UNIT 1 COMPARATIVE POLITICS: NATURE,

SIGNIFICANCE AND EVOLUTION

Structure
1.1 . Introduction
1.2 What is Comparative Politics and its Evolution
1.3 The Comparative Method
1.4 Contemporary Significance
1.5 Summary
1.6 Exercises

1 .I INTRODUCTION
Among the several fields or sub-disciplines into which Political Science is divided, Comparative
Politics is the only one which carries a methodological instead of a substantive label. The
content and boundaries of comparative politics are poorly defined, partly because the 'field'
is an ambiguous compound of method and subject areas. As some scholars have argued
comparative politics has a "messy centre". This is because it focuses on comparison and the
'comparative method, as a method of political inquiry. While all analysis involve some degree
of comparison without which an individual phenomenon cannot be understood, comparative
politics teaches us how to do so. It attempts to instill into this exercise scientific rigour and
technique. While conlparative government existed as a sub-discipline for a long time,
comparative politics is a relatively new field dating from the post second world war period. It
is a field that is difficult to define, has undergone many changes and reached a plateau by the
1980s beyond which it could not move. But in recent years it has again attracted a growing
interest due to the emergence of new areas such as comparative public policy.

1.2 WHAT IS COMPARATIVE POLiTlCS AND ITS EVOLUTION

Broadly the goal ofcomparative politics is to encompass the major political similarities and differences
between countries. The task is to develop some perspective on the mixture ofconstantsand variability
which characterises the world's governments and the contexts in which they operate. While the
term comparative government is quite old, the term comparative politics as mentioned above is
relatively new. The change is significant, as are a number of differences between the two, which
go much beyondthat of nomenclature. he former is described as the traditional approach while
the latter is viewed as the modern approach. In 1955 R.C. Macridisclearly differentiated thetwo
when he pointed out that the traditional approach was non comparative, descriptive, parochial,
static and monographict These characteristics require a brief discussion.

The traditional approach was non-comparativeand descriptive. In that standard textbooks described
q number of countries one after the other in detail, but attempted little comparison. It was hence
monographic in character i.e. we had excellent country studies but no attempt to understand why
particular countries had a multi-party system or why democracy worked better in one country than
another. This was because the traditional approach was rntrch narrower in scope as it was
Consequently, as its name implies, it was restricted to the study of the formal processes of '

governments and institutions. In contrast, comparative politics is wider in scope and encompasses
not merely institutions but political processes as well i.e., it covers political parties, pressure groups
and a wide range of informal institutions and processes as well. This enables better analysis of
institutions and processes within states and between states. Hence, it can be comparative in a way
that the traditionalapproach could not be. Second, comparative politics, in contrast to the traditional
approach, is multi-disciplinary in outlook, meaning that it draws not only on political science but
also on history, economics and sociology. Part of this was due to changes in the discipline of
political science as a whole, and partly due to the behavioural approach, which, as we shall see,
affected comparative politics also. Third, the traditional approach wasparochial i.e. restricted to
European governments atid therefore Eumcentric in its outlook and analysis. The post-war period
saw a broadening ofthe field as after decolonisation, the number of states increased throwing up
fresh theoretical and methodological questions. Finally the traditional approach was static;it did not
try to understand why systems change. Comparative politics in contrast, has been preoccupied
with questions of how political systems change from tradition to modernity and the problems that
rapid change can produce, and also why some systems change more slowly than others and retain
traditional features.
* P

In the 1950s a?d 60s, a number of distinguished scholars such as Harold Lasswell and Gabriel
Almond, took on the task ofcarving out and establishing the field ofcomparative politics. Their
basic task was to distinguish it from Political Theory on the one hand, and from International
Relations and Area Studies on the other. Comparative Politics was described as different from
Political Theory as it ilivolved not only theorising but also classifling, categorising and discovering
relationships among variables, hypotheses building and empirical testing. It was suggested that
circular relationshipcan be visualised between theory and comparative politics. Comparative resemh
begins by taking a fairly established theory, testing it empirically in the field in anumber of situations
and then refining the theory again in the light ofthe findings. Many theoretical tools such as party-
systems, federalism, parliamentary systems etc. were formulated in this manner.

Comparative politics I#? had, and continues to have, 'boundary'problems with international
Relations. This is because there is common ground between them, the former open studies
countries as enclosed within a world capitalist system. Many scholars sufh as A.G. Frank and
Immanuel Wallerstein have developed large-scale approaches such as Dependency and
Underdevelopment using this method. But there are major differences: comparative politics does
not deal with the relationships between countries in depth concentrating on comparisonsof political
phenomenon within countries,while the former is a centralsubject in International Relations. Area
Studies arose during the Second World War when there was need to have knowledge about the
history, culture, economy and social structure of certain strategic areas important during the war
for framing policy. This necessitated an interdisciplinaryteam consisting of social scientists, from
different disciplines, which could focus upon an area inteosi$ely ahd provide the required information.
Comparative politics also studies 'areas' intensilbly, a major difference is that while Area
Studies experts can provide a great deal of data which explains immediate events, long term
and underlying deeper trends re,quire analytical and theoretical tools which only
comparative politics canprovide. ~h&re'howevel?, remains a contested proposition between the
two sub-disciplines.

The shift which took place fiom comparative government to politics thus, can be traced to
two chunges in the inqmediate post-war period: developments intpnal to the discipline of

12
 politicul science and second, the broadening of the empiricalfleld to include the New States
i which urose out of dc-colonisution. In the late 1950s Political Science was affected by the
I1 'Behavioural Revoli~tion'which had already affected anthropology and sociology. This created a
desire for greater scientific rigour and a multi-disciplinary approach. The Behavioural Revolution
1 implied that behaviour was more important than rules, thus necessitating the systematic collection
I of large amounts ofdata about politics in various countries as well as fields. As data without theory
t would be blind, the behavioural revolution implied the explicit elaboration of concepts, models and
hypotheses. The emergence of the Third World further stimi~lateda whole new approach to the
explanation ofdifferences between politics and society in rich and poor countries-the development
and modernisation theme.

