Instituto de Estudios Políticos y Derecho Público "Dr. Humberto J. La Roche"
de la Facultad de Ciencias Jurídicas y Políticas de la Universidad del Zulia
Maracaibo, Venezuela
Esta publicación cientíca en formato digital es continuidad de la revista impresa
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197402ZU34
ppi 201502ZU4645
Vol.41 N° 79
Octubre
Diciembre
2023
Recibido el 11/09/23 Aceptado el 19/10/23
ISSN 0798- 1406 ~ De pó si to le gal pp 198502ZU132
Cues tio nes Po lí ti cas
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de Es tu dios Po lí ti cos y De re cho Pú bli co “Dr. Hum ber to J. La Ro che” (IEPDP) de la Fa-
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ción, dis cu sión y con fron ta ción de las ideas y avan ces cien tí fi cos con com pro mi so so cial.
Cues tio nes Po lí ti cas apa re ce dos ve ces al año y pu bli ca tra ba jos ori gi na les con
avan ces o re sul ta dos de in ves ti ga ción en las áreas de Cien cia Po lí ti ca y De re cho Pú bli-
co, los cua les son so me ti dos a la con si de ra ción de ár bi tros ca li fi ca dos.
ESTA PU BLI CA CIÓN APA RE CE RE SE ÑA DA, EN TRE OTROS ÍN DI CES, EN
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Po li ti cal Scien ce, Re vencyt, His pa nic Ame ri can Pe rio di cals In dex/HAPI), Ul ri ch’s
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nes Cien tí fi cas y Tec no ló gi cas Ve ne zo la nas del FO NA CIT, La tin dex.
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M. C
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Vol. 41, Nº 79 (2023), 244-252
IEPDP-Facultad de Ciencias Jurídicas y Políticas - LUZ
Historical and legal characteristics
of main scientic concepts of
origin of the State
DOI: https://doi.org/10.46398/cuestpol.4179.16
Yuliia Zaporozhchenko *
Halyna Tatarenko **
Andrii Fomin ***
Oleksandr Mezeria ****
Mykhailo Antonenko *****
Abstract
The aim of the research is the historical and legal characteristics
of the main scientic concepts of the origin of the state. The opinions
of scientists were analyzed and a conclusion was made about the
variety of concepts related to the emergence and formation of the
state. It was shown that the main concepts (theories) of the origin
of the state include: theological, organic, patriarchal, psychological, class,
violence theory, oligarchic, racial, cosmic, etc. The following methods were
used in the research: analysis of biographical sources, synthesis, deduction,
comparative analysis and meta-analysis, etc. It was concluded that in
modern legal science there are various theories explaining the process of
the emergence of the state from dierent positions. The list of scientic
concepts we considered is not exhaustive, but with the development of legal
science it can be expanded and supplemented with new content. Having
considered the main theories of the origin of the state, we can come to
the conclusion that it is impossible to state unequivocally which of these
theories is absolutely correct. Each of the theories deserves attention and
aection, each of them has its positive and rational points.
Keywords: history of the state; scientic concept; political theory; origin
of the state; historical formation.
* Doctor of Historical Sciences, Associate Professor, Department of History and Theory of State and Law,
University of Customs and Finance, Dnipro, Ukraine. ORCID ID: https://orcid.org/0000-0002-1303-
0693. Email: yulyabar@ukr.net
** PhD., Professor, Head of the Department of Constitutional Law – Law Faculty, Volodymyr Dahl East
Ukrainian National University, Kyiv, Ukraine. ORCID ID: https://orcid.org/0000-0001-6291-4455.
Email: tatarenko@snu.edu.ua
*** PhD., Associate Professor, Department of History and Archeology, Volodymyr Dahl East Ukrainian
National University, Kyiv, Ukraine ORCID ID: https://orcid.org/0000-0001-9565-3706.
Email: an.f@i.ua
**** PhD., Associate Professor, Law Faculty, Volodymyr Dahl East Ukrainian National University, Kyiv,
Ukraine. ORCID ID: https://orcid.org/0000-0002-0610-3508. Email: mezeria@snu.edu.ua
***** PhD., Associate Professor, Law Faculty, Volodymyr Dahl East Ukrainian National University, Kyiv,
Ukraine. ORCID ID: https://orcid.org/0000-0003-3725-0225. Email: antonenko@snu.edu.ua
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CUESTIONES POLÍTICAS
Vol. 41 Nº 79 (2023): 244-252
Características históricas y jurídicas de los principales
conceptos cientícos del origen del Estado
Resumen
El objetivo de la investigación son las características históricas y jurídicas
de los principales conceptos cientícos sobre el origen del Estado. Se
analizaron las opiniones de los cientícos y se llegó a una conclusión sobre
la variedad de conceptos relacionados con el surgimiento y la formación
del Estado. Se demostró que los principales conceptos (teorías) del origen
del Estado incluyen: el teológico, el orgánico, el patriarcal, el psicológico,
el de clase, la teoría de la violencia, la oligárquica, la racial, la cósmica, etc.
