The State: Its History and Development Viewed Sociologically

by Franz Oppenheimer

[N] How characteristic of these relations it is that Great Britain, the only “maritime state” of Europe, even at this present day will not surrender the right to arm privateers.

Let us first consider the inner or socio-psychological causes of this contrast between the territorial and the maritime state.

States are maintained by the same principle from which they arise. Conquest of land and populations is the ratio essendi of a territorial state; and by the repeated conquest of lands and populations it must grow, until its natural growth is checked by mountain ranges, desert, or ocean, or its sociological bounds are determined by contact with other states of its own kind, which it can not subjugate. The maritime state, on the other hand, came into being from piracy and trade; and through these two means, it must strive to extend its power. For this purpose, no extended territory need be absolutely subjected to its sway. There is no need to carry its development beyond the first five stages. The maritime states rarely, and only when compelled, proceed beyond the fifth stage, and attain to complete intra-nationality and amalgamation. Usually, it is enough if other sea nomads and traders are kept away, if the monopoly of robbery and trade is secured, and if the “subjects” are kept quiet by forts and garrisons. Important places of production are, of course, actually “dominated”; and this applies especially to mines, to a few fertile grain belts, to woods with good lumber, to salt works, and to important fisheries. Domination here, therefore, means permanent administration, by making the subjects work these for the ruling class. It is only later in the development, that there arises a taste for “lands and serfs” and large domains for the ruling class beyond the confines of the narrow and original limits of the State. This happens when the maritime state by the incorporation of subjugated territories has become a mixture of the territorial and the maritime forms. But even in that case, and in contradistinction to territorial states, large landed properties are merely a source of money rentals, and are in nearly all cases administered as absentee-property. This we find in Carthage and in the later Roman Empire.

The interests of the master class, which in the maritime state as well as in every other state, governs according to its own advantage, are different from those in the territorial state. In the latter the feudal territorial magnate is powerful because of his ownership of lands and people; while conversely, the patrician of the maritime city is powerful because of his wealth. The territorial magnate can dominate his “State” only by the number of men-at-arms maintained by him, and in order to have as many of these as possible, he must increase his territory as much as possible. The patrician, on the other hand, can control his “state” only by movable wealth, with which he can hire strong arms or bribe weak souls; such wealth is won faster by piracy and by trade than by land wars and the possession of large estates in distant territories. Furthermore, in order thoroughly to use such property, he would be obliged to leave his city to settle down on it, and to become a regular squire; because in a period when money has not yet become general, where a profitable division of labor between town and country has not yet come about, the exploitation of large estates can only be carried on by actually consuming their products, and absentee ownership as a source of income is inconceivable. Thus far, however, we have not reached that portion of the development. We are still examining primitive conditions. No patrician of any city-state would, at this time, think of leaving his lively rich home, in order to bury himself among barbarians, and thus with one move cut himself off in his state from any political rôle. All his economic, social and political interests impel him with one accord toward maritime ventures. Not landed property, but movable capital, is the sinew of his life.

These were the moving causes of the actions of the master class in the maritime cities; and even where geographical conditions permitted an extensive expansion beyond the adjoining hinterland of these cities, they turned the weight of effort toward sea-power rather than toward territorial growth. Even in the case of Carthage, its colossal territory was of far less importance to it than its maritime interests. Primarily it conquered Sicily and Corsica more in order to check the competition of the Greek and Etruscan traders than for the sake of owning these islands; it extended its territories toward the Lybians largely to insure the security of its other home possessions; and finally, when it conquered Spain, its ultimate reason was the need of owning the mines. The history of the Hansa shows many points of similarity to the above. The majority of these maritime cities, moreover, were not capable of subjugating a large district. Even had there been the will to conquer, there were extraneous, geographical conditions that hindered. All along the Mediterranean, with the exception of some few places, the coastal plain is extremely narrow, a small strip fenced off by high mountain ranges. That was one cause which prevented most of the states grouped about some trading harbor from growing to anything like the size we should naturally assume to be probable; while in the open country, ruled by herdsmen, and this very early, immense realms came into being. The second cause for the small beginnings of these states is found in this, that the hinterland whether in the hills or on the few plains of the Mediterranean was occupied by warlike tribes. These tribesmen, either hunters or warlike herdsmen, or else primitive feudal states of the same master race as the sea nomads, were not likely to be subjugated without a severe contest. Thus in Greece the interior was saved from the maritime states.

For these reasons the maritime State, even when most developed, always remains centralized, one is tempted to say centered, on its trading harbor; while the territorial State, strongly decentralized from the start, for a long time continues to develop as it expands a still more pronounced decentralization. Later, we shall see how this is affected by the adoption of those forms of government and of economic achievement which first were perfected in the “city-state,” and which thus obtained the strength to counteract the centrifugal forces, and to build up the central organization which is characteristic of our modern states. This is the first great contrast between the two forms of the State.

No less decisive is the second point of contrast, whereby the territorial State remains tied up to natural economies as opposed to money economies, toward which the maritime State quickly turns. This contrast grows also out of the basic conditions of their existence.

Wherever a State lives in natural economy, money is a superfluous luxury—so superfluous that an economy developed to the use of money retrogrades again into a system of payments in kind as soon as the community drops back into the primitive form. Thus after Charlemagne had issued good coins, the economic situation expelled them. Neustria—not to mention Austrasia—under the stress of the migration of the peoples reverted to payment in kind. Such a system can well do without money as a standard of values, since it is without any developed intercourse and traffic. The lord’s tenants furnish as tribute those things that the lord and his followers consume immediately; while his ornaments, fine fabrics, damascened arms, or rare horses, salt, etc., are procured in exchange with wandering merchants for slaves, wax, furs and other products of a warlike economic system of exchange in kind.

In city life, at any advanced stage of development, it is impossible to exist without a common measure of values. The free mechanic in a city can not, except in rare cases, find some other craftsman in need of the special thing which he produces, prepared to consume it immediately. Then, too, in cities the inevitable retail trade in food products, where every one must purchase nearly everything required, makes the use of coined money quite inevitable. It is impossible to conduct trade in its more limited sense, not between merchant and customers, but between merchant and merchant, without having a common measure of value. Imagine the case of a trader entering a port with a cargo of slaves, wishing to take cloth as a return cargo, and finding a cloth merchant who at the time may not want slaves but iron, or cattle, or furs. To accomplish this exchange, at least a dozen intermediate trades would have to take place before the object could be achieved. That can be avoided only if there exists some one commodity desired by all. In the system of payment in kind of the territorial states this may be taken by cattle or horses, since they may be used by any one at some time; but the ship owner can not load with cattle as a means of payment, and thus gold and silver become recognized as “money.”