I
It led to the use oftwo frameworks in comparative politics: the systems approach and structural-
functional analysis. The notion of system was taken from the biological and physical sciences
where the human body or any machine was visualised as a system with sub-systems (organs or
parts) which had 'boundaries' but which were closely interrelated and overlapped. Human society
was therefore made up of various systems - political system, economic system etc. each ofwhich
performed specialised fi~nctions.All societies, it was argued, move from simple to complex i.e. the
roles performed by individuals within them become more specialised leading to the emergence of
distinct systems with clear-cut boundaries and functions. The more complex, the more developed
or modern the system becomes, human societies were visualised as moving towards greater
specialisation and modernity. Thepolitical~yslemwas conceptualised as a system in which policies
are to be implemented for further development. Complementary to this the structural fi~nctional
approach, borrowing from sociology,attempted to create a value-free science of politics by describing
all systems as having similar basic structures and functions- irrespective ofthe level of development
oftheir political, social and economic systems- which could be compared and analysed. All systems
attempted in their passage from simple to complex, or tradition to modernity, to reach a point of
equilibrium.

The emergence of a number ofNew States as a result of process of de-colonisation also encouraged
I
such theorising. By the use of systems analysis and the structural fi~nctionalframework, all political
systems, it was felt could be studied irrespective oftheir differing historical background, level of
economic development, culture and values. The main dilemma was whether the theoretical tools
and techniques used to study European governmentsshould be merely extended to the study ofthe
New States, or was there need for a change. Concepts such as multi-party system, federalism,
parliamentary and presidential systems were the product of comparative observation of Western
governments over a long period oftime. Would they be useful in studying non-Western governments i
and processes, or was there, as Lucian Pye claimed, a distinct 'non-Western political process' due 1
to differences of history and culture? In general the only concession made to the differences
between the east and west was to allow for some 'cultural differences' in analysis. Apart from this
the concepts of political development and modernisation fashioned by scholars such as James
Coleman, Gabriel ~lmb;7dand Lucian Pye were seen as useful for analysing and comparing the
new states. A similar development is seen on the Left as well with the fashioning of large scale
concepts such as Underdevelopment and Dependency to understand the developingcountries and
to highlight their differences with the West. Thus the emphasis was on 'grand theory' or large-
scale theorisingabout political system.

These approaches ran into trouble from the very beginning. These were criticised as Eurocentric,
reductionist and too ambitious. Comparisons on this scale proved vely difficult. l i e r e was therefore
I

I
 a return to a more normative science'that did not ignore cultural differences, which make comparisons
difficult, and middle range theorising in which comparison is pitched at a lower level. Many scholars
were disillusioned by their own efforts. Almond, writing in the International Encyclopaediaof Social
Sciences, argued that Comparative Politics was at best a 'movement and not a sub-discipline
within Political Science'. By the end ofthe 1970s,comparative politics reached a plateau; parts of
it were incorporated into political theory and parts into area studies. A more optimistic assessment
would be that while the attack on the traditional approach was successful, the new alternatives
suggested also were not free from limitations. The reorientation ofcomparative politics resulted in
an expansion ofthe sub-discipline in terms oftheoretical depth and empirical scope as attempts
were made to integrate a growing but disparate body of knowledge by means oftheory.

I 1.3 THE COMPARATIVE METHOD

Scholars are not agreed on the comparative method, its nature and scope. Some ofthem like A.N.
Eisenstadt, argue that the term does not properly designate a specific method, but rather a special
focus on cross-societal, institutional or macro- societal aspects of societies and social analysis.
Others like Arend Lijphart, hold that it is definitely a method, not just a convenient term vaguely
I
symbolising the focus of one's research interests. But it can be defined as one ofthe basic methods
-the others being the experimental, statistical and case study methods -ofestablishing general 1
propositions. On the other hand, Harold Lasswell argues that for anyone with a scientific approach
to political phenomena, the idea ofan independent comparative method seems redundant, beccdse
the scientificapproach is 'unavoidably comparative'. Gabriel Almond also equates the comparative
with the scientific method. Yet, it is essential to underline that scholars do recognise that the ,
comparative method, is a method of discovering empirical relationships among variables and
not a method of measurement.-The step of measuring variables is logically prior to the step of
',
finding relationships among them. It is the second of these steps to which the term comparative
method refers. Finally, a distinction should be made between method and technique.The comparative
method is a broad-gauge, general method, not a narrow specialised technique. It is in this vein that
scholars refer to the method ofcomparison, or some prefer the term comparativeapproach, because
it lacks the preciseness to call it a method. The comparative method may also be thought of as a
basic research strategy, in contrast with a mere tactical aid to research.

The comparative method is best understood if briefly compared with theexperimental, statistical
and case study method. The experimental method is used to understand the relationship between
two variables in a controlled situation. Since such experiments are not possible in political scikbce,
an alternative is the statistical method, which entails the conceptual (mathematical)manipulation of
empirical data in order to discover controlled relationships among variables. It handles the problem
of control by means ofpartial correlations or cross-tabulations i.e. by dividing the sample into a I
number of different groups (for example on the basis of age, income, education etc,) and looking at
the correlation between the two selected variables in each. This has come to be&cepted as a
standard procedure and is applied almost automatically in empirical research. Thus, the statistical
method is an approximation of the experimental method as it uses the same logic. Therefore
comparative method essentially resembles the statistical method except thatthe number of cases it
deals with is often too small to permit statistical methods. But it is necessary to understand that the
comparative method is not an adequate substitute for the experimental method as in the natural
sciences.

