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INTRODUCTION TO POLITICAL
THEORY
Unit Structure
1.1 Objective
1.2 Introduction
1.3 Definition of political theory
1.4 Nature and scope of political theory
1.5 Approaches to the Study of Political Theory: Traditional
1.6 Approaches to the Study of Political Theory: Contemporary
1.7 Summary
1.8 Unit Questions
1.9 Reference
1.1 OBJECTIVE
To understand poli tical theory with its nature and scope with respect
to the contemporary world.
To learn idea of political theory through the approaches to the study
of Political theory.
To Understand the Traditional and Contemporary approach of
Political theory.
1.2 INTRODUCTION
Political theory in a broader sense discussed everything that is political in
nature. Political theory is a theory and science of politics, which constructs
the base of approaches through which political theory can understand.
Political theory can understand by methods and approaches. The
approaches are very important to study the objectivity behind it. Political
theory is concerned with political ideas, values and concepts, and the
explanation of prediction of political behaviour. There are two broad
branches of political theory; one is the traditional approach, with its value,
analytic, historical and speculative concerns. The other is the
contemporary approach, with its efforts to explain, predict, guide, research
and organize knowledge through the formulation of abstract models, and
scientifically testable propositions.
1.3 DEF INITION OF POLITICAL THEORY The terms 'polity', 'politics' and 'political' are derived from the Greek word
'polis' which denoted ancient Greek city -state. The institutions and munotes.in
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activities which are aimed at securing 'good life' for the community were
regarded to be the part of 'polities'. However, in the contemporary world
the scope of politics is not regarded to be so comprehensive. Today we
draw a distinction between public and private spheres of human life, and
confine the usage of the term 'politics' to the institutions and activities
falling in the public sphere. Thus the decisions of cabinet and parliament,
election campaigns and other activities of political parties, people's
movements seeking change in law and public policy, etc. belong to politics
but the object of our faith and worship, the content of our education, art
and culture, etc. do not properly belong to the sphere of politics until some
regulation thereof is required to maintain pu blic order and safety
1.4 NATURE & SCOPE OF POLITICAL THEORY
Political theory and political philosophy may overlap, but a difference of
emphasis can nevertheless be identified. Anything from a plan to a piece
of abstract knowledge can be described as a „theory‟. In academic
discourse, however, a theory is an explanatory proposition, an idea or set
of ideas that in some way seeks to impose order or meaning upon
phenomena. As such, all enquiry proceeds through the construction of
theories sometimes thought of as hypotheses that is, explanatory
propositions waiting to be tested. Political science, no less than the natural
sciences and other social sciences, therefore has an important theoretical
component. For example, theories, such as that social class is the principal
determinant of voting behaviour, and that revolutions occur at times of
rising expectations, are essential if sense is to be made of empirical
evidence. This is what is called empirical political theory.
Political theory is, however, usually regarded as a distinctive approach to
the subject, even though, particularly in the USA, it is seen as a subfield of
political science. Political theory involves the analytical study of ideas and
doctrines that have been central to political thought. Trad itionally, this has
taken the form of a history of political thought, focusing upon a collection
of „major‟ thinkers – for instance, from Plato to Marx – and a canon of
„classic‟ texts. As it studies the ends and means of political action,
political theory is clearly concerned with ethical or normative questions,
such as „Why should I obey the state?‟, „How rewards should be
distributed?‟ and „What should be the limits of ind ividual liberty? This
traditional approach has about it the character of literary a nalysis: it is
primarily interested in examining what major thinkers said, how they
developed or justified their views, and the intellectual context in which
they worked. An alternative approach has been called formal political
theory. This draws upon the example of economic theory in building up
models based on procedural rules, usually about the rationally self -
interested behaviour of the individuals involved. Most firmly established
in the USA and associated in particular with the Virginia School, formal
political theory has attempted to understand better the behaviour of actors
like voters, politicians, lobbyists and bureaucrats, and has spawned
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(see p. 246). Although its proponent s believe it to be strictly neutral, its
individualist and egoistical assumptions have led some to suggest that it
has an inbuilt bias towards conservative values.
Political theory is concerned with three types of statements: (1) Empirical
statement, which is based on observation, through sense -experience alone;
(2) Logical statement, which is based on reasoning (e.g. 'two plus two is
four'); and (3) Evaluative statement, which is based on value -judgment
(e.g. 'men are born free and equal'). Political science relies only on
empirical and logical statements. It is argued that correct observation and
correct reasoning by different persons would lead to the similar
conclusion; hence empirical and logical statements are capable of
verification. On the other hand, it is alleged that evaluative statements are
based on individual or group preferences which differ from individual to
individual or group to group; there is no reliable method of determining
what is right or wrong, good or bad; one cannot scientific ally discover the
purpose of the universe or human life.
Dwelling on the nature of political theory, George Catlin (Political
Quarterly, March 1957) significantly observed: "the theory (of politics)
itself is divided into political science and political philosophy. " Pleading
for combining the study of political science with sociology, Catlin
asserted: "it is the supreme virtue of the fusion of sociology and political
science that it could enable us to be sharp -eyed for the phenomena of
control in its many forms, over all the processes of the whole social field."
Then defining the scope of political philosophy, Catlin explained: "Our
concern here is with the kingdom of ends or final values . So soon as a man
begins to ask, 'What is for the national good?' o r 'What is the good
society?', he is asking questions in philosophy." In short, Catlin proceeds
to identify the nature of political theory by pointing to its two important
components: political science and political philosophy. As he has
suggested, politic al science deals with the facts of political life (i.e. what is
the real situation and which laws govern our actual behaviour) while
political philosophy is concerned with values (i.e. what is good for us).
1.5 APPROACHES TO THE STUDY OF POLITICAL THEORY: TRADITIONAL
The traditional approach is value based and lays emphasis on the inclusion
of values to the study of political phenomena. The adherents of this
approach believe that the study of political science should not be based on
facts alone since facts and values are closely related to each other. Since
the days of Plato and Aristotle “the great issues of politics” have revolved
around normative orientations. Accordingly there are a large number of
traditional approaches like legal approach, philos ophical approach,
historical approach, institutional approach etc. Thus traditional approach
with its entire intrinsic feature has made tremendous contribution to the
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to traditional approach for understanding issues of government and politics
which shows significance of traditional approach
Historical approach believes that political phenomena could be understood
better with the help of historical factors like age, place, situations etc.
Political thinkers like Machiavelli, Sabine and Dunning believe that
politics and history are intricately related and the study of politics always
should have a historical perspective. Sabine is of the view that Political
Science should include all t hose subjects which have been discussed in the
writings of different political thinkers from the time of Plato. Every past is
linked with the present and thus the historical analysis provides a
chronological order of every political phenomenon.
The term ' historical approach' to politics may be used in two senses.
Firstly, it may denote the process of arriving at the law s governing politics
through an analysis of historical events that is events of the past, as
exemplified by the theories propounded by Hege l and Marx. Karl Pop per
has described this approach as 'historicism'. It implies that historical
processes a re determined by their inherent necessity which is beyond the
control of human i ngenuity. Popper has criticized historicism because it
insists on di scovering what is inevitable, and then advocates totalitarian
methods for its realization, as H egel and Marx have done for the
realization of their respective visions of futur e society. In the second place,
historical approach stands for an attempt at u nderstanding politics through
a historical account of political thought of the past, as exampled by George
H. Sabine's 'A History of Political Theory'.
According to Sabine, the subject -matter of polit ical science coincides with
the major themes of discussion in the writings of the well -known political
philosophers Plato, Aristotle, Hobbes, Locke, Rousseau, Bentham, Mill,
Green, Marx and others. Leading examples of the questio ns raised by
these philosophers are: what ideals are sought to be realized through the
state; what is the meaning of freedom and equality; what are the grounds
and limits of political obligation, etc.? Sabine points out that each political
theory is advanced in response to some specific situation. It is necessary to
recapitulate the circum stances under which a particular theory was
produced, for understandi ng its relevance to the present situation.
Moreover, any political theory is not onl y a product of history; it also
served as an instrument of moulding history by its ideological force.
However, all great political th eories are valid for all times. Critics of the
historical approach point out that i t is not possible to understand ideas of
the past ages in terms of the contemporar y ideas and concepts. Moreover,
ideas of the past are hardly any guide for resolvin g the crises of the
present -day world which were beyond comprehension of the past thinkers.
David Easton has warned against living 'parasitically on ideas a cent ury
old' and failing to develop a 'new political synthesis'. This challen ge to
historical approach of course encouraged the development of the
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has led to a renewed i nterest in the rich heritage of political thought for
evolving guiding principles for our own age.
Normative Approach The normative conception in political theory is
known by different names. Some people prefer to call it philosophical
theory, while others refer to it as ethical theory. The normative conception
is based on the belief that the world and its events can be interpreted in
terms of logic, purpose and ends with the help of the theorist‟s intuition,
reasoning, insights and experiences. In other words, it is a project of
philosophical speculation about values. The questions, which are asked by
the normativists , would be: what should be the end of political
institutions? What should inform the relationship between the individual
and other social organisations? What arrangements in society can become
model or ideal and what rules and principles should govern it? One may
say that their concerns are moral and the purpose is to build an ideal type.
Hence, it is these theorists who have always conceived „utopia‟ in the
realm of political ideas through their powerful imagination. Normative
approach poses questions based o n „norms‟ or „standards‟ in the study of
social sciences with an aim to appraise values. Unlike the empirical
approach that is concerned about „what happened and why‟ the normative
approach emphasises „what should have happened‟. It must, nonetheless,
be underlined that these assumptions are not always valid because at times
the two approaches might overlap. The exponents of empirical theory
criticise normativist for: a) Relativity of values b) Cultural basis of ethics
and norms c) Ideological content in th e enterprise and d) Abstract and
utopian nature of the project But in the distant past those who championed
normative theory always tried to connect their principles with the
understanding of the reality of their times.
A normative approach underscores th e probable course of action that may
uphold an innate value, the primacy of which is an end in itself. For
instance, if a normative statement establishes the pre-eminence of values
such as truth, good or beautiful or any one of them, it has served its
purpose.
Institutional Approach :
An institution is a set of offices and agencies arranged in a hierarchy,
where each office or agency has certain functions and powers. Each office
or agency is manned by persons with definite status and role; other
persons also expect them to perform this role. The activities of an
institution are not confined to its office -holders. For instance, People elect
theirs representative to holds the office of representation, thus people do
not hold office directly.
Accordingly th e upholders of the institutional approach proceed to study
the organization and functioning of government, its various organs,
political parties and other institutions affecting politics. Classification of
governments, starting from Aristotle (monarchy, ty ranny, aristocracy,
oligarchy, polity and democracy) to modern classification (democracy and munotes.in
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dictatorship, parliamentary and presidential, unitary and federal, etc.),
identification of levels of government (federal, state and local) as well as
branches of government (executive, legislative, judicial), composition and
powers of each of these and their interrelationships
(Largely in legal terms), etc. are the chief concerns of this approach. It
aims at giving an elaborate description of facts. Hence it exemp lifies a
shift from normative to empirical approach and from a historical to a
contemporary concern within the sphere of traditional approaches.
However, it relies heavily on description rather than explanation. Hence it
fails to qualify as a contemporary approach.
Institutional approach lays stress on the study of political institutions and
structures like executive, legislature, judiciary, political parties , interests
groups etc. Among the ancient thinkers Aristotle is an important
contributor to this ap proach while the modern thinkers include James
Bryce, Bentley, Walter Bagehot, Harold Laski, etc.
Legal approach regards state as the creator and enforcer of law and deals
with legal institutions, and processes. Its advocates include Cicero, Jean
Bodine , Thomas Hobbes, Jeremy Bentham, John Austin, Dicey and Sir
Henry Maine. Legal institutional bias: formal aspects of government such
as constitution, the organs of government, and the laws of election and so
on have been the concern of traditional political thought. The institutional
approach has legal orientation as emphasis is placed on laws, rules and
regulations that determine the structure and processes of governmental
institutions.
Legal approach stands for an attempt to understand politics in terms of
law. It focuses its attention on the legal and constitutional framework in
which different organs of government have to function, inquiries into their
respective legal position, their powers and the procedure which makes
their actions legally valid. For instance, legal approach to Indian politics
will proceed to analyse legal implications of various provisions of the
Indian Constitution, duly documented by the decisions of the Supreme
Court of India as well as by the opinions of legal luminaries, procedure of
formation and legal position of the two Houses of the Indian Parliament
and State legislatures, procedure of election or appointment, powers and
position of the President, Prime Minister, Governors, Chief Ministers,
Central and State Cabinets, etc., ro le and powers of the Supreme Court of
India and High Courts, full legal implications of the federal set up,
position of Fundamental Rights and Directive Principles of State Policy,
etc. Similarly, legal approach to international politics will largely tend to
analyse it in terms of the requirements of international law.
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1.6 APPROACHES TO THE STUDY OF POLITICAL THEORY: CONTEMPORARY
Contemporary approaches to the study of politics signify a departure from
traditional approaches in two respects: (a) they attempt to establish a
separate identity of political science by focusing on the real character of
politics; and (b) they try to understand politics in totality, transcending its
formal aspects and looking for those aspects of social life which influence
and are influenced by it. Contemporary approaches are legion, and all of
them may not fulfil these conditions. The following may be regarded as
the most important: (a) Empirical approach (b) behavioural approach; (c)
post-behavioural approach
Empirical Approach which derives theories from empirical observations
was dominated political theory in the twentieth century and not
normativism . Empirical political theory refuses to accord the status of
knowledge to those theories which indulge in value judgement s. Usually ,
therefore, normative political theory is debunked as a mere statement of
opinion and pr eferences. The drive for value free theory started in order to
make the field of political theory scientific and objective and hence, a
more reliable guide f or action. This new orientation came to be known as
Positivism. Under the spell of positivism, political theorists set out to
attain scientific knowledge about political phenomena based on the
principle which could be empirically verified and proved. Thus, they
attempted to create a natural science of society and in this endeavour;
philosophy was made a mere adjunct of science. Such an account of theory
also portrayed the role of a theorist as of a disinterested observer, purged
of all commitments and drain ed of all values.
This empirical project in political theory was premised on the empiricist
theory of knowledge which claims to have the full blown criteria to test
what constitutes truth and falsehood. The essence of this criterion is
lodged in the experimentation and the verification principle. When
political theory was reeling under this influence, a so called revolution
started and became popular as the „Behavioural Revolution‟. This
revolution reached a commanding position within political theory in the
1950‟s and engulfed the entire field of study and research by advocating
new features. They in clude : a) Encouragement to quantitative technique in
analysis b) Demolition of the normative framework and promotion of
empirical research which can be su sceptible to statistical tests c) Non –
acceptance and rejection of the history of ideas d) Focus on micro –study
as it was more amenable to empirical treatment e) Glorification of
specialisation f) Procurement of data from the behaviour of the individual
and g) Urge for value – free research.