Los siguientes métodos se utilizaron en la investigación: análisis de fuentes
biográcas, síntesis, deducción, análisis comparativo y metaanálisis, etc. Se
concluyó que en la ciencia jurídica moderna existen diversas teorías que
explican el proceso de aparición del Estado desde diferentes posiciones.
La lista de conceptos cientícos que consideramos no es exhaustiva, pero
con el desarrollo de la ciencia jurídica puede ampliarse y complementarse
con nuevos contenidos. Habiendo considerado las principales teorías sobre
el origen del Estado, podemos llegar a la conclusión de que es imposible
armar de forma inequívoca cuál de estas teorías es absolutamente correcta.
Cada una de las teorías merece atención y cariño, cada una de ellas tiene sus
puntos positivos y racionales.
Palabras clave: historia del Estado; concepto cientíco; teoría política,
origen del Estado; formación histórica.
Introduction
To date, there is a plurality of theoretical views on the process of the
emergence of the state, its concepts and its purposes. This diversity is
conditioned rst of all by historical features. Concepts of the origin of
the state developed at dierent times are based on dierent amounts
of accumulated knowledge, various philosophical preferences, they
are oriented towards certain categories of the population, depend on
geographical features, economic development, etc., and that is why they
cannot be considered universal and unied. Understanding of the modern
state prompts to a general theoretical analysis of the scientic concepts of
state origin presented in literature sources.
Emergence of the state is a historical, long process that took place
over centuries and even millennia. The up-to-date literature presents
a suciently large number of various concepts of state origin, which
reect the attitude, own imagination of their founders on formation and
development of state organization.
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Yuliia Zaporozhchenko, Halyna Tatarenko, Andrii Fomin, Oleksandr Mezeria y Mykhailo Antonenko
Historical and legal characteristics of main scientic concepts of origin of the State
Artists of dierent eras expressed their own opinions, substantiated
their statements about the process of state emergence, and insisted that
their theory was the best.
The purpose of the research is historical and legal characteristics of
main scientic concepts concerning origin of the state
1. Literature review
Scientists has begun to deal with the issue of researching scientic
theories of state emergence since long ago, however, this problem is still
relevant in our time. Concepts of state origin were considered by such
present day scientists as Halaburda Nadiia, Chalavan Viktor, Yemov
Volodymyr, Yemova Inna etc. (Halaburda et al., 2021).
Theories of state emergence are based on the generalization of the
causes and consequences of the origin. As noted by O.M. Balynska, theory
is abstract reasoning, a set of scientic propositions, which, however, arise
from causes, explain their consequences, and even suggest the variability
of consequences in the event of a change in one of the factors (Balynska,
2010).
The main reasons for emergence of the state are: the need to improve
management of society which is related to the development of production
and the division of labor; the need to maintain order in society; emergence
of an objective possibility to nancially support a class of people who are
not engaged in physical labor; the need to protect the territory and conduct
wars; the need to suppress socially heterogeneous groups of society; the
need to organize large public works (Katkova, 2014).
Correlation between the causes and theories of the origin of states
reveals mutual connection between these concepts, but it is inappropriate
to talk about their mutual dependence (theories originate from the causes,
are based on their analysis, and give an explanation of their consequences)
(Balynska, 2010).
It is impossible to consider the state origin concept without paying
attention to the modern denition of the concept of “state”. Thus, the state
is understood as an organization of political power that exercises eective
control over a certain territory and population, maintaining law and order
and possessing the prerogative to use coercion (Petryshyn, 2014).
According to I.M. Pohribnyi, state is a special form of organization
of society’s life activities on a territory dened by borders, which is
characterized by the presence of a system of management bodies, coercion
and the ability to issue universally binding rules of behavior - legal norms
(Pohribnyi, 2010).
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2. Materials and methods
The research is based on the works of foreign and Ukrainian researchers
on historical and legal characteristics of main scientic concepts concerning
state origin etc.
With the help of the epistemological method, the historical-legal
characteristics of the main scientic concepts of the state origin etc. were
claried, thanks to the logical-semantic method, the conceptual apparatus
was deepened, the historical-legal characteristics of the main state origin
concepts etc., were determined. Thanks to the existing methods of law, we
managed to analyze the essence of historical and legal characteristics of the
main scientic concepts concerning state origin etc.
3. Results and discussion
The rst concept of state origin is the Theological one, according to this
concept state is a consequence of a divine will. Ideas of the divine origin
of the state existed even in countries of the ancient world, but this theory
became widespread in the 12th and 13th centuries in the countries of
Western Europe.