But these weaknesses can be minimised in a number ofways. The statistical method is best to use
as far as possible, except in cases where entire political systems are being compared, then the

14 I

- -
 colnparative method has to be used. The two can also be used in combination. In this comparative
analysis is the first stage in which macro-hypotheses are carefully formulated usually covering the
structural elements oftpal systems, and the statistical stage the secofld, in which through micro-
replications these are tested h a s large a sample as possible. Second, too much significance must
not be attached to ne4ative findings: for example rejecting a hypothesis on the basis ofone deviant
case especially when the sample is small. Rather, research should aim at probabilistic and not
universal generalisations. Third, it is necessary to increase the number ofcases as much as possible
(is too small a sample which is not ofmuch use). Comparative politics has advanced because ofthe
formulation of universally applicable theories or "grand theories" based on the comparison of many
countries or political phenomenon within them. For example, structural functional analysis theory
opened up a world of comparative research unknown before. Fourth, increase the number of
variables if not the number ofcases; through this more generalisationsare possible. Fifth, focus on
'comparable cases' i.e. those that have a large number of comparable characteristicsor variables
which one treats as 'constants', but dissimilar as far as those variables which one wants to relate
, to each other. 'This way we study the 'operative' variables by either the statistical or comparative
method. Here the area or regional approach is useful, for example comparing countries within
Latin America or Scandinavia or Asia. But many scholars have pointed out that this is merely a
manageability argument, which should not become an imprisonment. Another alternative is studying
regions within countries, or studying them at different points oftime as the problem of control is
much simpler as they are within the same federal structure. Here it may be mentioned that the
states within the Indian Union provide a rich laboratory for comparative research that has not yet
been undertaken. Finally, many scholars feel that focus should be on 'key' or contextual variables,
as too many variables can create problems. This not only allows manageability but also often leads
to 'middle range theorising' or partial comparison ofpolitical systems. This has been used successfUlly
, in anthropological studiesas tribal systems are simple. Political scientistscan also do this by limiting
the number of variables.
'
The case study method is used whenever only one case is being analysed. But it is closely connected
with the comparative method, and certain types ofcase studies can become an inherent part ofthe
comparative method whenever an in-depth study of avariable is needed prior to comparison with
other similar ones. The scientificstatus of the case study method is somewhat ambiguous because
science is neither generalising nor a ground for disapproving an established generalisation. But its
value lies when used as a building block for making general propositions and even theory-buildingin
political science when a number ofcase studies on similar subjects are carried out. Case studies
can be of many types for example atheoretical or interpretative, theory confirming or infirming,
each useful in specific situations. Thus the comparative and the case study method have major
drawbacks.Because ofthe inevitable limitations ofthese methods it is the challenging task ofthe
investigator in the field ofcomparative politics to apply these methods in such a way as to capitalise
on their inherent strengths and they can be useful instruments in scientific political inquiry.
Many scholars have spent much of the post-war period constantly improving the use of these
methods.
I

1.4 CONTEMPORARY SIGNIFICANCE

1

In the post-war period, comparative politics has passed through many phases. In each of these
changes have been made, and continue to be made by scholars. Comparative politics first focused
on the input side relying on political sociology, claiming that basic properties ofpolitical systems
were to be understood against background information about structure and processes in society;
thus it was claimed that political conflict dimensions were structured according to cleavage dimensions
in the social structure. This reductionist approach offset a reaction by political scientists such as
Samuel Huntington, who argued for the autonomy ofpolitics in relation to social and economic
factors. Hence, the second stage in modem comparative politics aimed at institutional analysis of
the variation of political systems and their constituent parts such as parties and party systems on
their own right. Central to this were crucial distinctions between different types of democracy,
authoritarian rule and modemising politics. The shift was from democracy to 'order' through stable
institutions. Finally the growing interest in the output side of politics within Political Science also
affected comparative politics. Why study different political systems if it was not the case that
politics matters for policies? This was also possible due to the rediscoveryof the centrality of the
state both on the right and the left ofthe spectrum. The thirdstage therefore implied a merger of
comparative politics with public policy andpolitical economy, attempting to understand what
different political systems does (policy inputs) and actually accomplish (policy outcomes).
This led to comparative public policy.

Those who emphasise the input side typically refer to the impact of social cleavages, the basic
problem being the extent to which environment determines the polity. The cleavage approach
reducing politics to cleavage dimelisions in the social structure seems as exaggerated as
institutionalism or the hypothesis that there is no relationship whatsoever between social and
economic factors and the political system. But how does one strike a balance between social
and economic determinism and political indeterminism or the new institutionalism? How in
the comparative analysis of the political system in various countries can one identify crucial
concepts, with which to sort out in careful fashion major system differences and similarities?
As the attempt to separate traditional, developing and modern politics, failed as a result of the
value-loaded nature of these concepts, the distinction between democratic and authoritarian
regimes became the fundamental one. However, even if there is unanimity as to the meaning
and applicability of the term 'democracy', there is disagreement about the properties or
indicators that identify a democratic regime. Two very different types of democratic models
have been recognised: the Westminister type democracy versus the consensus or consociational
type democracy. But how about the far larger set of non-democratic systems? Today we have
more than 160 polities known as Third World and there is as yet no agreement about the
taxonomy of Third World Politics. No doubt, much future comparative research will focus on
the set ofnon democratic regimes in orderto set out how they vary along a few basic dimensions.

A major development of contemporary significance is the emergence of comparative analysis

of public policy or political economy, which has since the mid 1970s added a new dimension
to comparative politics. To the extent that it focuses on the output or 'outcome' side of the
black box of the political system, there is continuity from the past. The difference is a shift
from grand comparative theory of 'Political Development' and problems of 'Modernisation',
to a much narrower field of cogcentration namely the State and its central role in development.
The change is fro111meta-analysis to meso-analysis, which focuses upon the linkage between
definition of problems, setting ofagendas, decision-making and implementation processes. It has
given comparative politics a more specific, problem solving and policy orientation. Comparative
politics remains multidisciplinary,but has moved awayfiom Sociology and closer to Economics.
It also signals a return to more normative concerns rather than a constant emphasis upon
scientzjk methods. It has also re-established a link between academic political science and
practitioners of public administration.