Behavioural Approach : Behaviouralism, or the behavioural approach to
the analysis and explanation of political phenomena, is particularly
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World War (1939), but its origins may be traced back to the works of
Graham Wallas (Human Nature in Politics) and Arthur Bentley (The
Process of Government), both published as early as 1908. Both Wallas and
Bentley were inclined to lay greater emphasis on the informal processes of
politics and less on political institutions in isolation. Wallas sought to
introduce a new realism in political studies in the light of the new findings
of contemporary psychology. While classical economists, the champions
of the laissez-faire doctrine, had treated man as a rational creature
following his self -interest, the new psychology had revealed that man was
not a rational creature in this sense and that his political actions were not
totally guided by reason and self -interest.
Human nature was too complex to be explained by simplistic utilitarian
propositions. Wallas, therefore, insisted on exploring facts and evidence
for understanding human nature and its manifestations in human
behaviour. His chief message was that the poli tical process could be
understood only by analysing as to how people actually behaved in a
political situation, not merely by speculating on how they should or would
behave. Bentley, on the other hand, a pioneer of 'group approach' to
politics, primarily s ought not to describe political activity, but to provide
for new tools of investigation. He was so much fascinated by the study of
informal groups that he tended almost completely to ignore the formal
political institutions. Greatly inspired by sociology, he proceeded to
undertake a study of the roles of pressure groups, political parties,
elections and public opinion in the political process. Despite these early
attempts, behaviouralism in political science was systematically developed
only after the Second World War, particularly through the writings of
American political scientists. David B. Truman published his paper 'The
Impact on Political Science of the Revolution in the Behavioural Sciences'
in 1955.
Accordingly the political scientists who un dertook the study of political
behaviour sought to account for the psychological and social influences on
behaviour of the individual in a political situation. This involved the study
of such processes and factors as political socialization, political ideo logies,
political culture, political participation, political communication,
leadership, decision -making, and even political violence. An
understanding of most of these processes involved interdisciplinary and
cross -disciplinary research. In any case, beha viouralism as a movement in
political science did not remain confined to the study of individual based
political behaviour, but developed into a set of orientations, procedures
and methods of analysis. In practice it embraced all that lends a scientific
character to the modern political science.
According to David Easton, the intellectual foundations of behaviouralism
consist of eight major tenets:
• Regularities: It implies that there are discoverable uniformities in
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so as to provide for explanation and prediction of political
phenomena.
• Verification: It requires that the validity of such theory -like
statements must be testable, in principle, by reference to relevant
behaviour.
• Techniques: It means that the means for acquiring and interpreting
data should be examined self -consciously, refined and validated for
the purpose of observing, recording and analysing behaviour.
• Quantification: It is necessary b ecause precision in the recording of
data and statement of findings requires measurement which should be
expressed in terms of actual quantities to facilitate proper analysis.
• Values: The behaviouralists drew a clear distinction between ethical
evaluati on and empirical explanation, which were concerned with
values and facts respectively. They insisted that objective scientific
inquiry has to be value -free or value -neutral.
• Systematization: It stands for establishing close interrelationship
between theory and research, because research untutored by theory
may prove trivial while theory unsupportable by data may turn out to
be futile.
• Pure Science: It holds that the understanding and explanation of
political behaviour is essential to utilize politi cal knowledge in the
solution of urgent practical problems of society.
• Integration: It signifies integration of political science with other
social sciences in order to evolve a comprehensive view of human
affairs, to strengthen its validity and the generality of its own results.
Any political inquiry conducted according to these guidelines would be
most conducive to generate reliable theory and scientific explanations. The
behavioural movement had such a profound effect on political science that
these tests became the rule of political inquiry.
Post-behavioural - Post-Behavioural Revolution :
By the mid -1960s behaviouralism gained a dominant position in the
methodology of political science. However, its critics like Leo Strauss
('What is Political Philosophy?', Journal of Politics; 1957) had started
arguing that the rise of behaviouralism was symptomatic of a crisis in
political theory because of its failure to come to grips with normative
issues. Sheldon Wolin ('Political Theory as a Vocation', American
Political Science Review; 1969) declared that the preoccupation of
political science with method signified an abdication of true vocation of
political theory. Within the sphere of philosophy of science the publication
of Thomas Kuhn's The Structure o f Scientific Revolutions (1962) had
promoted the view that significance of scientific method lies in its capacity
of problem -solving and crisis -management, not in methodological
sophistication.
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In late 1960s even the exponents of behaviouralism realized that its strict
adherence to 'pure science' was responsible for its failure to attend to the
pressing social and political issues of the period. In 1969, David Easton
himself in his presidential address to the American Political Science
association announced a new revolution in politic al science 'a post -
behavioural revolution' that represented a shift of focus from strict
methodological issues to a greater concern with public responsibilities of
the disci pline and with political problems. Relevance and action were the
twin slogans of post -behaviouralism. It represented no complete departure
from behaviouralism. Rather it stood for consolidating its gains and
applying them for problem -solving and crisis management.
Easton emphatically drew the attention of contemporary political scientists
to the impending threat of the nuclear bomb, inner conflicts within the US
which might lead to civil war or dictatorship, and undeclared war in
Vietnam which was perturbi ng moral consciousness the world over. He
lamented that the behavioural political scientists were taking refuge in
their 'ivory tower', seeking to perfect their methodology, as if they were
not at all concerned with the outside world. Emphasizing the intel lectuals'
historical role in protecting the humane values of civilization, Easton
warned that if they failed to play this role, they would be reduced to mere
technicians or mechanics for tinkering with society.
Reminding them of their responsibility to reshape society Easton
concluded that scientists could adopt a rational interest in value
construction and application without denying the validity of their science.
Accordingly, post -behaviouralism seeks to reintr oduce a concern for
values in the behavioural approach itself.
In the contemporary social science the behavioural approach has shown
increasing concern with solving the prevailing problems of society. In this
way it has largely absorbed the 'post -behaviou ral' orientation within its
scope.
1.7 SUMMARY
Political theory can understand by methods and approaches. The
approaches are very important to study the objectivity behind it. Political
theory is concerned with political ideas, values and concepts, and t he
explanation of prediction of political behaviour. There are two broad
branch approaches in political theory one is traditional and second is
contemporary. Traditional approach deals with historical, normative,
institutional and legal methods of approach es approach. Whereas , the
contemporary approach in political theory deals with Empirical,
behavioural and post -behavioural methods of approaches.
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1.8 UNIT QUESTIONS
1. Discuss about Normative approach of political theory
2. Define Political Science and Explain its Nature
3. Evaluate the Empirical approach to the Political theory
1.9 REFERENCE
Barry, N. P. (1995). An Introduction to Modern Political Theory. London:
The macmillan press LTD.
Gauba, O. (2009). An Introduction to Political theory. New Delhi:
macmillan publisher India ltd.
heywood, A. (2004). Political theory An introduction. new york: Palgrave
macmillan.
klosko, g. (2013). History of Political Theory. Oxford: MPG books group.
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2
STATE, CIVIL SOCIETY AND MARKET
Unit Structure
2.0 Objective
2.1 Meaning and Definition
2.2 Features of State
2.3 Historical Evolution of the State
2.4 Theories of the State
2.5 Civil Society - Definition and Features
2.6 Civil Society - Historical Development
2.7 Civil Society - Theoretical Perspectives
2.8 Market - Introduction and Definition
2.9 Characteristics of Market
2.10 Theories of Market
2.11 Summary
2.12 Unit End Questions
2.13 Suggested Reading
2.0 OBJECTIVES
1) To understand and analyze the nature, feature and theories of State
2) To understand and analyze the meaning, feature and theories of Civil
Society
3) To understand and analyze the nature, feature and theories
2.1 MEANING AND DEFINITION
The term ‘stat e’ is refer to many things like territory, institutions,
philosophical idea, and welfare activities etc. The modern states in which
we live have come into existence from fifteenth century. Today there are
193 states as member of the United Nation Organizat ion.
R.G. Gettel defined political science as 'the science of the state'.
J.W. Garner claimed that 'political science begins and ends with state'.
Machiavelli defined state as, ‘the pow er which has authority over man’ .
Max Weber said , ‘A State is a human community that successfully claims
the monopoly of the legitimate use of physical force within a given
territory’.
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2.2 FEATURES OF STATE
1. The first and foremost important feature of the state is sovereignty. It
refers to the absolute and unrestricted power of the state. The state
laws and extends on the given territory and over all other associations
and groups residing on the territory. The famous English political
philosopher Thomas Hobbes portrayed the state as Leviathan - a giant
sea monster. Sovereignty is the distinctive feature of the modern state
that sets it apart from other social institutions.
2. The second important aspect of the sta te is a form of authority also
known as government. Government comprises of the machinery small
and big in order to run the state. The authority of the government is
territorially limited. This legal power is called jurisdiction of the state.
The governme ntal machinery of the state the flow of persons and
goods within the territory. In modern times the land, sea, airspace
comes under the jurisdiction of the state. The jurisdiction of the state
is universal and is applicable to everyone living within.
3. The state confers membership to the people living on its territory.
This is known as citizenship which entails bundle rights and duties
given to the people. A person becomes citizen of the state either
naturally (birth or descent) or by acquisition. People liv ing in a
particular state but who are not its citizens are called foreigners or
aliens. They are not entitled to certain rights, like the right to vote or
hold public office, and may be exempt from particular obligations,
such as jury service or military s ervice, but they are nevertheless still
subject to the law of the land.
4. Fourth every state has coercive power which is used to enforce law
and order in the territory. Max Weber defined the coercive aspect of
the state as ‘the state is a human community th at (successfully) claims
the monopoly of the legitimate use of physical force within a given
territory’. The monopoly over legitimate violence is the expression of
state sovereignty.
5. Fifth, the state in the modern time has become permanent and
inclusive po litical community. All types of social, economic, cultural
and religious activities and organizations are regulated by the state.
6. Sixth the state is viewed as a central actor on the world stage. Inspite
of the rise of supra national organizations, multina tional corporations
and global networks the state continues to hold primacy on the
international arena.
2.3 HISTORICAL EVOLUTION OF THE STATE
The state has evolved over the course of history. As human beings began
transition from the nomadic life to agr icultural society there was
development of state like character. The relative geographical immobility
caused by agricultural mode of existence gave rise to the development of munotes.in
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the institutions which were able to govern huge swathes of territory. In the
early stages of its development the state was largely despotic in character.
It heavily relied on coercive use of power to control the population. In the
formative stage religion became important factor in maintaining the order
in the state. Religion gave legi timacy to the rule of the sovereign ruler. In
the ancient time the ruler of the state was often considered as the incarnate
of the divine. If not then ruler would justify its rule of ground of divine
right theory. Other than religion the role of military p ower played
significant role in the further development of the institutional capacity to
govern and regulate a geographical territory. The association between the
state and military might persists to the present day.
The origin of the modern state had its roots in the Western Europe. It
emerged in the sixteenth - and seventeenth -century Europe as a system of
centralized rule that succeeded in subordinating all other institutions and
groups, including (and especially) the Church. The Peace of Westphalia
(1648), concluded at the end of the Thirty Years War led to the
formalization of the modern form of state system based on the principle of
sovereignty.
By the end of eighteenth century the concept of nation and state fused
together and nation state became the central feature of the world politics.
In Europe with the growing democratization the nation state began to
assume wider economic and social responsibilities. The rise of colonialism
led to the spread of the idea of nation state outside Europe. The gro wth of
anti colonial movement in Asia, Africa and South America engendered the
formation nation state in these continents. In the middle of the twentieth
century the decolonization in Asia Africana and South America made
nation state sy stem a universal phe nomenon.
In the 1950s with role of the state as important actors in both domestic and
world politics had gained salience. Political thinkers began to analyze the
characteristics and functioning of different types of states like capitalist
states, communist states, post colonial states, authoritarian states. The
purpose was to understand complex relation between the state, society and
citizens. Overall the focus of political theory was to understand how states
are evolving and shaping the system. In the 1980s, there was growing shift
in the understanding of the state. The rise of market economy and the
resultant privatization and liberalization in the western world had changed
the character of the state. State was seen as one of the many actors -
market, nongovernmenta l organizations, civil society, supra national
organizations etc. On the other hand underdevelopment in the non western
world was seen through the lens of state capacity or incapacity and state –
society relationship.
The 1990s saw the rise of globalizatio n on the world wide scale raised
fundamental questions on power and significance of the state. Some
thinker s argued that the state will become redundant in the age of
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overtaken by t he global markets. The welfare activities will be shared and
co ordinate by the civil society and nongovernmental organizations. On
the other end of the spectrum were thinkers who argued that state is the
primary factor behind the process of globalization. In this view the state
has not decline its functions have changed. The growing role of non state
actors has only increased the regulatory and overseeing funct ions of the
state. Between the two positions are thinkers who see the relationship
between state, market and globalization as interactive process which
shapes and transforms each other.
2.4 THEORIES OF THE STATE
There are various theories to explain the state each of which offers a
different account of its origins, development and impact on society . The
theor ies play important role in the modern political analysis.
The pluralist state :
The pluralist theory belongs to the liberal traditions. According to the
tenets of liberalism the state is an artificial institutions established by man
to protect the natural liberty. The state accordingly acts as an umpire or
referee in society. The orig in of pluralist theory has its origin in the
writings of social contract thinkers like Thomas Hobbes and John Locke.
Accordingly, the state is the outcome of social contract by free human
beings. The purpose of the establishment of a sovereign power was to
safeguard them from the insecurity, disorder and brutality of the state of
nature. The pluralist assumes that free people pursue their own self interest
and often like minded people form groups to secure their interest. Thus
society is composed of competi ng interest groups vying for acquisition of
material and non material goods in the market place. The role of the state
is to set out fair rules for everyone and remain unbiased allowing each
group to have fair chance in the competition.
Regarding the inte rnal functioning of the state pluralism believes a
democratic state is essential for pluralism to work. Therefore the state
must be representative and accountable to the people. In other words, party
competition and interest -group activity ensure that the government of the
day remains sensitive and responsive to public opinion. Therefore the state
is not an organic entity but a composite reality.
In recent times the pluralist thinkers have questioned the neutral character
of the state. Theorists such as R obert Dahl, Charles Lindblom and J. K.
Galbraith have come to accept that modern industrialized states are both
more complex and less responsive to popular pressures than classical
pluralism suggested. They argue that business groups play privileged role
and have advantage in terms of access to the state agencies which other
groups clearly cannot rival. Further state agencies have own sectional
interests. State elites composed of senior civil servants, judges, police
chiefs, military promote the bureaucrat ic interests of their sector of the
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Marxist theory of State :
Marxists theory of the state is an important theory which is based on the
premise that state is not separate entity but belongs to the economic
structur e of society. This view is based on the the formulation that the
state is an instrument of class oppression.
Karl Marx was the founder of the Marxist of the state. He considered the
society and state have base and super structure relationship. Throughout
history every society is divided between two antagonistic classes - haves
and haves not. In the age of capitalism the two opposing classes are
bourgeoisie and the proletariat i.e. working class - the former exploiting the
latter. State according to Marx is an artificial institution created by the
capitalist class to protect its interest. In other words the state is part of a
superstructure that is determined or conditioned by the economic base.
