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Definitions
What is a state? Definitions proliferate. Modern scholarship often shows the influence of Max Webers definition
of the state as a specific type of political organization:
A ruling organization shall be called a political organization if and insofar as its existence and the
effectiveness of its order within a specifiable geographical area are continuously safeguarded by the
application and the threat of physical coercion on the part of the administrative staff. A continuously
operating compulsory political organization shall be called a state if and insofar as its administrative staff
successfully claims the monopoly of legitimate physical coercion in the implementation of its order.1
Webers emphasis on regulation and coercion, anchored in a distinct and differentiated organization as defining
characteristics of the state, is echoed in more recent definitions. For instance, Stephen Sanderson regards the
state as a form of sociopolitical organization that has achieved a monopoly over the means of violence within a
specified territory, while conceding that the notion of monopoly has to be treated with caution. Charles Tilly
specifies priority rather than monopoly in defining states as coercion-wielding organizations that are distinct from
households and kinship groups and exercise clear priority in some respects over all other organizations within
substantial territories.2 It is worth noting, however, that Weber speaks very specifically of a claim to legitimate
force in the enforcement of state rules, and does not envision an effective monopoly on physical coercion per
se.3 In this regard, his approach fits the situation of early states with their diffused coercive capabilities better than
is sometimes realized.
(p. 6) Michael Mann combines the element of coercion with those of rule making and territorial control: The state
is a differentiated set of institutions and personnel embodying centrality, in the sense that political relations radiate
outward to cover a territorially demarcated area, over which it claims a monopoly of binding and permanent rulemaking, backed up by physical violence.4
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Origins
This section focuses on three issues: the relationship of states to less complex forms of organizations, global
trends in the emergence of states, and the specific causes underlying the original creation of states.
The state has long been placed in an evolutionary sequence from small and simple to larger and complex. Different
labels have been applied to different levels of organizational complexity: where Elman Service speaks of bands,
tribes, chiefdoms, and states, Fried thinks in terms of egalitarian, ranked, and stratified societies.22 These
categories do not properly match: though bands may be egalitarian, tribes as well as chiefdoms may be ranked,
and chiefdoms as well as states are stratified. Allen Johnson and Timothy Earle have more recently preferred a
taxonomy of family-level groups (consisting of foragers), local groups (in the form of villages, clans, and Big Man
collectivities), and regional polities (such as simple and complex chiefdoms, and archaic and agrarian states).23
There is now broad agreement that such schemes, in whichever way they are articulated, must not be understood
as tracking a natural progression, with simpler groups necessarily developing into more complex ones; nor that
there is only a single line of development; nor that development is always unidirectional. Multilinear evolution has
become the dominant concept.24
Even so, the conceptualization of formations at different levels of complexity remains useful, if only as ideal types.
In the most general terms, bands and tribes, or family-level and local groups, are characterized by small size,
informal leadership, and low economic development. Tribes can best be defined as groups that create social roles
by ascribing social importance to kinship, constituting political communities that are anchored in (imagined)
descent groups in that they rely on the notion of shared descent for political integration.25 Observing that the
earliest states do not appear to have developed out of tribes, or indeed that tribal groups do not appear to have
played any significant role in this process, Patricia Crone interprets tribal organization as an alternative rather than
a direct precursor to the state: it was only when states became dominant that tribes were absorbed into them or
adopted state organization as a competitive strategy.26
(p. 10) Chiefdoms, by contrast, are much more closely linked to the emergence of the state. As their size could
exceed that of small states, it is particularly important to identify structural features that permit demarcation.27 The
defining criteria of the chiefdom is the absence of a state apparatus (a negative, retrospective criterion) as well as
a propensity to fission, a feature it shares with lower-complexity entities: thus, Claessen and Skalnk define
chiefdoms as socio-political organizations with a centralized government, hereditary hierarchical status
arrangements with an aristocratic ethos but no formal, legal apparatus of forceful repression, and without the
capacity to prevent fission.28
By developing the feature of governmental centralization, chiefdoms are commonly seen as an essential precursor
to the state, whichas noted in the previous sectionshares this feature but expands it into more elaborate
administrative structures and more stable territoriality.29 Fission is a (horizontal) response to scalar stresscaused
by decision making among too many unitswhereas superordination to hierarchy is a (vertical) alternative. The
state can be defined as a means to restrain fission.30
Fission may become less likely with overall development, both because of circumscription (see below) and
because of infrastructural consequences of sedentarism.31 And indeed, in the most general terms, the appearance
of states was a function of overall levels of socioeconomic development that was in turn shaped by fundamental
ecological circumstances. As ecological conditions stimulated responses in terms of demography, nutrition, and
technology, later developments occurred within these constraints, with geography, flora, fauna conferring specific
advantages in certain areas, giving them a head start. Broadly speaking, therefore, those parts of the globe that
first developed agriculture were also the first to experience the rise of states: priority in agrarian development
translated to priority in state creation. This was ultimately a function of the increase in population size and density,
surplus production, and organizational demands facilitated by sedentary farming. Agriculture thus served as a
precondition for the emergence of states as centralized political organizations governing territory: a settled
lifestyle created demand for control of territory and food storage, both of which can be linked to division of labor
and resource extraction. It was therefore not by coincidence that the earliest states appeared in the Fertile
Crescent, followed by the Indus Valley, the fringes of the Central Plain of China, and later central Mesoamerica and