Through Public Policy a society is able to define the relationship between the production of goods
and services along the boundaries ofwhat is possible, given the constraint of resources. But simply

16
 I
the questions it asks are what is the appropriate 'public' arena ofthe State vis-a-vis the private
sphere and what kinds of policies lead to development? By comparative analysis ofwhat states do
within this public arena, it is able to theorise the appropriate sphere ofthe State. Consequently,
public policy is descriptive, analytic as well as prescriptive in its approach. Politics is now
conceptualisedas "public choice"among a number ofalternativepolicies, and its goal is to integrate
knowledge into an overarchingdisciplinecapable of analysing publiqchoice and decision-making
and thereby contributing to the democratisation of society. Political economy more specrfically,
is concerned with the ejfects of politibal choices on the production and exchange of goods
and services. It is an analysis of the consequences of political choices that political leaders
make involving the polity b scarce resources. The value of the approach lies in realising that in
developing societies, choices are really paths of development. The choice before leaders is
through public policies to merely cope with, induce, or introduce radical social and economic change.
Therefore, within political economy,.'Political Development' is re-defined as the increasing capacity
to meet and induce changing and expanding demands and generate resources to be able to do so.
While political economy provides the theory, public policy is the method by which these can be put
into action. The end results of all this has meant that the focus is on smaller comparisons or, on
what is possible. Middle range comparison today is more modest, focusing on a single region or
comparable set of regions. In conclusion, the field of comparative politics has fragmented and no
single definition ofcomparative politics exists. This has its merits; it means that it allows focus on
what is significant and useful and not necessarily what is global and all encompassing as earlier.

1.5 SUMMARY
In this unit, you have studied about the nature and evolution of Comparative Politics as a sub-
discipline within the larger discipline of Political Science. Though it is one ofthe oldest forms
in the study of Politics, it has stimulated much interest in the post Second World War period, making
it relatively a new field. While the Traditional approach was more parochial and monographic, the
modern approach is wider in scope. It was successful in its attempt to ana1yse the rapid changes
that have occurred in political institutionsand processes and their shift from tradition to modernity.
The second section of this unit focuses on the feasibility of the Comparative Method. Though
various scholars do recognise the comparative method as a logical step, they differ in their opinions
on its applicability-whetherit is scientific, statistical, experimental or merely a basic method. While
the interpretations vary on this factor, efforts are on to improve the use ofthese methods from time
to time. The last section focuses on the contemporary relevance of Comparative Politics. Though
the subject is multidisciplinary in character,the merger ofthis sub-discipline with public policy and
political economy has added a new dimension in analysingas to what different political systems do
and accomplish (inputs and outputs ofthe policy). Thus it establishes a linkage between the policy
orientation, decision making and implementation processes.

1.6 EXERCISES

1) What is Comparative Politics? Briefly analyse its evolution as a sub-discipline.

2) Analyse the strengths and weaknesses ofthe Comparative Method.

3) Evaluate the contemporary significance and contribution ofthe Comparative method.

I
 UNIT 2 COMPARATIVE APPROACHES AND METHODS:
SYSTEM, STRUCTURAL, PUBLIC POLICY

I Structure
2.1 Introduction
2.2 Genesis and Orientation SystemsApproach
2.3 David General Systems Theory
2.3.1 David Conceptual Framework
2.3.2 Influences Shaping approach
2.3.3 Applications of Systems Analysis
2.4 Some Criticisms of Methodology
2.5 Evolution of Structural - Functional Approach
..
2.5.1 Gabriel Almond's Conceptual Framework
2.5.2 Influences Shaping Almond's Approach
2.6 Criticism of Almond's Methodology and Theory
2.7 Public Policy: Some Perspectives
2.8 Summary
2.9 Exercises

2.1 INTRODUCTION

Political and social thinkers have proclaimed a certain conception of system to explain the
phenomenaofpolitics.Marx classified societies into systemson the basis modeofproduction
as feudal, bourgeoisand proletarian; Weber divided societies into systemsofauthority: traditional,
Charismatic and rational - legal. Unlike Marx, who thought that system change was dialectical,
Weber believed that it was evolutionary.

Classical writers viewed monarchies, aristocracies and democraciesas political

classified political systems into primitive, traditional,transitional and modem. Coleman spoke of
competitive, semi-competitiveand authoritarian systems and later divided them into dictatorial,
oligarchical and representational systems.

Eisenstadtsuggested a long list ofprimitive, patrimonial,feudal, bureaucratic, democratic, autocratic,

totalitarian and underdeveloped systems. Edward Shills classifies systems into political
democracies, titular democracies, modernising oligarchies, totalitarian oligarchies and traditional
oligarchies.

Classificationsof systems reveal a variety of interpretations. The emergence of many new nations,
the amassing of new data and technologicaladvances has increased the complexity subject.
Many social scientists now use system as the basic concept political analysis.
 systems, such aspolitical, economic, social, andcultural-psychological. The analyst
abstractsfrom the whole society some elementswhich are more coherent and call them a system.
Conceptually measurable amounts are called variables, constant elementsare termed parameters.
The variablesof a politicalsystem may consist of structures, functions, roles, values,norms,
goals, inputs, outputs,responseand feedback. These terms will be explained below as we analyse
the concept of political system.