Accordingly, the economically dominant class controls the leve rs of the
society and controls the institutions of the state. The state uses its
oppressive structures like police and military to keep the proletariat under
control. The only way proletariat can emancipate itself is through a
revolution and taking control of the state. After the revolution the
proletariat will dismantle the capitalist structures like private property and
all means of production will be nationalized. This is the transition phase
known as socialism. After this the proletariat will work towar ds the
creation of egalitarian society wherein the institution of private property is
completely abolished and the end result is classless society. In the
twentieth century Marx’s prophesy of worldwide communist revolution
did not realized. Instead there w as rise of fascism and Nazism in Europe.
Hence neo Marxist thinker Antonio Gramsci emphasized the degree to
which the domination of the ruling class is achieved by ideological
manipulation, rather than just open coercion.
Feminist theory of State :
The ri se of feminist movement in the twentieth century has contributed in
the theorization of the state. The core idea of feminism is to liberation of
women in the political, cultural, social and economic spheres. Feminism
has critiqued the role of patriarchy in the subjection of women. Feminists
have usually not regarded the nature of state power as a central political
issue, preferring instead to concentrate on the deeper structure of male
power centered on institutions such as the family and the economic sys tem
and public spaces. However, since the state wields political power
feminist have turned attention to examined how the state or its institutions
are rooted or manifest patriarchal power.
Liberal feminists are of the pluralist view of the state and believe that
sexual or gender equality can be brought about through incremental
reform. According to liberal feminists believe that social groups in the
society have equal access to state power. It is possible to access the
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of all. Liberal feminist have positive view of the state and consider it as a
means of redressing gender inequality and enhancing the role of women.
Another strand of feminism known as radical feminism is critical of the
state power because it considers the state embedded in the deeper structure
of oppression in the form of patriarchy. It rejects the view of the state as
an autonomous body having its own distinctive interests. Radical feminists
argue that the character of the state is reflection of patriarchal power.
Modern radical feminists have studied the emergence of the welfare state
and have viewed it as the expression of a new form of patriarchal po wer.
Welfare may uphold patriarchy by bringing about a transition from private
dependence (in which women as ‘home makers’ are dependent on men as
‘breadwinners’) to a system of public dependence in which women are
increasingly controlled by the institutio ns of the extended state.
2.5 CIVIL SOCIETY - DEFINITION AND FEATURES
Civil society generally can be understood as a realm of voluntary and
associative action that is based on common purposes, values and interests
that is separate from state and market . Civil society is a broad term and
may include variety of actors like charities , community groups,
development NGOs, women's groups , faith -based organiza tions,
professional groups , trade unions, social movements, coalitions and
advocacy groups. However civi l society is not homogeneous and the
boundaries between civil society and government or civil society and
commercial actors can be blurred. The idea of civil society became
fashionable in political discourse after the fall of the Berlin Wall in 1989
and th e worldwide collapse of communist rule and the adaption of
democratic system by the former communist states. With the onset of
globalization in the 1990s civil society was largely associated with
democracy, good governance, pluralism, civic virtue. In a wa y civil
society was sought as an alternative to the deadening effects of state
centralization .
Definition :
Charles Taylor defined civil society as ‘a web of autonomous associations
independent of the state, which bind citizens together in matters of
common concern, and by their existence or actions could have an effect on
public policy’.
Schmitt er defined civil society as ‘ set or system of self -organized
intermediary groups’.
John Dunn defined civil society as ‘the modem representative democratic
republic’.
Chandhoke defined civil society ‘as the public sphere where individuals
come together for various purposes both for their self -interest and for the
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Andrew Heywood defined civil society as ‘a realm of ass ociations,
business, interest groups, classes’ families and so on.’
Features of Civil Society :
1. Civil society is based on the assumption on the plurality of life -forms .
Human beings live in groups which ar e diverse and civil society
accommodates the diverse forms of life . It further assumes that
difference within diverse social groups can be resolved through
peaceful means.
2. Civil society has moral dimension . Civil society according to the
Robert Putnam aims at fostering social capital in the form of relations
of co -operation, trust and s ocial engagement. C ivil society can be seen
as a place that enables individuals to share common experience and
develop a sense of community and responsibility .
3. Hannah Arendt has focused on the epistemic aspects of civil society.
She views civil society as a realm of free and open comm unication
making it possible for the members for exchanging perspectives and
opinions. According to Arendt liberty is not an individual attribute but
a collective achievement . Liberty is necessary in the world governed
by commercial relations. It gives a sense of identity to the individual.
4. The organizational aspects of civil society are of special importance.
Civil society is the outcome of spontaneous associations and
institutions . Churches , clubs, unions , professional groups, unions etc
provide institutional space for the citizens to freely express their
views on the social, cultural and political aspects of the society. These
spaces enable the cultivation of the virtues of citizenship and a sense
of civic responsibility.
5. Civil society also has an economic perspective. Thinkers believing in
the free market economy contend that the existence of free market and
minimum state creates space for the emergence of civil soci ety.
Market provides the space for rational and self interested individuals
to pursue their wants by engaging in the system of production,
distribution and exchange of goods and services. In the course of time
the pursuit of self interest develops into soc ial harmony as the market
provides freedom and liberty to satisfy individual wants.
6. Civil society is also related to the concept of power. Power is often
considered as an attribute of the state. Jurgen Habermas argues that
citizens can develop power by becoming active in political issues.
Civil society is the forum that enhances communicative power of the
citizens when they engage in free discussions and debates.
2.6 CIVIL SOCIETY - HISTORICAL DEVELOPMENT
The normative def inition of civil society has its roots in ancient Greece. In
the ancient Greece city state was the central organization of politics.
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For the ancient Greeks a civil society was a public ethical -political
community of free and equal citizens under the rule of law. According to
Aristotle a person can live virtuous life as an active member of the city
state. The ancient Greeks did not make any distinction between civil
society and state rather for the Greeks civil society is possible only in the
city state.
In the seventeenth century the ideas of civil society took a new life due to
the socio -politico and economic changes in the European landscape. The
rise of secular state, capitalist mode of economy and social differentiation
led to the separation of the state, economy and rel igion. The French and
American revolutions c reated the idea of democratic citizenship and
representative government. Civil society was viewed as voluntary
associative mode of life that will protect the freedom and liberties of the
citizens from the intrusive powers of the state. It was also seen a w ay that
would enable individuals to participate in the economic sphere to pursue
self interest. Civil society as a self-regulating universe of as sociations
committ ed to the democratic ideals was perceived as a strong bulwark
against despotism.
Towards the end of 19th century the notion of civil society as space of
freedom came under criticism from thinkers like Karl Marx. As capitalism
flourished in Europe its exploitative character become evident especially
in the context of the working class. Now civil s ociety was perceived as
another vehicle for furthering the interests of the dominant class under
capitalism. Later in first half of the 20th century civil society was seen as
generating hegemony i.e civil society was tactfully securing the consent of
the w orking class by making them voluntarily accept the moral and
cultural values of the capitalist or bourgeoisie class. Thus more than the
state civil society was considered responsible for the plight of the working
class.
In the 1960s th inkers like John Dewey and Hannah Arendt influenced by
the Gramsci's ideas about civil society developed the theory of the public
sphere as a significant dimension of liberal democra cy. Public sphere
referred to the shared experience of political life that underpinne d public
deliberation . Anything that eroded this public sphere - like the
commercialization of the media or the commodification of education - was
to be resisted
Outside Europe and America civil society institutions were developing in
Latin America and Eastern European as an instrument to resist and fight
against an authoritarian state . After the fall of communism and the
subsequent rise of globalization civil society transcended national borders.
It was seen as a component of global governance i.e. gove rnance without
government. The global spread of information and communication
technology enabled the expansion of civil society on the global scale.
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2.7 CIVIL SOCIETY - THEORETICAL PERSPECTIVES
Thomas Hobbes on Civil Society :
In modern era the idea of civil society was outlined by the social contract
thinker Thomas Hobbes see no reason to distinguish between the state and
civil society. Hobbes argued that before the emergence of state human
beings lived in state of nature. H uman nature is driven by self interest and
the multiplicity of such self results in constant conflicts which Hobbes
called as anarchy. To overcome anarchy human beings entered a social
contract that resulted in the creation of a powerful state, the Leviathan .
The sole purpose of the s tate was to protect the citizens and prevent the
condition of war of all against all. Hobbes’s civil society is not prior to the
state but is co terminus with it. Civil society is i nhabited by individuals
who compete for the mater ial and cultural resource s. But for this a
coercive mechanism it requires to maintain order in the society. Hobbes
knew that economic activity, science, and arts and letters require respect
for the private realm of individual desire and autonomy but he argued this
is possible only in the presence of strong and durable state.
John Locke on Civil Society :
Locke shares a similar view with Hobbes on the state of nature and the
origin of the state but argued against the idea of absolutist state. Locke
believed that human beings are endowed with natural rights and primarily
the rights to life, liberty and property. To overcome the confusion
prevailing in the state of nature the human beings enter into a social
contract to constitute a common authority with the power t o enact laws
and maintain order. Thus the social contract process first involves the
formation of the civil society and then the state. Civil society in the
understanding of Locke is anteced ent and superior to the state. The sole
purpose for which the state was created in Locke’s view was to protect the
natural rights of man. Hence Locke forwarded the idea of limited
government. The rational men will pursue their economic interest and
accumul ate wealth. The state should ensure that the property rights of the
individual are not violated either by the state or private entity. Locke is
making a clear distinction between the state and the market. The state is
political sphere and market belongs to the realm of economy. However,
Locke didn’t bring out the distinctive features of civil society .
Adam Smith on Civil Society :
Adam Smith was the first English thinker who in his book Wealth of
Nations explained the concept of civil society having its own distinctive
characteristics. He conceptualizes the idea of civil soci ety as an
autonomous sphere of economic activities wherein rational individual
engage in competition and exchange . Smith made clear distinction
between the political domain and the economic domain. He stated the
importance of political authority to provide for defense, organize the rule
of law, and provide public goods. However, he was more concerned in the
economic sphere that enables individual to pursue self interest. It is the
civil society that transforms the self serving individual into a mutually munotes.in
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interdependent member of the society. The role of invisible hand of the
market is the necessary condition to build community of individ uals based
on the values of freedom, trust and morality.
Georg Hegel on Civil Society :
G. W. F Hegel’s Philosophy of Right made a clear distinction between the
state and civil society. Hegel was aware of the fact that moral autonomy
and freedom do not automatically exists by the presence of equality before
the law, republican institutions, and civil liberties. Freedom is generated
when individual and collective actions are in accordance with reason.
Hegel developed a teleological view of freedom. Freedom and reason
develops through the unfolding of history. He identified the moments of
history that connects freedom and reason. The three stages of history are
family, civil society and stat e.
In the family state freedom and reason are limited to the institution of
family which binds its members by sentiments and loyalty. There is no
scope for individuality and difference. C ivil society is located between the
family and the state. And it is the sphere of social life where individuals
are at liberty to pursue their own selfish interest within universally
recognized bounds. Civil society enables individual to act independently
by moving him out of the bounds of family relations. In the realm o f civil
society each individual tries to fulfill his needs which are multiple and
diverse. Economic sphere or the market is the sphere allowing every
individual to pursue his needs. Further it is the place where individual puts
his labour to produce goods and service. In modern economy the division
of labor goes on multiplying due to modern technology and production
thus resulting into economic inequalities. Economic inequalities generate
social and political inequalities. The contradiction arising in the c ivil
society is resolved when the institution of state emerges.
Karl Marx’s view on Civil Society :
Marx rejected the possibility put forward by Hegel that civil society could
reconcile individual self -interest with the demands of the community. For
Marx civil society is as a distinct economic sphere is not evolutionary but
an outcome of the rise of modern states. He looked at civil society as the
base where productive forces and civil relations were taking place. On the
top of the base lies the superstru cture which is the political sphere. Marx
rejects Hegel’s claim that the state mediates conflicts that arise within civil
society due to cl ash of interests. On the contrary the state plays important
role in legitimizing the interests of the dominant class in the capitalist
system. Civil society is the very base of socio economic relations and the
state is a manifestation of these relations and their conflicts. Marx further
holds that civil society contributes to the destruction of real community by
splinti ng the society into political, social, and economic domains. For him,
civil society constitutes individuals as competitors whose aims are interest
maximization at the expense of other members of the society.
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2.8 MARKET: INTRODUCTION AND DEFINITION
Introduction :
In modern times economic activities happens all across the world that
includes activities like buying, selling, purchasing, mortgaging, stocking
and storing. The myriad of practices can be reduced to terms according to
modern economics - deman d and supply. In contemporary times capitalism
has become the mainstay production, supply and distribution. The
institutional site through which these things happen is known as market.
Money is the means used in market for conducting exchange and
transacti on of goods and services. Markets are of different types like
financial markets, housing markets, labour market or agricultural market.
Similarly often we talk about local market, regional market, national
market and international market. Thus from the pe rspective of political
theory market has two dimensions. The first is empirical and second
normative. Political theory aims to understand the relation between
market, society and state by analyzing the role of the market in state and
society. Further, it a ims to comprehend the impact of the market in term of
political values like justice, equality, liberty and rights.
Definition of Market :
Chapman defines the market as, ‘not to a place but a commodity or
commodities and buyers and sellers who are in differe nt competition with
one another’.
The Economist defines market as ‘ a type of economy that promotes the
production and sale of goods and services, with little to no control or
involvement from any central government agency. The economic system
is primarily based on supply and demand .’
2.9 CHARACTERISTICS OF MARKET
1. Markets are impersonal in nature. It is not owned by any particular
person or by a community. According to the proponents of liberalism
market is not a artificially designed phenomenon, but one that emerge as a
result of human action. The prices of com modities bought and sold in the
market are based on the complex interplay of various factors like
producers, sellers and buyers .
2. The process of demand and supply are the central mechanisms of the
market. Market is site where flows of goods and service s take place. Many
actors are involved in the process like the producers, wholesalers, agents,
suppliers and buyers. Each actor in some way influences the functioning
of the market. The entire supply and demand networks operating in the
market makes it fun ctional.
3. Markets are also local and dynamic. The prices of goods and services
differ in different markets and it may also change over time. All of these munotes.in
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are perceived as so natural since prices reflect the demands and
perceptions in a society which al so vary by the time and place .
4. The players operating in the market are driven by the motive of self -
interest . Buyers in the market will try to buy things at cheaper rates. The
entrepreneurs on the other hand will try to secure higher profits for their
businesses. The w orkers in the factories and industries will bargain for
higher wages and salaries.
5. Competition is an important hall mark of the market. Every actor in the
market has to compete with one another in order to maxim ize profits.
Ideally it is presume that competition in the market should be based on
free and fair rules. The end result of such competition cannot be
questioned on the grounds that some have garnered the profits and others
have lost in the game.
6. Markets are based on the pri nciple of self regulation according to some
thinkers. The fluctuations in the market in the long run tend to move
towards equilibrium. Hence outside forces like state should not intervene
in the process of lest it will create distortion in the market. The state
should play minimal role that of a regulatory agency observing whether
every actor in the market is behaving according to the rules of the market.
2.10 THEORIES OF MARKET
Mercantilist view of market :
Mercantilism is one of the prominent theories of the market. It referred to
the economic doctrine that emerged during the inception of nation state
system. The modern nation state emerged after the treaty of Westphalia of
1648. The newly emerged states in Europe developed competitive
relationship amongst themselves. The term was coined by the Scottish
political economist Adam Smith who defined mercantilism as a economic
theory that promotes export and restrict import.