In particular, in the laws of Hammurabi (the ancient Babylonian king
1792-1750 BC), he appears as the unlimited ruler of the peoples subject to
him; he received power and laws from the gods (Rudyk, 2016).
The theological theory is most vividly expressed in works of the early
Christian philosopher Augustine the Blessed (the 5th century) and works
of the famous Catholic theologian Thomas Aquinas (the 13th century).
(Krestovska, 2015). Relying on the Bible, F. Aquinas insisted on the eternity
and inviolability of the divine will, and justied any reactionary states. This
theory justied the unlimited monarch power, it reected some objective
realities of the Middle Ages, but it was not of a scientic nature (Rudyk,
2016).
To date, the theological theory of state origin is not very common in
European and American countries, but it is the ocial doctrine of the
Vatican, as well as Islamic countries, where religion has a state nature and
the main source of law is the holy book - the Koran.
In the 19th century H. Spencer gave a justication for the above theory
and pointed out that the will of a state is expressed in laws, the government
is identied with the brain, workers are dened as legs and arms, and
movements and connections are presented as nerves (Rudyk, 2016).
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Yuliia Zaporozhchenko, Halyna Tatarenko, Andrii Fomin, Oleksandr Mezeria y Mykhailo Antonenko
Historical and legal characteristics of main scientic concepts of origin of the State
The next theory presented by Aristotle, R. Filmer, M.K. Mykhaylovskyi,
M.M. Pokrovsky and others, is the patriarchal theory.
According to T.G. Katkova, the patriarchal theory means that the state
emerged from the patriarchal family as a result of its growth: family - a set
of families (settlement) - a set of settlements (a state) (Katkova, 2014).
The theory of violence founded by the ancient Chinese thinker Shang
Yang, the Austrian jurist L. Humplovych, German economist K. Kautsky
and the German philosopher E. Dühring is quite widespread among main
theories of state origin.
The theory of violence includes the theory of internal violence, which
states that the state arose as a result of violence of one social group against
others, and the theory of external violence, which sees the main reason for
state emergence as the conquest and enslavement of some tribes by others
(Petryshyn, 2014). Thus, in order to consolidate its dominance over others,
a tribe creates an apparatus of coercion, that is, a state.
When developing the theory of violence by taking into account the
demographic factor the up-to-date American anthropologist Robert
Carneiro determined the main cause of conicts between communities -
and this cause consists in limited resources. In the struggle for mastering
resources, and therefore for survival, the victory belonged to administratively
organized groups led by strong leaders (Rudyk, 2016).
Considering the theory of violence, we can agree that violent conquests
had a signicant impact on emergence of states during certain historical
periods. However, to date, one should also remember other factors (besides
military ones) that led to the formation of modern states (for example,
socio-economic factors, cultural factors, etc.).
The treaty theory of state origin also deserves attention. This theory is
represented by Epicurus, T. Hobbs, J. Locke, B. Spinoza, J.J. Rousseau and
others.
According to the treaty theory, emergence of a state is connected with
conclusion of a contract between individuals as a result of their awareness
of their urgent needs and interests.
In particular, the Greek philosopher Epicurus believed that the state and
law are the result of an agreement concluded between people in order to
ensure the common good, that is, mutual security (Rudyk, 2016).
However, the Treaty theory was substantiated in detail only in the 17th
- 18th centuries. The state was dened as the result of a social contract,
which is the product of a reasonable, conscious will of people to protect
their interests, the public good, and ensure natural and inalienable human
rights: property, freedom, security, etc. (Rudyk, 2016).
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According to T. Hobbes, people are equal by nature, but on the basis
of such equality, distrust arises. In addition, selshness, greed, fear and
ambition are inherent in humans. Therefore, the scientist concludes that as
long as people live without a general authority that keeps them on the basis
of fear, they are in a state of “war against all.” Therefore, natural rights give
rise to contradictions, which excites people to search for ways to solve such
contradictions.
In our opinion, concluding a contract alone is not enough for
establishment of a state. This process requires taking into account other
determinants that inuence formation of a state, including namely
economic, social, military determinants, etc.
The Psychological theory characterizes the state as a product of human
psyche development. Since it is inherent in some people to control others
(and, accordingly it is inherent in the latter to obey them, to be aware of
dependence on other persons), social power arises. At the same time, there
is always a category of people who, due to their psychological settings, take
a social position opposing the authorities and are able to show an aggressive
position towards the authorities. In order to restrain such mental principles
of individuals, a state is created (Pohribnyi, 2010).
This theory originated in Europe at the end of the 1830s. It was the period
when psychology began to form as an independent eld of knowledge,
experimental methods of research became widespread, and schools with
dierent interpretations of the psyche appeared. Ideas of these schools were
borrowed by representatives of legal science. Proponents of Psychological
theory tried to nd a universal cause that would make it possible to explain
the process of emergence of the state and law. Such proponents include H.