2.2 GENESIS AND ORIENTATIONS OF THE SYSTEMS'

APPROACH
The genesis of the Systems approach can be traced to several, different sciences. Lilienfeld has
mentioned in thisconnectionthefieldsof biology, and operationsresearch. This approach
is also indebted to anthropology, economics and sociology. Ludwig Von Burtalanffyand others
founded the Society for General Systems Research and also BehaviouralScience.They
said that the goal of the Systems theory was the integration of"the various sciences, natural and
social". Norbert Weiner believed that his concept of cybernetic control through feedback could be
a model for legitimising governmentaloperations in a politicalsystem. Operations Research applied
theSystems approach to the use of radar installations during the Second World War. It was used to
forecast military outcomeson the basis of strategy, tactics and the design ofweapons. Later, in
times of peace, operations research becomes synonymous with systems analysis in natural and
social sciences.

Among the social sciences, economics was first to make contributions to systems theory.
Economic techniques and computer simulation were used along with input-output analysis to
analyse relation among various segments of an economic system. Input-output analysis is
generallystatic in nature. In Political Science, it is generally used in qualitative assessments of a
system.

Game theory has been used in political analysis of electoral strategies and external relations
of political systems. Political scientists have used it in the testing and the
rational choice This theory assumes that individuals tend to use actions that bring them the
best results.

Sociology also alludes to "ways of guiding human thinking in systematic fashion." We

refer to the "Planning-Programming-BudgetingSystem" used by the American government.
David Singer distinguished between two differentorientations consisting of (i) systems analysis
and (ii) general systems. In his view, systems analysis suffers from abstraction and lacks a
dynamic and historical perspective. He opted for the phrase, general systems, which should
study regularitiesin various systems. P.G. Casanova suggested a similar distinction.
t
The first type was represented by Talcott Parsons and is rooted in 19 century positivist
theories. The second type is called systems analysis, which stresses on the decision-making
and has benefited mathematical applicationsand operations research. Casanova studied
the history of changes in modem systems. His emphasis on history and policy-oriented research
enabled him to put forward a radical reinterpretation of both systems - analysis and
functionalism.

Chilcote has identified three principal trends in the literature of Systems Theory: One
trend, sometimes called Grand Theory, is non-historical in orientation. It grew the natural
sciences. It culminated in the writings of David The of was wide-ranging
and had a profound impact on both comparativeand international politics; Karl Deutsch, Morton
Kaplan, and Herbert Spiro were deeply influenced by him.

Another trend, known as structural-functionalism, tries to be holistic but towards a non-

historical and middle - range analysis. It has grown from two academic traditions. In the first
tradition, we can place the works of Malinowski, Radcliffe -Brown, and Talcott Parsons. In
the second traditions, we can refer to the works of Arthur and David Truman. Both
these traditions have converged in the contributions of Gabriel Almond, whose structural -
functional approach made great impact on comparative politics.

A third trend is a radical and Marxist critique and reinterpretation of Systems Theory. It raises
substantive issues of public policy and argues that the study of political system must investigate
them in order to make our knowledge socially relevant and meaningful. In addition, "the radical
re-interpretation recasts system in terms of state and looks to the theories of the capitalist state."

2.3 DAVID GENERAL SYSTEMS THEORY

Karl Mannheim offered "systematic sociology" in his study of society. Following him, Charles
wrote about "systematic politics". This search for a systematic interpretation of society
and polity continued by David in his application of general Systems Theory to the
study of political systems. The following discussion will include, first, a statement of
conceptual framework; influences shaping approach; third, application of his
ideas; and lastly, a critique of methodology.

2.3.1 Conceptual Framework

conceptual framework evolved in three phases. The first phase is represented by
Political System published in 1953. The second and third phases are represented by A Framework
of Political Analysis and A Analysis of Political Life, both published in 1965, one after
another.

His conceptual framework was based on four assumptions:

The empirical search for knowledge requires the construction of systematic theory the
highest order of generalisation.

ii) Political scientists must view the political system as a whole rather than concentrate on
solutions for particular problems. They must combine factual knowledge and empirical
data.

Research on the political system draws from data and situational data
both by personalities and motivations of the participants and the influences emanatingfrom
the natural and social environment.

iv) Political life is generally in a condition of disequilibrium,a counter-tendencyto equilibrium,

which is never realised in practice.

rejected the concept of state by referring to confusion and variety of its

meanings.
.- He regarded power as a significant concept which shapes and carries out authoritative
politics in society. It rests on the ability to actions of A policy, therefore,
"consists of a web of decisions and actions that allocate values."

The concepts of power, authority, decision-makingand policy are important in concept

of political life as the authoritative allocations of values for a society. He identified the following
attributes of political system:

1) Unitsand boundaries

2) Inputsand outputs

3) Differentiationswithin a system and

4) lntegrationwithin a system.

Diagram of a Political System

Environment Environment

Demands The Political

System

[Inputs] Decisions and [Outputs]

Support Actions

Environment Environment

The diagram points out that for the purpose of analysis,the use of system permits the separation
of political life from the society.The units political system are 'political actions'.
in the form of demands supports feed the political system. Demands come from the
environment or arise within the system itself. Demands become issues which are dealt through
the recognised channels in the system. Supports are actions or orientations prompting or resisting
the political system.

Outputs emerge from the political system in theform of binding decisionsand policy actions.These
decisionsand actionsare fed back into the environment bysatisfyingthe demands of sdme members
system. They in turn, generate support for the system. Dissatisfaction may have negative
results in the form of new demands on the system.

In his second phase, elaborated his frameworkandargued that the political system
is "a set of interactions the totality of social through which values
authoritatively allocatedfor a society." He discussed the persistence and dynamics of

21
systems. Political systems persist in times of change. They can face pressure and stress. They

In his third phase, attempted the construction of a general theory and explained why the
systems persist in the face of frequent and constant crises. In this, he studied responses to the
stresses placed on the system, and discussed outputs as regulatorsof specific support. He thus
hoped to provide a foundation for empirical investigation.

claims that his political analysis is dynamic rather than static and his concept of system
persistence permits gradual structural changes unless they head towards a complete
disintegration of the rule-making mechanisms. System Theory cannot explain revolutionary
changes. .