Mercantilism is based on the idea that resources are limited in the world
and each state has to compete with other states to gain control over the
resources. The gain for one s tate is loss for another state is known as zero
sum game. Mercantilist considers the state as a major actor having
primacy over society, economy and individuals. In their perspective,
market is one component of the state and cannot exist independently of the
state. Production, consumption, exchange and investment must be
governed by the state to increase its power.
Markets have significance so far as its serves the purpose of the state both
in domestic and international politics. Market must gear its activity to
increase the self sufficiency of the state. The surplus wealth generated by
the market can be used by the state to wage war with hostile state.
Mercantilism was fashionable from 15th to 18th century which was also the
era of colonial expansion. Countries like Spain, England, Holland and munotes.in
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France were engaged in intense rivalry to capture colonies in Asia, Africa
and South America which in part aimed at increasing the national power
of the European states.
Mercantilism believes in promoting domestic market. Industries, firms and
corporation which will enhance economic and military power of the state
are given st rong support. Even infant industries that are inefficient are
supported. Mercantilist policies are protectionist which means state
imposes high tariffs on imported goods. This will prevent the consumers
from buying imported goods and consequently benefit t he domestic
markets. Mercantilism doctrine also promoted population growth as it was
an important indicator the labour of state power. With more labour, it was
believed, the market productivity and profits can be increased. This will
ultimately benefit the state.
Classical Liberal perspective on market :
The liberal theory or the c lassical political economic theory emerged as a
critique of mercantilism. The Physiocrats like Quesnay and Mirabeau
were the first who gave importance to free market. They strongly believed
in non-interference of state in the economic activity . Basically were
arguing that state should not interfere in the agricultural market. It was
Adam Smith who propounded the idea o f laissez –faire as the central
principle of market economy. Smith stated that the ‘economic man’ is a
self-interested , rational actor who enters the market with the intention to
make profit. Competition becomes the self-regulating mechani sm of the
market. In the long run the free hand of the market brings prosperity to all.
David Ricardo was another thinker who advocated the role of free market.
He criticized the Corn Laws a protectionist policy of the British
government that res tricted imports of wheat. He formulated the famous
idea of comparative advantage which became the mainstay principle of the
theory of global free trade. Comparative advantage principle argues for the
creation of efficient market conditions at the domestic level. It means a
country s hould produce only those goods and services at have minimum
production cost and quality is optimum. It can import rest of the things
from other countries. If all countries follow this principle it will bring
prosperity to the whole world.
Laissez -faire ideas opposed all forms of state intervention in the market. In
the 19th century starting with Britain the rest of Europe began to follow
laissez –faire model of economy. Outside Europe United States became the
biggest champion of market economy. Even after World War I the faith in
the market remained stro ng. The great depression of 1930s followed by
World War II raised question on the model of free market.
Marxist view of market :
As capitalism flourished in 19th century and market became the central
principle of organizing capitalist society it led to new a crisis. The working
class was exploited by the capitalist and bourgeoisie classes who were the
main beneficiary of market economy. Karl Marx was the first thi nker who munotes.in
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made systemic critique of the market economy. Marx propounded
economic determinism to explain the character of capitalism. According to
it the economic and material factors play primary role in any society. He
called the material aspect as base an d the political, social and cultural
aspects as the superstructure. In capitalism the market is the base that
determines other aspects of the society. Marx argued that market is the
arena wherein the working class is exploited by the capitalist class.
Workers have no real freedom in the market as the wage structure is
always against the interest of the working class. Marx argued that only a
worldwide revolution by the working class and establishment of
communism will result in the formation of classless so ciety. In Marx’s
view in communist society private property will be abolished and material
resources will be collectively owned by the society and will be equally
distributed among all. The communist revolution in the 20th century
experimented with Marxian policy by abolishing private property and state
regulated market. However, the communist system failed in the 1990s.
Modern Liberal perspective on Market :
In the mid of the twentieth -century thinkers began to question the doctrine
of laissez –faire . John Keynes in his book in The General Theory of
Employment, Interest and Money challenged the belief in a self-regulating
market by influencing the level of aggregate demand. Further, he argued
that the state should reduce unemployment by either increasin g public
spending or cutting taxes. Keynes argued that unregulated market is
merely an ideal and cannot work in the real world i.e. complex industrial
society. State intervention in the market was necessary to promote
prosperity and harmony in civil societ y. The industrial western world and
the post colonial states implemented Keynesian ideas of regulated market
or what was popularly known as welfare states. At least in the western
world Keynesian policies were credited for bringing unprecedented
economi c growth of the 1950s and 1960s.
Neo liberalism and the market :
In the 1970s there was economic crisis in the western world. Some
thinkers began to critique the welfare model and supported the revival of
free market economy. This theory came to be known as neo liberal
thought. Friedrich August von Hayek was a strong supporter self
regulating and freedom generating ability of the free market. Hayek
considered most forms of state intervention in the economy as a path to
government engineered despotism. Milton Friedman stated in his theory of
monetarism that only the self -regulating free market allows a balance
between right amount of production and sufficient wages for the workers.
Robert Nozick defended market economy on the grounds of natural rights.
He argued a person has ownership over his life and the resources he has
produced through his own talents. Market is the institution that guarantees
the property rights of a person. The intellectual arguments paved the way
for rise of neo liberal policies that gave primacy to the role of the market.
In the 1980s Ronald Reagan in United States and Margaret Thatcher in
United Kingdom implemented neo liberal policies. Later the World Bank munotes.in
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and Internatio nal Monetary Fund prescribed neo liberal policies for the
developing world. Later in the 1990s neo liberalism became fundamental
aspect of globalization.
2.11 SUMMARY
The chapter has explored and analyzed three important institutions namely
state, civil society and market. The state is an ancient institution where as
civil society and market has emerged in the modern time s. The chapter has
also analyzed the features of the three institutions and propounded the
theories explaining the nature and scope of the same .
2.12 UNIT END QUESTIONS
1. Define State and explain the features and historical development of
State.
2. Examine the important theories of the State.
3. Define Civil Society and discuss the features and historical growth of
Civil Society
4. Elucidate the various theoretical approaches to Civil Society
5. Define the term Market. Discuss the characteristics of Market.
6. Critically examine the theoretical aspects of Market.
2.13 SUGGESTED READING
Heywood Andrew , Political Ideologies an Introduction , Palgrave
MacMillan, London, 2017.
Abbas , Hoveyda and Kumar , Ranjay , Political Theory , Palgrave, Delhi,
2012.
Bhargava , Rajeev and Acharya , Ashok , Political Theory an Introduction ,
Pearson, New Delhi, 2008.
Heywood , Andrew , Political Theory an Introduction , Palgrave
MacMillan, New York, 2004.
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3
POWER, AUTHORITY AND LEGITIMACY
Unit Structure
3.0 Objectives
3.1 Power: Concept; sources and forms of power:
3.1.1 Meaning and definition of power
3.1.2 Various forms of power
3.1.3 Sources of power
3.1.4 Different dimensions or faces of power
3.2 Authority:
3.2.1 Meaning and definition of Authority
3.2.2 Types of Authority / Weber’s Classification of Authority
3.3 Legitimacy:
3.3.1 Meaning of legitimacy
3.3.2 Features of legitimacy
3.3.3 Sources of Polit ical Legitimacy
3.4 Unit End Questions
3.0 OBJECTIVE
To understand the Concept and forms of Power in Politics
To understand the difference between authority and legitimacy
3.1 POWER: CONCEPT; SOURCES AND FORMS OF POWER
Introduction :
In the study of political theory the concept of power is the most crucial
one. The term power is central to the notion of politics. Politics actually
deals with the exercise and struggle for power. As a student of the subject
of political science it is imp ortant study how power is gained, how it is
maintained, how it is used and what are the criterion on basis of which it is
exercised?. The concept of power subsists at the center of the term
politics and therefore a proper understanding of power enables us to also
understand various dimensions of politics. There are multiple dimensions
of power. Several thinkers have evaluated the term power in their own
ways. Therefore there is no single definition of power. There are multiple
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in simple words can be described as a form of domination or an ability to
control the behavior of others. It means it is an ability to force others to
obey and secure compliance.
Ever since the meaning of polit ics has changed from the study of state and
government' to the study of power', the theme of power has received
extraordinary importance. It is understood as a capacity to develop
unwanted consequences within social interaction. In this sense power is a
type of behavior that derives from the existence of social relationships and
organized social interactions. In other words power is the ability to
determine the behavior of others in accordance with one's own wishes. For
instance if someone has power, then it is understood that he/she has
capacity to influence the behavior of others in accordance with his own
intensions. It is interesting to note that power can be ascribe d to those who
can influence other's behaviour against their will.
3.1.1 Meaning and definition of power:
Power is control to the understanding and practice of politics. Many
scholars and academicians have tried to define power by using different
yardst icks. Power is generally associated with influence, force or control
over resources. The term power has been synonymously identified with
authority, coercion or force and due to this its precise meaning has become
very fluid affair. Generally "Power is und erstood as an ability to get
someone to do something, he or she otherwise would not have done." Few
definitions of power are discussed:
Robert Dahl: - “Power is an ability to exert influence over B – to be
more specific for e.g. A has power over B' to the extent that 'A' can get
'B' to do something which B would not otherwise do. This definition
assumes two things about powers :
i) Power is an attribute of individuals which is exercised over other
individuals and
ii) Power is dominatio n over others, that is, power is used to make
others do what one wants, against their own will.
E. M. Coulter: He defines "Power as the capacity to cause a thing to
happen that would not happen without that capacity."
Michael Oakeshott: “Power is a particular kind of relationship in
which one party has the ability to procure with certainty a wished for
response in the conduct of another”.
Henri Goverde: Power is shaped by and in turn, shapes the socially
structured and culturally pattern ed behavior of groups and the practices.
Hannah Arendt : Political power arises not from violence, but from
individuals acting in concert. That means politics is the sphere of
persuasion, not force.
Michel Fouca ult: power does not only consist of the possibility of
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by the dominant and the dominated through identity constituting
discursive practices.
Max Weber: “The ability of an individual or g roup to achieve their
own goals or aims when others are trying to prevent them from
realizing them”.
We have seen that there are number of definitions and viewpoints given by
different scholars of repute to get a perspective on power and to
understand its dynamics. It appears that power as a relationship between
state and individuals, state and groups, groups and individuals can
manifest in several forms. In view of the debates about exact meaning of
powe r as given in above me ntioned definitions, Steven Luke s, maintains
that power is a 'contested concept'. The controversies surrounding different
definitions of power may be resolved when we accept that power is a
contested concept. This understanding of pow er as essentially a contested
concept is developed by Steven Lukas in his celebrated work ‘Power’: A
radical view.
3.1.2. Sources of power:
There are many sources for power. Several scholars have identified
different sources of power based on their own perceptions.
1. Wealth and Property :
Wealth can be defined as an abundance of valuable resources or valuable
material possessions. Wealth is considered as the most important attribute
of power as most of the powerful persons have control over the limited
resources. The possession of property allows people to acquire anything
they want and thereby ma king others to submit to them. For generation
wealth has been one of the most important sources of power. In
contemporary period also wealth has become a basic source of influence.
With increased globalization, the disparity between rich and poor has
widen ed and more and more wealth has passed into corporate control.
2. Personality :
Personality means mind, morality, physique and competence one
possesses. Personality has the ability to persuade and influence others.
This source is also known as referent power which is discussed in length
by Bertram Raven in his theory of five bases of social power. This power
comes from the ability of individuals to attract others and build their
loyalty. It is based on the personality and interpersonal skills of the power
holder. A person may be admired because of a specific personal trait, such
as charisma or likability, and th ese positive feelings become the basis for
interpersonal influence.
3. Prize and Reward:
Reward may be defined as something that is given in return for good or
evil done or that is offered or given for some service or attainment. This is
also the most i mportant source of power. To be more specific, power
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rewards, it refers to the degree to which the individual can give others a
reward of some kind such as benefits, desired gifts, pro motions or
increases in pay or responsibility. Reward power comes from the ability to
confer valued material rewards or create other positive incentives . It refers
to the degree to which the individual can provide external motivation to
others through benefits or gifts.
4. Coercive fo rce :
Coercion force can be used by a person or a group to threaten others to
make them act according to his/her desires. Coercive force can be of
physical, mental or other form. People opt for submission to the coercive
power possessor out of fear of punishment or fear of loss of their freedom
or any other reason. The threats could be real or imaginary perception. the
threat and application of sanctions and other negative consequences. These
can include direct punishment or the withholding of desired resources or
rewards. Coercive power relies on fear to induce compliance .
Coercive power is the application of negative influences.
It includes the ability to demote or to withhold other rewards. The desire
for valued rewards or the fear of having them withheld that ensures the
obedience of those under power. Coercive power tends to be the most
obvious but least effective form of power as it builds resentment and
resistance from the people who experience it. Threats and punishmen t are
common tools of coercion. Implying or threatening that someone will be
fired, demoted, denied privileges, or given undesirable assignments –
these are examples of using coercive power. Extensive use of coercive
power is rarely appropriate in an organ izational setting, and relying on
these forms of power alone will result in a very cold, impoverished style
of leadership.
5. Cultural hegemony :
Cultural hegemony is a concept which was effectively used by Italian
philosopher Antonio Gramsci. Cultural h egemony refers to rule or power
established by dominant class with help of ideology or culture. The term
refers to the ability of a group of people to hold power over social
institutions, and thus, to strongly influence the everyday thoughts,
expectations, and behaviour of the rest of society by directing the
normative ideas, values, and beliefs that become the dominant worldview
of a society. Cultural hegemony functions by achieving the consent of the
masses to abide social norms and the rules of law by framing the
worldview of the ruling class, and the social and economic structures that
go with it, as just, legitimate, and designed for the benefit of all, even
though they may really only benefit the ruling class. It is distinct from rule
by force, like in a military di ctatorship, for achieving rule through the
realm of ideas, norms, and expectations.
6. Political party:
The reason for the supreme position of the party lies in the very nature of
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frequently, very egoistic interests as national interests. At the same time,
however, it prevents the total domination of national interests by particular
interests. The function of the political party in democracy is thus ambig -
uous. The democratic proce ss compels each social group to strive for mass
support. Each group, therefore, must present its egoistic interests as
universal. Politics in a democracy, the struggle for political power, thus
becomes far more ideological than in any previous period in hi story.
3.1.3 Different Forms of power /faces of power :
1. Power through Decision -Making:
The first form of power comes very closer to the theory of Robert Dahl
who says that power is explicitly seen in a relationship. According to Dahl
those who have power takes control over the decision making process. He
discusses power from the context of decision making. Luke’s conception
of power addre sses the issue that is prevalent in the present contemporary
society. The principal focus here lies in the behavior of the actors that is
those who take part in decision making.
Importance -In this situation those who wins the argument, or an issue, has
the power. This is similar to the viewpoint of Classical Pluralist approach
to power. For example in a classroom a teacher wins an argument with a
student that means teacher has power. Similarly in political system
government makes a decision through legis lative branch and gets
obedience of the citizens. In a nutshell the one dimensional view of power
is often called the 'pluralist' approach and emphasizes the exercise of
power through decision making and observable behavior.