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Categories
Beyond sharing the basic features laid out in the opening section, states have historically varied so much that
many attempts have been made to classify them according to different sets of criteria. Some scholars have
focused on administrative structure, ranging from simple binary definitions to more elaborate schemes. Thus,
Weber maintains that all states may be classified according to whether they rest on the principle that the staff of
men themselves own the administrative means, or whether the staff is separated from these means of
administration; in other words, whether they were patrimonial or bureaucratic in nature.59 However, there is no
clear boundary between the two, and early bureaucratic systems retained strong patrimonial elements.60
A much more complex taxonomy based on structure has been developed by Claessen and Skalnk for their type of
the early state, which occurred in inchoate, typical, and transitional varieties. In the first type, kinship and
community ties still dominated relations in the political field; specialists were rare; taxation was primitive or ad hoc;
close contacts and reciprocity existed between rulers and ruled. In the typical phase, kinship ties were
counterbalanced by territorial ones; appointment counterbalanced heredity of office; nonkin officeholders were
more important; but redistribution and reciprocity were still dominant. At the transitional stage, appointed officials
had come to dominate; kinship influences were marginalized; and prerequisites for market economy and classes
existed.61 While the early state appears to have been based on concepts of reciprocity and genealogical
distance from the ruler, with development, ideological components weakened and managerial and redistributive
aspects became more dominant. The early state is thought to have ended when state ideology ceased to (p.
15) be based on the concepts of the rulers supernatural power or perpetuating reciprocal obligations.62
Others prefer morphological characteristics. Thus, at the earliest stage of state formation, Trigger recognizes only
two types of states, namely city-states and territorial states, the former representing an urban center and its
hinterland (usually embedded in a group of interacting polities) and the latter larger entities with multiple
administrative centers that were dominated by residents linked to the state. The territorial state is perceived as
different fromand developing intothe type of regional kingdom that was characterized by more unfettered
urbanism.63 In a similar vein, Ernest Gellner and Anthony Giddens favor a fundamental distinction between citystates and large agrarian empires.64
Shmuel Eisenstadt, by contrast, reckons with five basic types of premodern states that combine structural and
morphological features: patrimonial empires, nomad or conquest empires, city-states, feudal states, and what he
terms historical bureaucratic empires. For him the main difference lies between the last one and all others,
determined by different levels of centralization.65 However, as nomad empires were either patrimonial or
bureaucratic, they may not constitute a separate type, although they may have been special in terms of their
capacity for collective action.66 By contrast, Finer proposes four types of statescity-states, generic states,
national states, and empires. The generic state is his equivalent of the territorial state (or toponymic or
country-state), which he sees as an antonym not to the city-state but to purely feudal systems.67 (Hansen
likewise objects to the term territorial state because all states that were not nomadic had a territory; he prefers
country-state or macro-state.68 ) Alternatively or simultaneously, Finer classifies states depending on the
degree of centralization and standardization of administration and cultural homogeneity: this yields four possible
permutations, namely states that score high in both areas, or in just one, or in neither.69 John Kautsky, on the other
hand, regards the distinction between (traditional) aristocratic empires and commercialized empires as the
70
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City-States
The city-state represents in many ways a counterpoint to agrarian empires, not just in terms of size but also in
terms of internal structure.156 It is the best-knownalbeit not onlyform of the micro-state.157 Defined as small,
territorially based, politically independent state systems, characterized by a capital city or town, with an
economically and socially integrated adjacent hinterland, city-states usually occurred in clusters, often but not
always as fairly evenly spaced units of comparable size.158 Our understanding of the city-state as a state type has
been greatly enhanced by the comparative assessment of thirty-five city-state cultures initiated by Hansen.159
Systematic consideration of the global evidence enables Hansen to develop an ideal type (rather than a strict
definition) of the city-state:
a highly institutionalised and highly centralised micro-state consisting of one town (often walled) with its
immediate hinterland and settled with a stratified population, of whom some are citizens, some foreigners,
and, sometimes, slaves. Its territory is mostly so small that the urban centre can be reached in a days
walk or less, and the politically privileged part of its population is so small that (p. 31) it does in fact
constitute a face-to-face society. The population is ethnically affiliated with the population of neighbouring
city-states, but political identity is focused on the city-state itself and based on differentiation from other
city-states. A significantly large fraction of the population is settled in the town []. The urban economy
implies specialisation of function and division of labor to such an extent that the population has to satisfy a
significant part of their daily needs by purchase in the citys market. The city-state is a self-governing but
not necessarily an independent political unit.160
This synthetic characterization avoids excessive dependence on specific kinds of city-states that have loomed
large in scholarship, most notably the Greek polis and the city-states of medieval Italy.161 It also makes it
unnecessary to adopt the extreme emic position of abandoning the term city-state in favor of specific indigenous
designations.162
The origin of city-states is as uncertain as that of the earliest states in general.163 Cross-cultural study yields no
single reason for their existence: contributing factors include geopolitical circumstances, economic conditions
(such as interstitial positions between macro-states), chronological precedence or simultaneity of urbanism
over/with state formation, and devolution.164 Although state creation without urbanism is not unheard of, most early
states boasted cities, which suggests a close link between urbanization and the rise of the state.165 In other words,
the presence of cities does not distinguish city-states from territorial states. According to one line of thought, the
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References
Abu-Lughod, J. L. 1989. Before European hegemony: The world systemA.D.12501350. New York.