2.3.2 Influences Shaping Approach

According to Mackenzie, was caught up in a movement which he did not originateand
there is no Eastonian theory as such. He was indebted to a tradition of forty years which began
with Charles Merriam, George Catlin, Harold and others. Like them, he believed that
attention to legal institutions, parties and pressure groups was outmoded and political science
should theorise about the political system as a whole.

also looked to Talcott Parsons, who had derived from Weberan action frame of reference
which could be applied to macro theory in the social science. Talcott Parsons formulated
generalisations about the social system, but accordingto David he questioned the validity of
political theory.This meantthat his influence on approach was limited. Thereareoccasional
references in work to the anthropologists Malinowski and Brown as well as to
the sociologists and alsoargued that 'structural analysis, so-called, is not
a theory but a concept intrinsic to all scientific research. Indeed, it is fundamentally devoid of
theoreticalcontent." .

The works on social psychology influenced decision - making is an element in his

s
conceptual framework for olitical analysis.
economic conceptions. Wil iam Mitchell said that
approach was also influenced by macro-
concept of allocation
"theories of distribution and the allocation'of resources in economics, and particularly neo-
classicaltheory."From economics David borrowed such notions as"scarcity,allocation,
competition, homeostaticequilibrium, interdependence,self-regulation,
seeking and feedback." systems approach wasalso derived from physical and life sciences.
Thus he joined the inter-disciplinary of seeking an understandingof the"whole"system.
Ervin concluded:

The most consistent as well as most general paradigm availabletoday to the inquiring mind is the
systems paradigm. The systems philosophical paradigm takes man asone species ofconcreteand
actual system, embedded in encompassing natural hierarchies of likewise concrete and actual
physical, biological and social systems.

has been influenced by the new sciences"and his input-output framework

is closer to the communications model of Karl Deutsch. Both believe that the political system has
feedback mechanismswhich are capable oftransmitting of a positive or negative kind
to the system. Thus a particularstate ofequilibriummay change without disturbing the political
2.3.3 Applications of Systems' Analysis

Laszlo, Levine and expressed theiranxiety about seeking solutions to the problems, faced
by the post-industrial societies. Following their goal was"to plan for and to control the
system so as to perform in a socially good way." Meleod wanted to use the systems analysis and
simulation as he thinks that simulation is a good technique for exploring the for understanding
the impacts of proposedaction and for permitting us to solve many problems facing mankind. Many
writers such as Abramson and Inglehast,Teunoand Ostrowski analysed national political systems
by measuring relevant empirical data.

Qther significant applications of systems approach are found in the works of Herbert Spiro, Karl
Deutsch and Morton Kaplan. They either follow conceptual scheme or a parallel
framework.Spiro's work directlyrelates to Comparative Politics. focus ison international
politics. Karl Deutsch is equally concerned with both fields.

Spiro defined a politicalsystem asa community that processes issues.These isues relate to problems,
needs and goals about which consensusor dissensionmay exist. Karl Deutsch viewed politics as
the "steering or manipulation of human behaviour."He evolved a system based on the study of
communicationsand control, points ofdecision, feedbackand flow paths.

2.4 SOME CRITICISMS OF METHODOLOGY

Criticisms of methodology tend to emphasize three areas Conceptual Inadequacy

(2) Operational (3) Ideological Orientations.

1. ConceptualInadequacy

Many critics have attacked work on the grounds of inadequate conceptualisation.In his
work, there is an excessive pre-occupation with persistenceand stability in the face of changes and
conflict in actual political life. There is too much attention paid to the central orienting conception of
the allocation-of values and the foundary.

Thorson argued that the persistence system is central not only to theory but to his
exposition as well. Everything brings on the system persisting. Real situations in several European,
Asian and other countries could not be explained by the notion ofpersistence. Miller, Readingand
Leslie also found fault with his notion ofequilibrium and persistenceas inapplicable to changing
realities.

William Mitchell criticised concept ofpolitics as the allocation of values, as leading to

misleading assumptions in theorising politics. It may mean that the political system has a single
ofallocationonly. Moreover,the polity does not allocateall valuesofa society,The economy
distributes income and resources.The may be obscured by too much attention to
the demands of interest groups, while in fact the demandsof government and ruling classes upon
people may be more important.
 pre-occupation with boundary was also criticised. It was pointed out that political
system cannot be isolated from economic, social and cultural-psychological systems. David
singer argued that we must cross back and forth over the boundaries between and among .
these systems and must therefore try to cope with several overlapping and elusive systems of
action at the same time. It has yet to be done successfully. Evans concluded that failed
to define the 'political' and distinguish it from the 'non-political', making his notion of the
boundary vague.

The above problems arose due to avoidance of the human element. Almond
and Parsons belonged to the "system of an action school"which ignored both individuals and
aggregations of people as active participants in politics.

2. Operational Difficulties
conceptual has not yet yielded testable hypotheses. His methodology
has made an impact on the ofpolitics "but there has been little empirical consequence
for comparative politics. 'This is because the method is difficult to operate.

The problem with his framework is that it is both mechanistic and artistic at the same time -
like a machine which is also. alive. Despite the vital origins of his thought, used the
vocabulary of cause and effect. His framework, therefore, lacks operational possibilities.

Thorson argues that he creates a general theory of politics, which is wduction ad

and it is an illusion to apply this for the study of any concrete, historically existing political system
in the real world. It will be a futile enterprise. spoke of "empty vision of politics"
in his critical summary of the theory's lack of substance, the artificial nature of system and
member.