2. Power as Agenda setting :
The second form of power is about agenda setting or non decision making.
In their important work ‘ The two faces of power, Bachrach and Baratz
described non decision making as the second face of power. This
dimension is concerned with influencing the topi c that is likely to come
for the debate. In this case power may be exercised to ensure that certain
issues and topics never come up for debate at all. In other words power
can shape the setting of agenda for debate itself and exclude certain issues
from th e beginning. The second form of power gives emphasis on
decisions that are not made. It focuses on decision making as well as
control over the agenda. For example a Chairperson of a meeting can
decide before the meeting about the agenda of meeting, which m eans that
he is not at risk of being questioned and opposed as he can alter the topic
of discussion.
Importance - This type is comparatively well guarded and discreet in
nature since power is exercised behind closed doors. Those who have the
power to set the political agenda also have the power to determine what
can, and more importantly, cannot be discussed. The most important point
highlighter here is that power is not just about decision making it is about
preventing decisions being made or reducing th e choices of making the
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3. Manipulating the view of others :
This form of power includes manipulating the psychology of the people
and finally shaping their preferences. This can be seen as similar to the
Marxist view of ideological power, where the ability to control can lead to
acceptance of biased decisions without questioning.
Importance - The third face of power described how power can manipulate
others to do something they might not actually want to do. Lukes, a
Marxist, said this can create a false consciousness as the working
class will be convinced that what the ruling clas s wants is actually what
they want too, thus the third face of power can be described as
manipulation. This dimension can be seen as a 'deceptive face', where
trickery and psychological methods is the primary tool in
shifting values and changing what peopl e consider to be important.
3.2 AUTHORITY
Authority is known as that power whi ch is legitimised in nature . In other
words legitimate power is known as authority. Whereas power is defined
as the ability to influence the behaviour of another, authority can be
understood as the right to do so. Power brings about compliance through
persuasion, pressure, threats, coercion or violence. Authority, on the other
hand, is based upon a perce ived ‘right to rule’ and brings about
compliance through a moral obligation on the part of the ruled to obey.
Power is known as ability to influence others behaviour , authority is the
right to influence other's behaviour. In other words Authority = Power +
Legitimacy. Authority therefore can be discussed as that concept which is
based on acknowledged duty to obey rather than any form of coercion or
manipulation. The greatest exponent of the concept of authority is Max
Weber. He was determined to explain why and under what circumstances,
people were prepared to accept the exercise of power as legitimate?
3.2.1 Meaning and definition of Authority:
Etymologically the term authority is derived from the Latin word autorite
meaning right to exercise the power or ability to settle disputes . Power
necessarily means the power of the state. Authority is based upon an
acknowledged duty to obey rather than any form of coercio n or
manipulation.
Authority can be discussed as a right to rule and it slowly takes the form of
moral claim wherein people are obliged morally to accept th e authority of
those who hold it. For example p olitical leaders in this sense continue to
claim the right to rule, on the basis of election results or constitutional
rules.
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Definition of Authority :
Gerhard Kohler : “Authority rests on intransitive power, since it can
only take place in a common space of action in which the relationship
of command and obedience is fund amentally accpeted”.
Max Weber : Authority is the “probability that a command with a
given content will be obeyed by a given group of persons.”
3.2.2 Types of authority / Weber’s classification of authority :
Max Weber , a German sociologist and political economist best known for
his thesis of the “ Protestant ethic ,” relating Protestantism to capitalism ,
gave a systematic typology of authority. Weber in his philosophical and
sociological discourse has discussed three types of authority. He wrote in
German language and while advancing h is theory of authority he actually
has used the term Herrschaft and its English translation is ‘domination’ or
‘rule’. Since domination is generally not recognized as an established
political concept the term domination as used by Weber is referred in
Engl ish as authority.
1. System of domination:
Weber was interested to put forth a ‘system of domination’, and aimed to
explore in each case the grounds upon which obedience was established.
He evaluated the concept of system of domination by constructing three
‘ideal-types’ of domination . The ‘ideal types’ which he accepted were
only conceptual models that would help to make sense of a highly
complex nature of political rule. Weber defined authority (domination) as
the chance of commands being obeyed by a specifiable group of people.
Legitimate authority is that which is recognized as legitimate and justified
by both the ruler and the ruled. Legitimate does not necessarily imply any
sense of rationality, right, or natural justice. Rather, domination is
legitimate when the subordinate accept, obey, and consider domination to
be desirable, or at least bearable and not worth challenging. It is not so
much the actions of the dominant that create this, but rather the
willingness of those who subordinate to believ e in the legitimacy of the
claims of the dominant.
2. Three types of authority:
Weber outlined three major types of authority or what he called legitimate
domination: traditional, charismatic, and legal -rational. These three forms
do not constitute the totality of types of domination but they show how it
is possible for some people t o exercise power over others. Authority
extends and maintains power and demonstrate how people come to accept
this domination as a regular and structured phenomenon. It is important to
note that these are ideal types, with actual use of power being likely to
have features of more than one type of authority, and perhaps even other
forms of power such as the use of force or coercion.
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Traditional authority is based on the idea of historical precedence and
perception that one h as right to rule because of a long -standing belief
system. Charismatic authority is derived from the exceptional skills or
competence of the leader. The third type is rational -legal authority, the one
most interesting to Weber, is possible only in the mode rn world and is
based on a set of rational rules that are formally enacted. This type o f
authority is highly bureaucratized in nature , and its increasing presence
increases rationalization of society. Three types of authority can be
discussed as follows:
A. Traditional Authority :
Traditional authority is the first type of authority discussed by Max
Weber. In this type those who holds power assumes extraordinary
importance and no one challenges his right to exercise power. These
could be (i) religious, sacred, or spiritual forms, (ii) well established and
slowly changing culture, or (iii) tribal, family, or clan type structures.
Important feat ures of traditional authority are as follows:
i) Immemorial custom:
In h is analysis Max Weber propounds that in traditional societies ,
authority was based upon the esteem regard for old traditions and customs.
Consequently traditional authority was regarded as legitimate, because it
had always existed and had been accepted by earlier generations. This
form of authority is therefore sanct ioned by history and is based upon
immemorial custom.
ii) Belief in the sanctity of everyday routine :
The status of dominant personality is not exactly defined in traditional
authority. The dominant personality could be a priest, leader of a clan,
family head, or some other patriarch. In most circumstances, traditional
authority is reinforced by culture such as myths or commitment to
sacramental rites, spiritual believes, symbols such as a cross or flag. There
is also a strong devotion to the structures and institutions which perpetuate
this traditional authority. In Weber's words, this traditionalist domination
"rests upon a belief in the sanctity of everyday routines."
iii) Two types of traditional authority :
Weber has further discussed two types of traditional authorities, namely (i)
gerontocracy or rule by elders. It is a form of social organization in which
a group of old men or a council of elders dominates or exercises control
(ii) Patriarchalism where imp ortant positions are inherited by male
inheritor. It involves the 'subordination of children and women to the male
head of family who hold control over the wealth of the family, the
sexuality of its women, and the labour power of all its members.
iv) Traditional authority creates inequality:
Weber maintains that the traditional authority is a means by which
inequality is created and preserved. In this authority there is no scope to
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traditional authority blocks the development of rational or legal forms of
authority.
B. Charismatic Authority:
Weber’s second type of authority or fo rm of legitimate domination is
Charismatic authority. Th is form of authority is based entirely upon the
power of an individual’s personality, that is his or her Charisma which
means magical charm, gift or favor. Weber defines charismatic authority
as "resting on devotion to the exceptional sanctity, heroism or exemplary
character of an individual person, and of the normative patterns or order
reveale d or ordained by him". C harisma is a quality of an individual
personality that is considered extraordinary, and followers may consider
this quality to be endowed with supernatural, superhuman, or exceptional
powers or qualities. Whether such powers actually exist or not is irrelevant
– the fact that followers believe that such powers exist is what is
important. Some of the features of Charismatic authority are as follows:
i) Popular acceptance and reverence:
Weber considers charisma to be an inspiring and innovative force which
cascades thr ough traditional authority and established rules. The sole basis
of charismatic authority is the recognition or acceptance of the claims of
the leader by the devotional followers. There is popular acceptance of
leaders and the dominant leader is highly rev ered. Interestingly it has
capacity to challenge the traditional rule and can even confront legal
authority.
ii) It creates a spectre of total power:
Whether charismatic authority posses’ popular acceptance or not , its way
of functioning is authoritarian in nature. It is for this reason that it is
looked upon with suspicion. Charismatic authority demands unquestioned
obedience and imposition of authority regardless of consent.
iii) Power is based on faithful devotio n:
In charismatic authority the followers or adherents not only recognize but
also endorse personal mission of the charismatic leader. Here the edifice
of power rests solel y upon realistic recognition that founts from faithful
devotion. Authority legitimized by charisma rests on the devotion of
followers to the exceptional sanctity, heroism, or exemplary character of
leaders as well as on the normative order sanctioned by them.
C. Legal or Rational Authority:
The third type of authority identifie d by Weber is Legal -rational authority.
According to Weber this is the most important type of authority since it
has acquired a dominant mode of organization within modern industrial
societies. This type of authority rests on a belief in the legality of enacted
rules, regulations and laws. Under such rules those who are elevated to
authority generally issues commands. Important features of legal -rational
authority is as follows :
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i) Bureaucratic organizations :
Weber maintains that legal -rational authority is a classic example of the
large scale, bureaucratic organization that had come to dominate modern
society. It operates through the existence of a body of clearly defined
rules. In this type of authority the respect and obedience is attached
entirely to the office and its powers and not to the office bearer. In this
sense it is completely different from the charismatic and traditional
authority.
ii) Respect for the rule of law:
Legal -rational authority is based on rules and regulation and there fore it
respects the principle of rule of law. Modern government can be said to
operate on the basis of legal -rational authority. The powers of the office
holder is determined in all circumstances by formal, constitutional rules
which constrain or limit wh at an office holder is able to do. According to
Weber this kind of authority is to be preferred to traditional or charismatic
authority.
iii) It creates a rationalized political system:
The legal rational authority gives rise to a legal rational system, and
consequently leads to the development of political system which becomes
rationalized in nature. Associated with this are constitutions, written
documents, offices, regular elections and political procedures and so on.
This type of authority thus stan ds in opposition to earlier types of
authorities which is based on tradition or charisma. In a nutshell we can
say that when a political or legal system develops in rational manner, then
the resultant authority takes on a legal form.
3.3 LEGITIMACY
Legitimacy is an important concept of political theory and it is closely
connected with the term political obligation. The term political obligation
and legitimacy finds a significant place in the subject matter of political
sociology. So far as political science is concerned the concepts like
authority and legitimacy becomes important area of study with reference
to understanding the structure and function of a political system. To be
more specific a political scientist is expected to be concerned with the
question of authority as well as its legitimacy in terms of the decision
making process that characterizes the operation of a modern political
system.
3.3.1 Meaning of legitimacy :
The term legitimacy is derived from the Latin term legitimare meaning ‘t o
declare lawful’. Legitimacy broadly means rightfulness and actually
transforms power into authority. Legitimacy is a belief, held by
individuals, about the rightfulness of a rule or ruler. Legitimacy is defined
and discussed differently by philosophers a nd political scientists. Political
philosophers treat legitimacy as a moral or rational principle, while
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willingness to comply with a system of rule regardless of how this is
achieved .
3.3.2 Features of legitimacy :
1. Subje ctive and normative connotation :
Broadly speaking the concept of legitimacy is subjective and normative in
nature. It is important to note that it exist only in the beliefs of an
individual about the rightfulness of rule. The subjective approach to
legitimacy is grounded in the work of Max Weber, who emphasizes the
macro -social consequences of citizens’ belief in the legitimacy of their
rulers. The normative approach to legitimacy attempts to identify a moral
or rational basis for legitimacy, thereby suggesting a clear and objective
difference between legitimate and illegitimate forms of rule.
2. Justification of authority:
the most important function of legitimacy is to transform power into
authority . Political legitimacy is o ften seen as a concept which provides
justification of authority. The main function of political legitimacy, on this
interpretation, is to explain the difference between merely effective or de
facto authority and legitimate authority . John Locke put forward such
interpretation of legitimacy.
3. Sources of legitimacy:
Max Weber gives t hree main sources of legitimacy understood as the
acceptance both of authority and of the need to obey its commands. He
identifies three sour ces of legitimacy that is tradition, charisma and
legality. People may have faith in a particular political or social order
because it has been there for a long time (tradition), because they have
faith in the rulers (charisma), or because they trust its l egality - specifically
the rationality of the rule of law.
4. Closely connected with Political Obligations:
Historically speaking, legitimacy is closely connected with the concept of
political obligation. John Locke is the greatest exponent of this vie wpoint.
He says that every man gives his consent to formulate a sovereign power
or a government and voluntarily puts himself under an obligation to
submit himself to the determination of majority.
3.3.3 Sources of Political Legitimacy :
A. Consent :
Consent came to be seen as the most important source of legitimacy
during seventeenth century. Philosophers like Hugo Grotius, Hobbes, and
Samuel Pufendorf in their discourse advanced an argument that consent is
the most important source of legitimacy. Phi losophical base of consensual
legitimacy may be understood in three ways. i) Political authority is
required to get consent of all subjugated or the inhabitants in order to
establish its legitimacy over them. ii) The position of legitimate authority
is that the subdued masses are under an obligation to give their consent in
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legitimacy, but the conditions for the legitimacy of authority are such that
only political authority that enj oys the consent of those governed can meet
them.
B. Beneficial Consequences :
Beneficial consequences means utility of a particular thing depends upon
its consequences. This general approach is applied at different level in
normative political theory. The most notable example of this is about
whether a ruler posses a moral right to rule. This view point is advanced
by utilitarian theorists who suggest that the legitimate political authority
should be grounded on the principle of utility. This conception of
legitimacy is necessarily a moralized one that is the legitimacy of political
authority depends on what morality requires.
C. Public Reason :
Public reason is different from consent or utilitarian principle. It is based
on the principle that our political principles must be justifiable and
reasonably acceptable to all those persons to whom the principles are
meant to apply. Hobbes, Kant and Rousseau are major exponent of this
theory. Contemporary thinkers like John Rawls and Jurgen Habermas have
also used this theory to delineate the grounds of political legitimacy.
Rawls’ says that “political power is legitimate only when it is exercised in
accordance with a constitution (written or unwritten) the essentials of
which all citizens, as reasonable and rational, can endorse in the light of
their common human reason”. In the way public r eason is perceived as the
source of legitimacy.
3.4 UNIT END QUESTIONS
1. Give meaning of power and discuss various forms of power.
2. Define power and give important sources of power
3. What is authority? Evaluate Max Weber’s classification of authority
4. Write meaning of legitimacy and illustrate its sources
5. What is legitimacy? Give its important features
6. Write short notes:
Different dimensions of power
Traditional authority.
Charismatic authority.
Legitimacy.