Adams, J. 2005. The familial state: Ruling families and merchant capitalism in early modern Europe. Ithaca, NY.
(p. 48)
Alcock, S. E., T. D. DAltroy, K. D. Morrison, and C. M. Sinopoli, eds. 2001. Empires: Perspectives from archaeology
and history. New York.
Alesina, A., and E. Spolaore. 2005. The size of nations. Cambridge, MA.
Algaze, G. 1993. The Uruk world system: The dynamics of expansion of early Mesopotamian civilization.
Chicago.
Amin, S. 1976. Unequal development: An essay on the social formations of peripheral capitalism. New York.
. 1991. The ancient world systems versus the modern capitalist world system. Review 14: 349385.
Anderson, B. 1991. Imagined communities: Reflections on the origin and spread of nationalism. Rev. ed. London.
Anderson, G. 2009. The personality of the Greek state. Journal of Hellenic Studies 129: 122.
Andreski, S. 1968. Military organization and society. 2nd ed. Berkeley.
Artzrouni, M., and J. Komlos. 1996. The formation of the European state system: A spatial predatory model.
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Bandy, M. S. 2004. Fissioning, scalar stress, and social evolution in early village societies. American
Anthropologist 106: 322333.
Bang, P. F. 2003. Rome and the comparative study of tributary empires. Medieval History Journal 6: 189216.
. 2007. Trade and empirein search of organizing concepts for the Roman economy. Past and Present
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. 2008. The Roman bazaar: A comparative study of trade and markets in a tributary empire. Cambridge.
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, eds. 2011. Tributary empires in global history. Basingstoke.
Bang, P. F., C. Bayly, and W. Scheidel, eds. Forthcoming. The Oxford world history of empire. New York.
Barbera, H. 1998. The military factor in social change. 2 vols. New Brunswick, NJ.
Beaujard, P. 2005. The Indian Ocean in Eurasian and African world-systems before the sixteenth century. Journal
of World History 16: 411465.
Blanton, R., and L. Fargher. 2008. Collective action in the formation of pre-modern states. New York.
Blanton, R., S. A. Kowalewski, and G. Feinman. 1992. The Mesoamerican world-system. Review 15: 418426.
Blanton, R. E. 1998. Beyond centralization: Steps toward a theory of egalitarian behavior in archaic states. In
Feinman and Marcus, eds. 1998: 135172.
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Notes:
(1.) Translated by the author from Weber 1980, 29. The conventionally quoted English translation in Weber 1978,
55 is imprecise.
(2.) Sanderson 1999, 56; Tilly 1992, 1. Cf. Adams 2005, 13.
(3.) According to Weber 1980, 30 = 1978, 56 and 1980, 822, only the modern state may successfully claim a
monopoly on legitimate violence per se.
(4.) Mann 1986a, 37. Territoriality is a central feature of his definition of the state; see below, in the section on
Properties.
(5.) Haldon 1993, 3233; Hansen 2000a, 13; Goldstone and Haldon 2009, 6. Tilly 1975, 70; Morris 1991, 4041.
(6.) Carneiro 1970, 733; Cohen 1978, 69. For micro-states, see below, in the penultimate section.
(7.) Claessen and Skalnk 1978c, 640. For their concept of the early state, see below, in the third and fourth
sections.
(8.) For the latter, see below, in the following section.
(9.) Fried 1967, 229; Brumfield 1994, 1; Wright 1978, 56.
(10.) Finer 1997, 23.
(11.) Poggi 1990, 23, 25.
(12.) Van Creveld 1999, 1. Cf. also Vincent 1987, 1113, questioning the modern state-ness of the Greek polis.
(13.) Cf. Hansen 2000a, 1214.
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