3. Ideological Orientations
approach has certain ideological orientations. It seems to the status quo. It is
essentially a static system of analysis. There is no denying the fact that the nature of
methodology makes it relatively easy for it to creep into conservative patterns. A conservative
bias is an feature of functionalism from which the systems analysis has been adopted in
political science. The main object of the systems approach, other bahavioural paradigms,
is to validate the assumptions of the dominant ideology of a liberal capitalist society.

Eugene Miller says that was concerned with an intellectual crisis and the imminent
washing of democratic liberalism. He blamed historicism for the impoverishment of political
theory. In the name of scientific and causal theory, he presented a status general
I theory of political system. For him, value theory lost its importance as he opted for the dogma
of empiricism.

Systems analysisassumed stable conditions, cohesion and equilibrium. refused to take

cognizanceof political conflict, catastrophic change, classantagonism and resolution. He himself
admitted in "There can be little doubt that political science as an enterprise has failed to
anticipate the crises that are upon us." This applied equally to own work on
science during the previous two decades. His methodology had a conservative bias that prevented
 2.5 EVOLUTION OF STRUCTURAL FUNCTIONAL APPROACH
StructuralFunctional approach is a form of systemicanalysiswhich looks at political system as a
coherentwhole which influences and is in influenced by theirenvironments. A political system
is held together by the presence of legitimate force throughout the system. It has three characteristics:
comprehensiveness,independence and existence of boundaries. The interactions that take place
within a system are not between individuals but between the roles which these individuals adopt.
Lastly, the political system is an open system and is involved in communicationswith systems
, beyond its boundaries.

2.5.1 Gabriel Almond's Conceptual Framework

Gabriel Almond's conceptual framework evolved through three phases. He wrote an article in
1956 in which he said that system is an "inclusive concept which covers all of the patterned
actions relevant to the making decisions." For him, system was more important
than process because system implied totality, interactions among units within the totality and
stability in these interactions, which he described as "changing equilibrium".

Almond relied upon Max and Talcott Parsons in the political system's actions
and turned to concepts like structure and role replacingthe legal vocabulary of institution,group or
organisation. Lastly, he introduced the concept ofpoliticalculturewhich is embedded in a particular
pattern of orientations to political action. These patternsgenerallyextend beyond the boundaries of
the political system.

In 1958 and 1959, Almond and his colleagues at Princeton University focused on the politics of
developing countries.They applied their concepts of structures and functions to changes taking
place in these developing countries avoiding the examination constitutionsand formal
government institutions. Later Almond and Colemanedited and publisheda book entitled Politics
of Areas on this subject.

Almond and his collaboratorsintroduced new conceptsof comparative politics. The concept of
political system replaced the state and its legal apparatus. Structure replaced institution,
role took the place of substituted for power. Almond suggested that all
political systems have four characteristics:
I
i) All political systems have structures.

ii) The same political functions in all political systems.

All political structures are multifunctional.

iv) Allpolitical systems-are mixed in the cultural sense..

Almond then outlined his own categories inputs and outputs:

Input functions:
Political and recruitment
 Interest aggregation
Political communication
Output Functions
Rulemaking
Rule application
Rule adjudication

The outputs are functions and correspond to the traditional legislative, executive and
judicial functions. They show a bias towards American and European conceptions of government
showingtraditional orientation of comparative politics. Almond, however, argued that input functions
are crucial in characterising the political systems of developing countries.

These input functions constitute the ingredients of the system: who recognises, deliberates and
resolves problems and issues. Spiro called this a process of flow"and interpreted
it as consisting of demands and supports for action. Almond says that political socialisation takes
place through the family, school, church, trade union, party and even government agencies. It
also involves recruitment of people from different social groups into political parties, civil service
etc.

Interest articulation is the expression of political interests and demands for action. Interest
aggregation is the combining of those interests and demands which are articulated by interest
groups and political parties. Political communication helps all these political functions. Political
socialisation, recruitment, articulation and aggregation occur through communication.

Gabriel Almond says that political culture is dualistic, not monistic. Political systems may
be represented as modern and traditional, developed and underdeveloped, industrial and
agrarian. Political systems have evolved through stages of development. Structures become
more differentiated as systems reach higher stages of growth. Almond divided them into
primitive, traditional, transitional and modem systems.

Less developed systemsdisplay 'traditional' styles of diffuseness, particularism,and ascriptiveness.

The more developed systems display 'rational' styles of specificity, universalism, achievement
and affective neutrality. Yet this process of modernisation is never complete. Almond called his
theory as theory suggesting "that political systems may be compared in terms of
the probabilities in performance of specified functions by the specified

Almond's framework was further elaborated in the third phase when he, in collaboration with
Powell, published Comparative Politics - A Developmental Approach in 1966. He now put
forward the concept of conversion processes, which allow for the transformation of the demands
and supports that flow into the political system. Out system flows extraction, regulation
and distribution into society.

He argued that his conception of political system deals with interdependence which does not
mean harmony. He claimed that his theory was dynamic as it conceived of "developmental
patterns". He connected his framework of system with his concept of political development.

26
 Diagram of Almond's Political and Levels of Functions

Environment Environment

Capabilities

Regulative

(Demands) Interest THE RuleMaking (Decisions)