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4
CONCEPT OF LAW AND POLITICAL
OBLIGATION
LAW – NATURE, SCOPE AND TYPES
Unit Structure
4.1 Objectives
4.2 Introduction
4.3 Law: Definition Meaning
4.3.1 Features and Nature of Law
4.3.2 Sources of Law
4.3.3 Types of Law
4.3.4 Scope and importance of Law
4.4 Political Obligation and Types of Resistance
4.4.1 Introduction
4.4.2 Meaning and Nature of Political Obligation
4.4.3 Grounds of Political Obligation
4.4.4 Right to Resistance
4.5 Unit End Questions
4.6 References
4.1 OBJECTIVES
To understand the concepts of law, its nature and types in Politics.
To understand the theory of Political and legal Obligations.
4.2 INTRODUCTION
Law is the most important feature of the modern state. Laws, which are
commonly known as sets of uniform principles, operate in all fields of
human activity from science to society. In political science we are
concerned with the laws of the state. The conc ept of law is one of the basic
concepts in political theory because the state is human and a legal
association and enjoys monopoly of power. Human community faces two
major organizational problems. One is regulation of human behaviour and
to maintain law a nd order. Second is to find a common method of deciding
claims and disputes. The ultimate objective of laws is to secure freedom
and justice for the people. Because when law limits and regulates human
action in society, it is in fact, safeguarding individu al freedom against
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the government, laws must be obeyed and that laws are necessary because
their absence will lead to anarchy.
4.3 DEFINITIONS AND MEANING OF LAW
Definitions of law are many and varied. Different schools of jurisprudence
have put forth various definitions of law. Some definitions are as follows:
- The Term Law is derived from the word „Lag‟ which means fixed or„
Uniform”. It means rules of behaviour which will be uniform for all.
John Austin Says : - “Command of the sovereign is called a law”. It may
be Monarch or Parliament. In that sense state is sovereign and rules of the
state are called a law.
T.E. Holland: - “Law is a general rule of external human action enforced
by a sovereign political authority”.
John Salmond defines : - “Law means the body of principles recognized
and applied by the state in the administration of justice”.
Definition of Law:
Jurists have defined law differently from different point of views. It has
been called Dhama in Hindu jurisprudence and “Hukum” in Islamic
system.
Defining the term ‘law’ is not an easy task because the term changes from
time to time and different scholars defi ne the term variously. Definition of
the term may vary due to the different types of purposes sought to be
achieved. Definitions given to the term law are as many as legal theories.
b) These external actions or threats of action always involve coercion or
force;
c) Individuals whose official role is to enforce the law must enforce the
coercive action.
He refers to state particularly when he talks about officials who enforce
the law because they are state officials who are empowered to do that.
4.4 FEATURE S AND NATURE OF LAW
The above definitions tell us that the concept of law have several
dimensions and features. These are as follows: -
1. A Law expresses the will of the state:
Law is considered to be the expression of the absolute sovereignty of the
state. Rules and regulation of the state in called law.
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2. A law is made by the Government:
Government is the authority which works on behalf of the state.
Government has three orga ns, Legislature, Executive and judiciary.
Legislative organ of the Government make the laws.
Executive organ of the Government implement and enforce the laws.
Judicial organ of the Government interprets the law and grants punishment
to those who viola te the law.
Thus a law is made by the Government and reflects the will of the State.
3. Law regulates the external conduct and actions of the people:
Internal thoughts, feeling sentiments cannot be regulated by the laws e.g.
gender equality laws can only lay down how men should behave with
women, it con not regulate what men think about women.
Thus a law can only regulate what members of a society do. It cannot
regulate what they think and feel.
4. Laws are universal:
It means laws are universally applicable to all. It means the „rules of law‟.
A law must apply to all citizens equally and treat them similarly e.g.
equality before the laws and equal protection of law to all. e.g. the penalty
for committing a narcotic offence - such as carrying prohibited dugs on
one’s person is the same for all In dians from Bollywood actor to common
man. Thus laws are universally applicable without any discrimination.
5. A law must be constitutionally valid:
Government makes the laws within the framework of constitution. Laws
are precisely written down. . There is a coercive authority behind law: -
Violation of law invites punishment by the state e.g. Police force identify a
violation of the act and judiciary punish the accused. Thus laws are backed
up by a system of coercion and punishment.
6. The supreme purpose of l aw is welfare of the people.
7. People give obedience to the law as it has the validity and sanction
of the state.
8. Laws are compulsory:
All individuals and associations are bound by the law of the state. It is not
optional. No one can be excused for break ing a law on the grounds of
ignorance. Individuals and associations are supposed to know the law of
the state
4.5 SOURCES OF LAW
Sources of law mean various factors that contribute to determine the
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of the State. However, a Government does not take decisions in isolation.
There exist various Non -Governmental facto rs that influence the creation
of law. These factors or sources are as follows: -
1. Customs: It is the first source of law. It came into existence before the
state came into being. Customs are earliest form of regulation of human
society. They were obeyed during earlier times because of their social
utility and later on due to habit. Customs are valued and respected by the
people. Violation of customs leads to public displeasure. After the
emergence of the state, customs slowly gave way to laws. The state
understood the utilitarian value of customs. The State initially enforced
only the customary law. Customs is not a law unless it is recognized by the
state. In England customs form an integral part of the common law.
However the state does not ratify all c ustoms. Some customs are evil
which have to be abolished by law. E.g. the customs of sati, child
marriage, unsociability are abolished by law.
2. Religion: In the primitive society customs had religious sanction. Every
aspect of life was regulated by rel igion. People had faith in religion and
therefore followed religious practices meticulously. Eventually, religious
rules were translated into legal rules for controlling and regulating human
behaviour e.g. Hindu laws are based on the code of manu and the M uslim
law on the Koran.
3. Judicial Decisions: The primary function of the judges is to interpret
and apply law. While doing so, the judges may come across the gap in the
law. Under such circumstances, he uses his knowledge and experience and
applies the law to specific cases. Such judgments can be used as
precedents in future. It may create new laws . The power of judicial review
in the U.S. and India can become the law making power of the judiciary.
4. Scientific Commentaries: There are the writings of eminent jurists
which contain important legal principles. Jurists collect and compare lot of
information. They study the existing legal systems, find out the drawbacks
in it and suggest measures to reform it. Lawyers and judges both use the
writings of th ese experts. When they are accepted by the judge, they
become part of a law.
5. Equity: Use the common sense by the judges. It means the principle of
fairness and justice. When the civil law becomes rigid and unrealistic, it
gives rise to equity. When the judge finds that justice cannot be achieved
with the help of existing law, he decides the case on the basis of fairness.
By doing this, precedent is set and it becomes the basis of new law. It is an
informal method for making a new law or improving an old law.
6. Legislation: Legislature is the law making body of the government.
Today most of the laws are product of legislature. Law making is the
primary responsibility of the legislature e.g. Indian parliament works as a
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7. Ordinance: To meet an, emergency, the government issue ordinance. It
is issued when the legislature is not in session. It is as effective as law.
Very often, the legislature converts an ordinance into a law. It is issued
when the legislature is not in session. It is as effective as law. Very often,
the legislature converts an ordinance into a law.
8. Different thinkers and philosophical schools put forth different views
about the nature and sources of law: -
A. The Analytical view: Austin, Hobbes and Bentham are the chief
exponents of this view. According to them sovereign authority is the only
source of law i.e. the state. The sovereign authority creates and enforces
law. It is authorized to punish those who disobey law. According t o them
people obey law because the state has coercive power. This view is
criticized on several grounds. It is emphasis on a formal source of law. A
part from sovereign authority, there are other sources of law like custom,
religion. Secondly they neglect the evolutionary character of law. Laws
are not made overnight, several historical forces enter into making of laws.
B. The Historical View: This school of thought is opposed to the
Analytical view, According to them customs; religion, traditions etc are
main sources of law. Useful traditions automatically take the form of law.
Hence the law is the result of the process of historical evolution, social
development and influences of the past.
C. The Sociological View: According to them there is a close re lationship
between law and society. Law is the product of social forces. The state
does not create law but only imparts legal value to the existing social
rules. Laws serve the social needs and interest of the society. People obey
law because it promotes s ocial welfare.
D. The Philosophical View: According to them law is a result of culture
and is also a means of enhancing it, their interest lies in securing an ideal
basis for law.
E. Communist or Marxian View: According to them state and its laws
protect the interest of the privileged class. They dominate the state. So
people should change the entire political system.
Conclusion
In modern times, legislature is the most important source of law. But the
content of law is determined by several above factors,
Types of Law :
Law are classified into different categories depending on its: -
Source,
Nature,
Usage and
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Aristotle, John Locke and Thomas Hobbes have spoken of natural law and
its rule in the functioning of the state.
They say tha t natural laws are those that cannot be destroyed by any
authority.
Natural laws have been created by nature itself.
These laws exist above and beyond the law of the state
Basic Features of Law:
Analysing the features and nature common to all laws would help us to
understand the concept of law.
Among these features and natures, the ones considered as essential include
Generality, Normativity and Sanction.
I) Generality:
Law is a general rule o f human conduct. It does not specify the names of
specific persons or behaviours. Hence, its generality is both in terms of the
individuals governed and in terms of the social behaviour controlled.
The extent of its generality depends on -on whom the law is made to be
applicable. Consider the following illustrations.
“Everyone has the right to life, liberty and the security of a person.” [Art
3, UNDHR; 1948].
- This law is made to be applicable to every person on this world.
Therefore, it is universal.
“Every person has the inviolable and inalienable right to life, the security
of person and liberty.” [Article 14 of the 1995 Constitution of the Federal
Democratic Republic of Ethiopia].
- This constitutional provision is made to be applicable to every pe rson
in Ethiopia. so, the extent of its generality is national. This is less
general than the first illustration.
“Every Ethiopian national, without any discrimination based on colour,
race, nation, nationality, sex, status, has the following rights…
(b) O n attainment of 18 years of age, to vote in accordance with the law.”
[Article 38(1)(b) of the 1995 Constitution of the Federal Democratic
Republic of Ethiopia.].
- This law is made to be applicable only to Ethiopian nationals who attain
18 years of age . Therefore, it is even less general than the second
illustration.
“Whoever intentionally spreads or transmits a communicable human
disease is punishable with rigorous imprisonment not exceeding ten
years.” [Article 514 (1) of the 2004 Criminal Code of the Federal
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- This law is made to be applicable only on a person who commits the
crime.
Therefore, it is even less general than the third illustration.
“The term of office of the presidents shall be six years. No person sha ll be
selected president for more than two terms” [Article 70(4) of the 1995
Constitution of the Federal Democratic Republic of Ethiopia].
- This law is made to be applicable only to a person who becomes a
president in Ethiopia. Therefore, it is even less general than the fourth
illustration.
Under all these illustrations, the subjects of laws are given in general
terms. However, the extents of the generalities decrease from universality
to an individual person. Generality of the subject of the law may se rve two
purposes. Firstly, it promotes uniformity and equality before the law
because any person falling under the group governed by the law will be
equally treated under the same law. Secondly, it gives relative permanence
to the law. Since it does not sp ecify the names of the persons governed,
the same law governs any person that falls in the subject on whom the law
is made to be applicable. There is no need to change the law when
individuals leave the group. This is what can clearly be seen from the fift h
illustration. Even if the former president’s term of office has lapsed, the
same law governs the present and future presidents without any need to
change the law. The permanence of law is indicated as relative for there is
no law made by person, which ca n be expected to be applicable eternally.
Generality of law, as indicated above, does not only refer to the subjects
governed but also the human conduct, which is controlled. The human
conduct in any law is given as a general statement on possible social
behaviour. It does not refer to any named specific act like stealing, killing
by shooting and killing by spearing. Just a law can govern millions of
similar acts and that saves the legislator from making millions of laws for
similar acts, which may make th e law unnecessarily bulky.
Ii) Normativity:
Law does not simply describe or explain the human conduct it is made to
control. It is created with the intention to create some norms in the society.
Law creates norms by allowing, ordering or prohibiting the s ocial
behaviour. This shows the normative feature of the law. #
Based on this feature, law can be classified as Permissive, Directive or
Prohibitive.
A) Permissive Law:
Permissive laws allow or permit their subjects to do the act they provide.
They give right or option to their subjects whether to act or not to act.
Most of the time such laws use phrases like:
- has/ have the right to munotes.in
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- is/are permitted/allowed to
- shall have the right
- shall be entitled to
- may
- is/are free to
Illustrations:
“Every person is free to think and to express his idea.” [Article 14 of The
1960 Civil Code of Ethiopia].
- The human conduct to think and to express ideas is permitted by this
law. Therefore, it is a permissive law.
“Accused persons have the right to be informed with sufficient particulars
of charge brought against them and to be given the charge in writing.”
[Article 20(2) of the 1995 Constitution of the Federal Democratic
Republic of Ethiopia].
- “have the right to” in this law shows that the subject is given the right
or permitted to get the charge in writing and to be informed its
particulars. Therefore, it is permissive law.
B) Directive law:
Directive law orders, directs or commands the subject to do the act
provided in the law. I t is not optional. Therefore, the subject has legal duty
to do it whether s/he likes it or not, otherwise, there is an evil consequence
that s/he incurs unless s/he does it as directed by the law. Directive law
usually uses phrases like:
- must
- shall
- has/have the obligation
- is/are obliged to
- is/are ordered to
- shall have the obligation/duty
Illustrations:
“The debtor shall personally carry out his obligations under the contract
where this is essential to the creditor or has been expressly a greed.” [Civ.
C. Art. 1740(1)]. “Shall…. carryout” in this law shows that the contracting
party, the debtor, is directed, ordered or commanded by the law as it is
provided. Therefore, this law is directive law.
“Every worker shall have the following obligations to perform in person
the work specified in the contract of employment.”[Article 13(1) of the
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‘‘Shall have the obligations to” in this law shows that the worker is
directed by the law as it is provided in the law. Therefore, it is directive
law.
In general, directive laws are mandatory provisions of laws. They oblige
the subject to act, as they require him/her to act.
C) Prohibitive law:
Prohibitive law discourages the subject from doing the act required not to
be done. If the subject does the act against the prohibition, an evil follows
as the consequence of the violation. All criminal code provisions are
prohibitive laws. Prohibitive laws usually use phrases like:
- must not;
- shall not;
- should n ot;
- no one shall/should;
- no person shall/should;
- may not;
- is/are not permitted/allowed;
- is/are prohibited;
- is/are punishable; and
- is a crime.
III) Sanction:
Each and every member of a society is required to follow the law. Where
there is violation the law sanction would follow.
Sanction according to Black’s Law Dictionary [Garner; 2004: 1368], is a
penalty or coercive measure that results from failure to comply a law. The
main purpose of sanction is to prompt a party (a wrong doer) to re spond.
In other words, sanction will make the wrong doer to think that s/he made
a fault and s/he should correct it. Sanction may be criminal. Criminal
sanction is a sanction attached to criminal liability . If the fault committed
is defined by criminal la w, the person will be liable to a sanction provided
under the criminal law.
Political laws are the laws which exist within states and between
states.
Political laws may be divided into two classes.
