legislative, executive, and judicial activities.
• It encompasses internal bodies and sub-state governing authorities like Municipal Corporations, Municipal Councils, Panchayats, and Gram Sabhas in India.
• The government provides services such as defence, foreign relations, taxation, infrastructure development, and social welfare.
• It ensures law enforcement to maintain order, peace, and security within the state.

4. Sovereignty

• Sovereignty is the key factor that sets a state apart from other groups.
• For a state to exist, it must have sovereignty. This is crucial.
• Internal sovereignty means that the people in the state obey its authority without question.
• The state is supreme in its internal affairs, making and enforcing laws that apply to all citizens.
• A state can use legitimate force within its borders, a right exclusive to states.
• Despite challenges like revolts or attacks, a state can survive as long as it maintains legitimate sovereignty.
• External sovereignty involves a state being free from external control.
• A state should be equal to others, with the freedom to make its laws and foreign policies independently.
• International recognition is now vital for states, indicating acceptance by other states of a state's sovereignty over its territory and people.

Role of a State

• Political thinkers have differing views on the role of the state. Professor MacIver sees the state as an instrument of social man, emphasizing its lack of a fixed form.
• Functions of the state are interpreted diversely, with some viewing it as a moral institution while others perceive it as an evil entity.
• MacIver identifies various conceptions of the state, such as class organization, legal institution, mutual insurance agency, necessary evil, welfare system, and more.
• Andrew Heywood categorizes the state's role based on fulfilling responsibilities versus leaving them to private individuals.

 1. Minimal States

• Political thinkers associated with this approach: John Locke, Jeremy Bentham, J. S. Mill, Herbert Spencer, Robert Nozick, Friedrich Von Hayek, Milton Friedman.
• Ensure the widest possible individual liberty with a laissez-faire (‘let it be’ or ‘leave it alone’) approach to the economy.
• The state's role is to protect individuals from interference in their liberty and ensure voluntary and free transactions between private individuals.
• John Locke’s theory: ‘state acts as a night watchman’ whose services are called upon when orderly existence is threatened.
• Minimal states play a minimum role in interfering with the social and economic life of the subjects.

2. Developmental States

• Characterized by strong state intervention, extensive regulation, and planning.
• The term ‘developmental state’ describes the state's essential role in harnessing national resources and directing incentives through a distinctive policy-making process.
• Chalmers Johnson defined the developmental state as a state focused on economic development and taking necessary policy measures to accomplish that objective.

3. Social Democratic States

• Viewed by modern liberals and democratic socialists.
• Functions on the principle of fairness, equality, and equal distribution of wealth to achieve social, political, and economic justice, equality, and empowerment of its people.
• Considered necessary to promote economic growth and social well-being of its people.

4. Collectivized States

• Undertake control of economic life by bringing common ownership of all economic resources under their control for the welfare of all.
• The state makes laws to control the private property of their citizens.
• Example: People’s Republic of China.
• The state provides food, shelter, employment, and citizens must not act against government policies.

5. Totalitarian States

• Philosophers like Hegel and dictators such as Hitler and Mussolini held that the state must have absolute powers and individuals have no right against the state.
• The state can do no wrong and the whole life of an individual is within the jurisdiction of the state.

6. Modern Welfare State

The state works for the welfare of the people in the following ways:

• Maintenance of law and order, establishment of justice, defense, public security, and foreign relations.
• Provision of public health, sanitation, water supply, transport, communication systems, power, and essential commodities.
• Control of banking, currency, inflation, and prices.
• Social security for old age people, widows, orphans, and disabled, and protection of workers by regulating minimum wages and pensions.
• Encouragement of art, literature, scientific research, and cultural exchanges to increase cultural unity and harmony.