Tard, L.Y. Petrazhytskyi, F.F. Kokoshkin, M.M. Korkunov, O. Gierke and F.
Shtir-Zomlo and others.
Of course, the Psychological theory has the right to exist, however, in
our opinion, it is not a central theory in the process of state emergence,
since solely psychological patterns of human activity are not enough for
formation of a state.
Marx’s (class) theory occupies a special place in the analysis of theories
of the origin of the state. This theory is also called socio-economic,
materialistic, historical-materialistic theory. Representatives of this theory
are K. Marx, F. Engels, etc.
O.V. Petryshyn notes that the above-mentioned theory considers the
state as a result of historical progress caused by economic transformations.
A state arises as a result of social division of labor, emergence of a surplus
product, and inevitable growth of social conicts and contradictions. State
formation is connected with the need to restrain the oppressed class, its
exploitation by the ruling class (Petryshyn, 2014).
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Yuliia Zaporozhchenko, Halyna Tatarenko, Andrii Fomin, Oleksandr Mezeria y Mykhailo Antonenko
Historical and legal characteristics of main scientic concepts of origin of the State
N.M. Krestovska notes that the state and law arose simultaneously due
to emergence of private property and the resulting stratication of society
into classes (Krestovska, 2015).
In the 20th century the Oligarchic theory became widespread; it
was represented by the French political scientist Bernard Chanteboux.
According to this theory, emergence of a state is associated with natural
hierarchy / inequality in any social community (by physical strength,
intellectual abilities, etc.) (Krestovska, 2015).
The positive side of this theory consists in separation of the ruling elite
and creation of a certain management structure. However, the goal of state
organization is to satisfy interests and needs of all strata of population,
regardless of status, physical strength, intellectual abilities and any other
characteristics.
As noted by T.G. Katkova the Patrimonial theory means that the state
derives from the owner’s right to the land (patrimony). From the right to
own land, power automatically extends to the people who live on this land
(Katkova, 2014). This theory was represented by the Swiss thinker K.L.
Haller.
The Patrimonial theory diers in its logic, but, nevertheless, it anchors
the idea that power, just like land, belongs only to the ruler who owns,
manages and uses practically everything that is on the territory of the
country.
The Hydraulic (irrigation) theory connected emergence of the state with
transition to irrigated agriculture. According to K. Wittfogel introduction of
this type of agriculture alongside with the growth of agricultural production
created necessary organizational conditions for an extensive state apparatus.
Construction of irrigation facilities required strict centralized management
and subordination. This led to formation of a “managerial-bureaucratic”
class that conquered society (Mesopotamia, Egypt, India, China, etc.).
Conclusion
Thus, in modern legal science, a variety of theories explain the process
of state emergence from dierent positions. The list of scientic concepts
considered by us is not exhaustive, but with the development of legal science
it can be expanded and supplemented with new content.
Having considered the main theories of the origin of the state, we can
come to the conclusion that it is impossible to unequivocally state which of
these theories is absolutely correct. Each of the theories deserves attention
and aection, each of them has its positive, rational points, advantages,
251
CUESTIONES POLÍTICAS
Vol. 41 Nº 79 (2023): 244-252
however, on the other hand, each theory has certain inaccuracies and
therefore it can be at least partially refuted.
It has been established that the majority of present-day scientists believe
that the Hydraulic (irrigation) theory has only a local character - in areas
with a hot climate. But in fact, it can also be noted that construction of
irrigation facilities was a parallel process of the state formation process,
and even although formation of states was primary, the irrigation system
was the basis of life of the society of that period of time.
In our opinion, this Theological theory has both positive and negative
sides. On the one hand, the above-mentioned theory provides the state with
an element of sanctity and spirituality, it contributes to establishment of
order, stability, and harmony in the state and society, which contributes to
increasing the level of legal awareness of the population and raises prestige
of the state power. However, on the other hand, the theological theory is
based on belief in God, and therefore it is impossible to reconstruct it in the
absence of documentary evidence about the God.
It is emphasized that a positive feature of the Class theory is that the
state emerges as a result of the natural development of society, and the
most important factor in the emergence of the state consists in economic
development. In our opinion, economic conditions are important and
dominant in the process of state formation, however, one should not forget
about national, psychological, religious and other factors of state formation.
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KATKOVA, Tetiana Hennadiivna. 2014. The theory of the state and law: a study
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Yuliia Zaporozhchenko, Halyna Tatarenko, Andrii Fomin, Oleksandr Mezeria y Mykhailo Antonenko
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www.luz.edu.ve
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Esta revista fue editada en formato digital y publicada
en octubre de 2023, por el Fondo Editorial Serbiluz,
Universidad del Zulia. Maracaibo-Venezuela
Vol.41 Nº 79