1) National law
2) International law
Political Law :
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Constitutional Law
Ordinary Law
Private law - Public Law
Administrative Law General Law
1. International Law:
It regulates the relations between the states. It lays down the rules of
behaviour of one nation state with another. It is not the creation of any
sovereign law making body. The states voluntarily accept this law. No
state can be forced to obey international law. It is only the moral binding
which makes them accept and obey the law. Thi s is because in
contemporary world politics each nation state is sovereign. International
law can only request but not compel. It is entirely up to the government of
nation states to decide whether the law will be followed or not. In the
event that it is n ot followed no international body can penalize the nation
state.
2. National Law:
National law is created by the state. It governs the relation of the
individual with the states, as well as relation of the individual with other
individuals. It is uniformly applicable to all individuals and associations. It
is compulsory for all. Force is the sanction behind national law. Anybody
disobeying the national law is punished. National law is created by the
Legislature, implemented by the Executive and interpreted by the
Judiciary. Hence it is backed by the state, and its organs, as well as the
coercive authority of the police and security. Individuals are expected to
know the laws of the state. They cannot plead ignorance about it.
3. Constitutional Law:
National l aw is further classified into constitutional law and ordinary law.
Constitutional law flows from the constitution of the state. It is the basic
and fundamental law of land. It determines the structure, functions of the
state, nature and scope of government al authority, fundament rights and
duties of the citizens. The government derives its authority from the
constitutional law. It may be enacted or evolved. It may be written or
unwritten e.g. It is written in India, USA and unwritten in England.
4. Ordinary Law:
Ordinary law is also a branch of national law. It is also known as statutory
law. It is passed by the state legislature. It is subordinate to constitutional
law. It is prepared as per the necessity; generally it is prepared keeping in
mind the basic principles of the constitution. It governs the relationship
between the people and the government. It is divided into private law and
public law.
5. Private Law:
It governs the relationship between individuals e.g. marriage, divorce
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6. Public Law:
It includes all laws that govern the interaction of one citizen with another
in the public sphere or the interaction of a citizen with a public entity such
as employers and business houses. It deals with the structure and functions
of the state. It defines th e relationship of the state with its citizens. The
individual has to obey public laws.
7. Administrative Law:
It deals with the relationship between the state and its officials. It
comprises those laws that regulate the relationship between government
officials and the state. It decides the powers and responsibilities of
government employees, cases against government employees are run in
the administrative courts and judgments are given as per administrative
law.
8. General Law:
It deals with the relationsh ip between the private citizens and the state.
These laws are classified on the basis of their source or the manner in
which they are prepared.
Thus they are: -
1. Constitutional Law
2. Common Law
3. Statute Law
4. Ordinance
5. Case Law
6. Administrative Law
7. Initiative
8. International Law
Out of these we have already studied constitutional law, statute law,
administrative law and international law.
Common law: These laws are derived from customs, traditions, usages
etc. It evolves over a period of time. Many times there is no formal
documentation of common laws, e.g. In England.
Ordinance: It is issued by highest executive authority e.g. In India the
Preside nt can issue an ordinance, in case of emergency, when the
Parliament is not in session. It lasts for six months.
Case Law: When the judges give judgment on cases that come to them
keeping in mind the principle of equity, it creates case law. Such
judgmen ts are used in similar cases later on. Initiative: - These laws are
proposed or initiated by the electorate. It is the sign of a mature and
enlightened citizen. The democracy can be said to be really meaningful in
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4.7 SCOPE AND IMPORTANCE OF LAWS
It means purpose and necessity for obeying laws.
1. A law expresses the sovereignty of the state: Barker states “The state
exists for law, in law, through law and as law”. For meaningful and
successful functioning of democracy, it is essential to obey laws.
2. A law regulates human behaviour and social interactions : Law is
essential for maintaining peace, order and stability in the society. Laws are
created keeping in mind the interest of sections of people. Without law
there will be anarchy in the society. Man is a social animal; He lives in a
civil society. When he is living in such society, it is necessary to control
his behaviour . This function of regulating his behaviour is done by law.
3. Law protects the weak: It curbs the activities of anti -social elements.
The objective of law is creation of such an atmosphe re, where there is no
fear. In a democracy, it is expected that people participate freely in the
affairs of the state. If there is no law, the weak, poor and powerless will
not be in a position to participate in the affairs of the state. The state
function s through law and makes sure that the weaker section is protected.
Without law there is no liberty. Purpose of law is to protect liberty of the
people.
4. A law enables civilization to progress: It the state wants to proceed
rapidly on the path of econom ic development peace is essential. In the
absence of social security, peace development is impossible. Hence
respecting laws is essential for national development. The state uses law as
a tool to bring about progressive developments in the social, economic ,
political and technological spheres.
4.4 POLITICAL OBLIGATION AND TYPES OF RESISTANCE
4.4.1 Introduction:
Political obligation is a central concern of political philosophy. It is related
to the survival and sustenance of a political system. A political system
survives only when people give obligation (obedience) to it. In political
theory two questions are important. Why do people obey the state? On
what grounds can the disobedience be justified? And what are the methods
of resistance?
1) Meaning and N ature of political obligation
2) Grounds of political obligation
3) The theoretical justification of political obligation
4) Whether political obligation is absolute
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4.4.2 Meaning And Nature Of Political Obligation :
The word ‘obligation ’ comes from the Latin word obligate, which means
to perform an enjoined duty. An obligation is a duty to do or not to do
something, Political obligation means - “to obey the command of the
state”
Political obligation is something, which, we owe to others, as members of
society. As members of society and the state, we are expected to behave in
a manner, which is good for all and refrain from acting in a way which is
harmful to the society. The state has sovereign authority, it is authoritative.
It has the right to issue order to its citizens and the right to receive
obedience from them. The state call upon us to follow captain’s do’s and
don’ts. These do’s and don’ts are known as duties or obligation s
Difference between obligation and obedience:
In common usage both the terms are used as synonyms obedience is
instinctive. It is a product of training and habit.
Obligation is more than obedience. Obligation is a product of reason. It is
a conscious action arising from within the individual e.g. An animal obeys
because of habits and training or out of a sense of loyalty towards the
master, while a citizen obeys the law of the state, because he considers it
as right on his part to do so.
Classificat ion or Types of Obligations: - Obligations may be classified into
two types.
1) Moral and legal obligations
2) Positive and Negative obligations
Moral obligations: Moral obligations are those that have not been
prescribed by the state. It is only the mo ral duty. These obligations include
those that have been evolved by society itself over centuries in the form of
tradition or custom. Individuals fulfil these duties because society says that
it is the good way to behave. Moral obligations differ from soci ety to
society. Moral obligations have no legal backing and obeyi ng them is
purely voluntary. e.g. to help the poor and the needy.
Legal obligations: Legal obligations are those that have been laid down
by the law. A citizen must follow legal obligations because they enjoy the
backing of the law. Any failure to fulfil a legal duty can be punished by
the state. e. g. A citizen of India can be penalized for disrespecting the
national Flag and Anthem because the Flag Code of India forbids it. Thus
citizens m ust necessarily follow all legal obligations.
Positive obligations: Positive obligations are t hose, which expect
individuals to do something‟ such as to obey the laws of the state, pay the
taxes, exercise one’s right to vote etc.
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Negative Obligations: Negative obligations are those which expect
individuals; not to do something ’ which is prohibited. e.g. not to commit
theft or murder etc.
A Few Important Political Obligations :
Every individual will have to obey the laws of the state and refrain from
doing what is prohibited by law.
1) Allegiance to the state: The foremast obligation of every citizen is to
show allegiance to the state to which he belongs. A citizen must
defend the state against all enemies and dangers and serve and show
loyalty to the state for preserving its integrity under all circumstances.
2) To respect and obey the laws of the state: The state makes laws for
the welfare of the people. Hence it is an essential obligation of every
individual to respect and obey the laws of the sta te.
3) To pay all kinds of taxes regularly and punctually: The state runs
its governmental machinery, maintains armed and police forces, and
promotes public welfare. All this is possible with money, which come
from the people in the form of taxes. It is, therefore, an essential
obligation of every person to pay all types of taxes.
4) To an honest exercise of franchise: It is not only a right but also
obligation of every citizen. For the meaningful democracy he must
exercise his franchise with judgment, discretion. Holding public office
in a spirit of service and dedication is also an essential obligation of
citizens.
5) Co-operation with Government: It is an essential obliga tion of
citizen to help and co -operate with the government, in the
maintenance of law, and order and peace. No Government can be
successful without the close co -operation of the people in preventing
lawlessness, in fighting corrupt practices and in rendering service in
times of emergency.
4.4.3 Grounds of Political Obligation:
Why s hould individuals obey the state?
In seeking answer to this question we should study various reasons or
grounds of political obligation.
1) Legal Ground: The simplest ground for obligation is the legal ground
State possesses sovereign authority. Theref ore it has the right to make
laws and the citizens have the obligation to obey those laws. It is a legal
duty of the citizens to obey these laws; otherwise they will be punished by
the state.
2) According to Bryce: Grounds of obligations are as follows.
A) Human tendency: i.e. desire to avoid trouble. It is a human tendency
to follow the line of least resistance. Most people comply with the munotes.in
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command of the state because they wish to avoid trouble .They obey,
not because they feel it is their bounden duty to do so, but to avoid
trouble from the state authority.
B) Deference: i.e. respect for the head of the state. In tribal and feudal
societies deference for man in authority was the most stable basis of
obedience.
C) Sympath y: i.e. psychological group feeling towards one another
D) Fear : i.e. the fear of punishment by the state. The coercive force of
the state, keeps men under check.
E) Reason : It means understanding that the conscious obedience of the
laws of the state is for the good of the whole c ommunity.
3) The theoretical justification of political obligation:
Political philosophers have advocated different theories of political
obligation. Some of the prominent theories are:
1) The Divine theory – ground of divine right
2) The theories of social contract - ground of consent and contract
3) The theory of common good and utility of the state.
4) The Idealistic theory
5) The Marxian theory.
6) Ground of prescription
7) Theory of force
1. The divine theory:
It insists that Divine Will is the ground of political obligation. Almost all
religious scriptures have propounded this theory. The state and King is
regarded by them as a divine authority. King is the representative of God
appointed to rule over the subjects. Hence to disobey a command of the
king means disobedience to the will of God and it is sin. Divine Right of
Kings and Divine Will is the main ground of political obligation. This
ground of political obligation was the most popular in the age of
monarchical stat e. But in the modern age this theory is rejected as it is not
only unhistorical, unscientific but also undemocratic.
2. The theory of Social Contract and Consent:
According to this theory, people entered a contract and created a state
(sovereign) that they voluntarily obeyed. Consent of the people is the main
ground of political obligation.
Thomas Hobbes, John Locke and Jean Jacques Roussea u were the
three distinguished exponents of this theory.
Thomas Hobbes in his works said that the state of nature i n the absence
of the existence of a state would be that of disorder and anarchy. In order
to escape such a terrible existence people entered in a social contract by
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authority. This auth ority i.e. states would protect the interests of all
citizens and prevents civilization from falling back to law of the jungle. He
said the state is not a party to the contract but product of it, and hence
citizens owed the monarch obedience. Because the people themselves had
consent to and entered the contract. The state would be a totalitarian (all –
powerful) one wherein the monarch could demand the obedience of the
people.
John Locke also believed that a contract was signed, and a sovereign
authority was created. But According to him the ruler has limited
constitutional authority and that the people must obey him as long as he
discharged his duties effectively. If the ruler failed to serve the masses, the
people have the right to overthrow him and brin g in a new ruler
Jean Jacques Rousseau said that state was the result of a contract by the
people. He vested political authority in the General Will i.e. combination
of the ideal will of the people. Thus according to Rousseau, the state was
created by a contract under which all people agreed to be tied and
obligated to political authority . It the ruler acted arbitrarily and misused
his authority; Rousseau gave the right of revolution to the people.
3. The theory of common good and utility of the state: Je remy
Bentham:
This theory is advocated by the utilitarian who believe that the state is a
means to secure the end of common good. Therefore, we are obliged to
obey the laws of the state. The state is organized and maintained to
promote happiness or pleasure. In the word s of Jeremy Bentham „the
greatest happiness of the greatest number is the foremast concern of the
state‟. The state achieves its purpose through laws, backed by coercive
power, requiring individuals to obey laws and to contribute to the
promotion of the co mmon good.
4. The Idealistic theory:
According to this theory the ground of political obligation is the human
rationality.
This ground of political obligation is based on the assumption that man is
a rational being who is aware of his strengths and weakn esses and tries to
maximize his strengths and minimize his weaknesses. This theory assumes
that every individual’s goal is to attain his highest self. An individuals can
achieve this only as a part of society and state and not in isolation.
Socrates, Pla to, Aristotle and idealist thinkers like Hegel, T.H. Green
believe that an individual is obliged to obey the state because it is the state
that enables him to live the life of a human being who realizes his
potential.
The rational individual knows that his best. Interest can be secured only
within the state. Therefore individual willingly obeys its laws. munotes.in
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According to Hegel “The state is the embodiment of reason, it is the
march of God on earth” Individual freedom lies in the perfect obedience
the state.
T.H. Green said “Will not Force, is the basis of the state. Thus according
to idealist the source of the political obligation lies in the rationality of
man.
1. The Marxian theory:
According to Marxists, in the capital ist system an individual has the right
to resist the state because the state is a bourgeois institution and represents
the interest of that class alone. The oppressed working class has no
obligation to the existing political order. But when the capitalist system is
overthrown and the socialist system is established then state will become
an institution of the whole people. Then there is no question of
disobedience.
2. Edmund Burke Ground of prescription (established conventions):
Well –established customs, conventions is the ground of political
obligation. This theory says that people willingly obey the state because
they have been doing so far several years. Edmund Burke says, the ground
of prescription is based on the belief that the nature of the state to day is the
result of centuries of evolution and therefore embodies the collective
wisdom of many generations.
3. Theory of force:
This theory explained that the state originated due to physical coercion and
warfare. Even after the establishment of the sta te, force has to be
employed for its survival. Force is essential not only for maintaining law
and order, peace within the territory of the state but also external security.
It is because the state possesses the physical power that individuals obey
the sta te. The people are afraid that if they disobey the laws, they would be
punished hence they oblige the state.
4) Other Strong Reasons of Political Obligation :
1. An individual has social as well as political needs: Man is a social
and political animal. No m an can live in isolation. Individual’s social
needs drive him towards the establishment of society and his political
needs drive him towards the establishment of state. Since both
institutions are in the interest of the individual he willingly owes them
his loyalty and accords political obligation.
2. Legitimacy of the Government: Educated and politically aware
citizens fulfil their political obligation because they believe the source
of law is government. It is to be legitimate, e.g. in India the majority
of citizens follow laws made by the parliament because the
government has been voted to power in the manner that the
consti tution prescribes by free and fair election. When people believe
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3. Fear of Anarchy: An average citizen is peace -loving and wish to live
a secure and ordered life. In the absence of the state a nd its laws it is
impossible. Hence citizens find it justified that in return for law and
order they should perform their duties towards the state.
4. Tradition, custom, habit and societal pressure: People often
perform their political duties simply because they have been already
doing so far years as a tradition and habit. Many times people do
things because it simply pleases society.
4.4.4 Right to Resistance :
Introduction:
Political obligation is never absolute. Citizens have a right to resist and
oppose the state laws. Students of political science must know the
circumstances under which such right of resistance is justifiable.
In the context of right to resistance we should study following points: -
1) Meaning of right to resistance
2) Conditions under which such resistance is justifiable
3) Various forms and Means of resistance.
The Meaning of right to resistance:
The refusal by the citizens to abide by the laws and commands of the
government.
The goal of political dis -obedience:
The goal of political disobedience is to secure change in the action,
policies, laws, government or in the system. Political disobedience
embraces the performance of any act prohibited by the law of the state or
the non - performance of any act required by the law of the state, with the
purpose of securing changes in the action, policies of the government or of
the social and political system underlying it. The past history of many
countries shows glorious instances of right to resist. George Washington in
America resisted and revolted against the British rule. In our country
crore’s of Indians under the leadership of Mahatma Gandhi resisted and
revolted against the cruelty of the British regime in India.
Justification of right to resistance:
Political ob ligation is not absolute. Citizen has a right to resist and oppose
the state laws. Only on some occasions and conditions people have a right
to resist authority and its laws. But right to resist is the medicine of the
constitution and not its daily bread. It means generally laws are made for
the wellbeing of the people. Hence people give absolute and unconditional
obligation. However sometimes laws are arbitrary, unjust harmful and
violate the fundamental right of the people. In that situation the question
arises is whether people should obey or disobey the authority and its laws.
In such circumstances political disobedience to unjust laws is justified. It munotes.in
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means resistance to the state authority takes place under extra -ordinary
circumstances and for a justif iable reason.
Different political thinkers hold different views on this matter:
1) Aristotle said that people revolt against the existing political order due
to their desire for justice and equality of status. According to him general
causes of disobed ience are injustice and inequality.
2) John Milton: During the renaissance period John Milton asserted that
resistance to an oppressive ruler is a natural right. He argued that men are
born free and set up governments for mutual defence. Hence the people
should have the right to protect the common good against a tyrant
Liberal thought: John Locke who was the founder of liberal thought
recognized the right of rebellion, only in the last resort and as a remedy for
evil government. He believes that “a right of rebellion resides in the
people and may be given effect to, after all legal processes and procedures
have been exhausted, if any arm of the government exceeds its power,
fails to carry out its responsibilities or invades the basic natural rights and
liberties of its subjects”.
4) Idealist thought: T. H. Green , who was an idealist philosopher, allows
the individual to resist the state authority under certain conditions. he said
individual must ask himself certain questions to find out whether his
decis ion to resist the government is justified
1) Have used all the legal and constitutional methods of getting the bad
law repealed?
2) Is my contemplated step the result of cool judgment?
3) Is it the right step? Is it for \good of the people?
4) Do ha ve the necessary moral calibre to launch a resistance against
law? i.e., required will power, courage and ability to launch a
resistance campaign
5) What will be the results of resistance and will the situation improve
by my action?
Thus, Green and Locke favour resistance only under exceptional
circumstances when no other alternative exists.
5. Gandhian thought: Mahatma Gandhi had held that the people have the
right to oppose bad laws when they cannot change such laws by legal
means . He spoke of peaceful disobedience to the government. Jayprakash
Narayan, Martin Luther king Jr, Dalai Lama and Aung Sung Suukyi all
Gandhian’s also advocated that it is unethical and immoral for a citizen to
obey a bad law. It is the individual’s duty to obey a national and just law,
it is also his duty to disobey and resist an irrational and unjust law.
Jayprakash Narayan launched movements that resisted the governments
unjust land laws which oppressed poor peasants, Martin Luther King Jr. munotes.in
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protested the laws of United States government which discriminated
between „blacks‟ and „whites‟. Thus resistance can be justified on certain
grounds.
Forms and Means or methods or Types of resistance:
Resistance to the authority of the state is of two kinds
1) Viole nt resistance i.e. revolutionary
2) Non - violent resistance. i.e. Gandhian
Revolution: Revolution is defined as the forcible overthrow of a
government. Revolution as a method of resistance has a long history. The
ancient Indian tradition sanctioned a re bellion against an unjust king. By
and large revolutions are violent and accompanied by bloodshed.
Exception is glorious revolution of England of 1688. Robert Dahl defines
revolution as a collective and ordinarily a violent action by which a people
reject the existing authority and prepare to attack and destroy them. Its aim
is to be bringing about a total and profound change in the existing system.
The French Revolution of 1789 can be described as the mother of all
revolutions. The 20th century has witness ed many revolutions the most
notable among them are the Russian revolution (1917) and Chinese
revolution (1949). Although today the term „revolution‟ is often used to
imply any far reaching change e.g. Green revolution, Revolution in the use
of computers e tc. but as a method of resistance revolution means the
forcible overthrow of a government or social order.
Difference between Revolt and Revolution: Revolt implies a violent
rebellion against the existing political authority.
Rebellion implies purposeful violence by the citizens which brings about a
long – term change in the political system. Whereas a revolt occurs on a
relatively small scale, is of a shorter duration and involves a relatively
small section of society. e.g. In India revolt of 1 857.
A revolution occurs on a much larger scale over a longer period of time
and involves a huge population.
The term revolution has the following implications:
1) Revolutions influence all aspects of state Revolutions bring out a
change in not only t he polity of a state but also in its society, economy,
culture etc.
2) Revolutions alter the state in a large way Minor changes in government
cannot be termed a revolution. Revolution brings about long -term, far
reaching, total and profound change in the existing system.
3) Revolutions are usually violent: munotes.in
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4) Revolutions seek to establish new order -Revolutions are not only
concerned with ending the existing political, social and economic order
but also with establishing a new order
4) Insurgency: It is another type of violent method of expressing
resistance to the authority. It is a conspiracy, a handiwork of a few, who
are dissatisfied and disappointed with the authority, they resort to acts of
terrorism and other kinds of violent acts. During in surgency the cause may
or may not have the support of people at large. Yet it creates a terror in the
minds of the people e.g. the secessionist movements for the „Khalistan‟ or
“Tamil Elam ” can be regarded as acts of insurgency. Their style of
functioning is disruptive and causes panic among people by acts as bomb -
blast, hijacking or kidnapping and force the state authority to concede their
demands. Such insurgency is not only anti -state but also anti -national.
Therefore s uch organizations are declared ‟ unlawful ” and a ban is
imposed on their activities. Military Intervention: - The intervention of
military and its„ take over ’ has become a routine affair in many of the
Third world countries, in defiance of the legitimate civilian authority, e.g.
Pakistan, Ban gladesh, Burma etc. have experienced military take overs. If
the Military generals are politically ambitious, their attempts to take over
may succeed because they enjoy superiority in the use of military force
and monopoly of arms.
Methods of Non -violent resistance:
1) Civil Dissent
2) Civil disobedience
3) Various methods of Satyagraha
1. Non – co-operation 2.Strikes 3.Boycott 4. Peaceful picketing 5.Fasting
6.Courting Arrest 7.Petitions 8.Protest Rallies
Civil Dissent: This from of resistance is relatively mild in nature. Civil
dissent usually takes place through constitutional means. i.e. in a lawful
manner through the ballot, speeches, rallies, peaceful protests etc. The
word dissent means a difference of opinion, an expression of disagreement
or non –conformity. In the political sense dissent occurs when citizens
refuse to give their assent to a law because they believe it to be unjust. In
the democracies people often express their dissent of the present
government’s policies by voting them out of power in the next elections.
Civil Disobedience: Disobedience means a disregard for or breaking of
rules. In political sense civil disobedience implies “the open, deliberate,
non-violent breaking of law” If and when the government refuses to pay
heed to those constitutional expressions of civil dissent, people become
compelled to adopt a more severe form of political resistance i.e. civil
disobedience.
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Throughout political history it may be observed that when the government
refuses to take notice of the suggestions and demands of the people when
formulating laws, and when its policies are antithetical to the interests of
the community, people resort to civil disobedience.
This method requires a great sense of sacrifice since it is a non -coercive
method. Gandhi used civil disobedience method in South Africa in 1907.
In India civil disobedience was used during the Champaran Satyagraha.
The salt Satyagraha of 1930 is famous. Gandhi and his followers violated
the salt laws at Dandi March.
An act of Civil disobedience may acquire either of two forms, as
follows:
1) Performance of a prohibited act.
2) Non -performance of a required act.
1) Performance of a prohibited act:
When a government prohibited the people from doing something which
they believe is their right, they willingly defy the prohibited law
2) Non -performance of a required act:
When people feel that the government unjustly requires them to do
something, they resist by refusing to do it. Satyagraha: Gandhi’s non -
violent metho d of resistance became popular all over the world after the
Second World War. It is a technique developed by Gandhi in order to
solve human conflicts in peaceful manner. Gandhi strongly asserted that
the authority could be resisted if it is oppressive. People have the right to
resist the bad laws when they cannot change such laws by legal means.
But he talk about peaceful resistance and developed various forms of
Satyagraha .
Meaning of Satyagraha: It is a moral weapon. It is a non -violent direct
action to solve a particular conflict Literally Satyagraha means “insistence
on truth”. Gandhiji identified satyagraha with “Love-force or Soul force” ,
and said that spiritual unity, wh ich is the highest truth could be realized
only by non -violence - to love all and suffer for all. It is a tapasya for truth.
It is not a weapon of the weak or coward or helpless but it is weapon of the
morally vigilant, active and brave. Satyagraha rejected the idea of violence
but not the idea of fighting. It is active resistance. It involves self -
suffering; it evokes a sense of justice in the wrong -doer and helps him to
understand the others point of view.
Purpose of Satyagraha: Satyagraha is a process f or resolving conflicts by
mutual understanding, discussion on self –suffering. Its purpose is to bring
about a change of heart and mentality of all the parties of a conflict.
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Essential principles for Satyagrahi:
1) Full control over one’s senses in t hought, word and deed i.e. self -
control in all directions. According to Gandhi perfectly controlled
thought will lead to maximum of work with minimum of energy. One
must conquer one’s passions.
2) Fearlessness: Non-violence as a means can be followed onl y by the
strong and one can be strong when one is not afraid of anything.
3) Non–possession: Satyagrahi must learn to use all that he possesses -
even his own body – for the service of the community. Non
possession means non -dependence on material things. Once an
individual starts possessing things, his attachment towards them
increases and this attachment obstructs the Satyagrahi in his service of
humanity.
4) Physical labour: A satyagrahi should occupy him with productive
work. Labour was considered by Gandhi as the highest form of social
service.
5) Swadeshi: It is all sided patriotism. It is “serving one’s country, one’s
neighbourhood
6) Humility: It is a sense of morality a consciousness of spiritual unity
and equality of all men, no lust for power or position.
7) Soul -force: Satyagraha is a process for resolving conflicts by mutual
understanding or self - suffering. It needs patience and a soul force in
satyagrahi. The use of soul force could be effective only if it rested on
the path of truth, ah imsa and self -suffering.
Methods of Satyagraha :
1) Non -violent –Non co -operation
2) Civil disobedience
3) Strikes
4) Boycott
5) Peaceful picketing
6) Fasting
7) Courting arrest
8) Petitions, Protest, Rallies
1) Non -Co-operation: In 1920, under the leadership of mahatma Gandhi,
a non - cooperation movement was organized on a national scale to disobey
and resist the entire government the immediate reasons for launching the
movement were the Rowlatt Act of 1919 and the Jallianwallah Baugh
Tragedy. T he movement demanded giving up all titles and honors
bestowed by the government, non -payment of taxes and fines and boycott
of courts, schools, colleges etc. those employed in the police, military
forces and in government office were called upon to resign. Those who
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2) Civil Disobedience : Disobedience means a disregard for or breaking of
rules. In political sense civil disobedience implies “the open, deliberate,
non-violent breaking of law” If and when the government refuses to pay
heed to those constitutional expressions of civil dissent, people become
compelled to adopt a more severe form of political resistance i.e. civil
disobedience.
Throughout political history it may be observed that when the government
refuses to take notice of the suggestions and demands of the people when
formulating laws, and when its policies are antithetical to the interests of
the community, people resort to c ivil disobedience.
3) Strikes and Hartal Strik e means the stoppage of work with a view to
demonstrate protest and draw the attention of the public on a certain issue.
Hartal Means voluntary closure of shops, hotels and restaurants along with
suspension of business. This method must be employed as an expression
of disapproval and dissatisfaction of arbitrary laws.
4) Boycott Another form of Satyagraha to demonstrate total di sapproval
and protest against arbitrary laws of the state is Boycott. The basic
objective of boycott is to cause a breakdown of law and order in a peaceful
manner and thereby to convince the governmental authorities that the
satyagrahis will not be partner s in the wrongdoing. Mahatma Gandhi had
used the technique of boycott in different situations both in India as well
as in South Africa. He called upon the people to boycott all titles and
honours bestowed by the government.
5) Peaceful Picketing: Another technique of Satyagraha is peaceful
picketing by which socio – eco - political pressure is used against the
government to force it to do justice and at the same time, political
consciousness is aroused among the masses. While using this technique,
the Sat yagrahi’s were required to use their speeches in a most gentle and
inoffensive manners.
6) Fasting: It is a most effective weapon of Satyagraha . It should be
undertaken only when one is thoroughly convinced of the rightness of
one’s stand. It should be u sed as a last resort and never for personal gain.
It demands faith in god, which must come from the very depth of one’s
soul.
7) Courting arrest: Another technique of Satyagraha where by the
masses deliberately break the unjust laws is courting arrest. P eople
become ready and willing to be imprisoned in order to demonstrate their
total disapproval against such law. The chief objective of courting arrest is
to exert pressure on the government to do justice. During our
Independence struggle, lakhs of Indian s including our leaders courted
arrest voluntarily and willingly only to force the British to quit India.
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8) Petitions, Protest, Rallies and Demonstrations Conclusion : India,
under the dynamic leadership of Gandhiji won the non - violent battle of
her ind ependence Satyagraha is a technique which can be adopted by the
people to resist unjust laws in a democratic system.
4.5 UNIT END QUESTIONS
Law
1) What is the importance of laws?
2) Give various definitions of law?
3) Write on important features of law and analysed its nature?
Political Obligation
1) Is Political Obligation absolute?
2) On what reasons we can resist the state?
3) What is the meaning of violent of resistance?
4) Write a note on non -violent forms of resistance.
5) Give the meaning and purpose of Satyagra ha.
6) Explain the methods of Satyagraha.
7) What is meant by political obligation ? Explain some import ant
obligations of the citizens ?
8) Why should a state be obeyed?
9) What are the grounds of political obligation?
10) What is meant by political obligation? Discuss it types.
11) Explain `Resistance‟, under what circumstance can resistance be
considered to be legitimate?
12) Discuss on various forms of resistance?
Short Notes: -
1] Right to resist
2] Political Obligation
3] Satyagraha
4.6 REFERENCES
Kumar Ranajay , Abbas Hoveyda. -Political Theory -Pearson India
Education Services,2012.
U.S.Singh -Political Science -Allahabad Law Agency,Third Revised
Edition 2006.
Basu Das Durga -Introduction to the Constitution of India. -Lexis nexis.
Bakshi .P.M. - The Constitution of I ndia. -Universal Law Publishing.
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