Extractive

Articulation

INPUTS Interest POLITICAL Rule Application OUTPUTS

, Symbolic
Aggregation

(Supports) Politucal SYSTEM Rule Adjudication (Actions)Distributive

Responsive

Communication

ADAPTATION

Environment Environment
The diagram illustrates Almond's concept of political system, which comprises
I many independent parts. Almond incorporated force levels of functions in his model.
I One level consists of conversion functions: Interest articulation, interest aggregation,
political communication, rule making, rule application and rule adjudication. These
functions relate to input demands and supports and to output decisions and actions
as internalised within the political system. Demands are formulated through interest
articulation and are transformed into alternative courses of action through interest
aggregation. Rules are drawn up through rule They are enforced through
rule application and sometimes judged by rule adjudication. Communication serves
all these functions.
A second level consists functions: regulation. extraction, distribution, and symbolic
response. These activities relate to the environment. Almond said that in democratic systems,
"outputs of regulation, extraction and distributionare more affected by inputs of demands from
I groups"and these systems therefore have "a higher responsive capability." Totalitarian systems
are less responsive to demands, regulate behaviour through coercion, and extract maximum
resources their people. Symbolic capability relates to the symbol flow from a particular
into the informational environment i.e its image in the community of nations.
Athird level offunctionsis related to maintenanceand adaptationof politicalsystem. They include
political

each level.
and recruitment. According to Almond,a theory politicalsystemcan be
based on understanding the relations among these three levels and the relations functionsat

In 1969, Almond reviewed his conceptual framework and proposed a research design
"intendedto draw us a little closer to a systematic exploitation of historical experience using
a causal scheme which combines system-functionalanalysis, aggregate quantitative analysis
and rational choice analysis at appropriate points in the explanation of developmental
episodes. "This approach retained his structural -functional formulation but combined it with
other approaches to make it empirically more fruitful.
2.5.2 Shaping Almond's Approach
The influences that shaped Almond's approach are similar to those which influenced
System analysis. His perspectives also emanated from the works of Radcliffe - Brown and
Malinowskiand the writings of Parsonsand Because concern with the whole
system, it can be called a patternof macro-structural Another influence on Almond's
thought relates to the traditionsof pluralism and liberalism exemplified by the works of Arthur
Bentley, David Trumanand Robert Dahl. Because of its concern with a pluralityof interests within
the system, it may be called apattem of micro-structural functionalism.
Although Almond restated Parsonian concept of functionalism,two aspects of Parsons' scheme
have influenced Almond's own formulation. Those are the theoriesof action and social system.
Besides, like Parsons, Almond was also interested in the topics ofpersonality and culture. Almond
used the concept of "pattern variables" proposed by Parsons. These were Affectivity vs.
(2) Self-orientationvs. collectivityorientation,(3) Universalismvs. Particularism,
(4) Achievement vs. Ascription, (5) Specificity vs. Almond used them to relate political
culture to politicalsystem.
The idea ofinteraction and equilibriumwas inherent in the middle-range theory of Almond's structural
functionalism; the association ofa pluralisticprocessand equilibriumwas proposed early in Arthur
Bentley's Process and restated in David Truman's work in the Governmental Process.
Almond assimilated pluralisttheory into an explicitlyfunctionalist This Almond's
approach to the status ofpartisanapologists,an interpretation of Western liberal political
system.

2.6 CRITICISM OF ALMOND'S METHODOLOGY AND THEORY

Almond's structural functionalism has been criticisedon threegrounds: (1) ConservativeIdeology;
(2) Conceptual Confusion; and (3) Operational Limitations.
1. ConservativeIdeology
Critics have found that structural functionalism is based on a deterministic, conservative and
restrictive ideology. Don Martindale pointed out four defects of functionalism:the conservative

.. . .
28 .
ideological bias and preference for status quo; a lack of methodological clarity; an overemphasis
on the role of closed systems in'social life, and failure to deal with social change.

C. Wright Mills criticised the conservative bias in the writings of the advocates of
which was a grand theory that neither related to facts nor reached a level of theory. Barrington
Moore, Alf and Andrew Hacker also criticised its conservative bias. considered
Almond's work as ethnocentricand considered its emphasis on stability as reflecting
Anglo-American liberal, capitalist norms. Sanford made a similar charge against Almond.
Other critics accuse functionalists of "a liberal bias" who believe that any interference with
freedom of the market-place leads to and limits on the system's natural benefits.
Charles Powell saw in Almond's methodology a reflection of "American cultural mythology".
His interest group approach was based on "classless view of a society stratified by religious and
ethnic distinctions ...the state withers away as a nonpartisan reference.. ...into a framework of
functionalist conflict resolution." He concluded that Almond's structural functionalism is
"establishmentarian,non-operational, formally inadequate ....As a vehicle for research it goes
nowhere, and as a language of discourse it leads to obfuscation......the pluralistic neutralism of
structural-functionalism.....renders it useless as a theory."
2. Conceptual Confusion
I.C. argued that "functionalism is limited by its lack of explanatory power, its satisfactoriness
explanation and the constricting effect of its assumptions, about the nature and working of
social systems." Groth's criticism of Almond's theory had three points against it: ambiguity in
terminology, difficultiesin determining political relationships, and confusion in the use of facts and
values. and Kind also criticised his obsession with empirical detail detached from
theory and obscurity of his languages.
Mackenzie thought structural functionalism as a mere which mystified truth. He said,
"Almond's terms are in one sense no better than the old terms because they offer no better
definitions." S.E. Finer said about the vocabulary of Almond's political system: "What Almond
has to say could have been said without using this system approach and it would have been said
more clearly." Finer hated the use of "modish"concepts. He thought that Almond's conception
of "political" was misconceived and that his notion of system, with its inputs and outputs was
"ot'iose and confusing".
argued that functionalism is illogical, Sherman Roy thought that it has tendency
to exaggerate the cohesiveness of systems and to obscure goals resulting in vague description
and lack of analysis.
Operational Limitations
has a methodology where ideal situations are often confused with
the observed situations of systems. Terry N . Clark complained about the structural functional
overemphasis of institutionalised political Other critics said that "structural functionalists
have not taken the enormously step of refining, and testing hypotheses."
They attributed these failings to the limitations of the writers, early stage in the evolution of the
theory and the deficiencies of functionalism itself.
According to Holt and Turner, Almond viewed the modern system as structurally
in effect to equate the modem political system with modem Anglo-American democratic
system.. definitions employ too many dimensions, and it neglects the problem of variation in
the societal functions of govemment."
They gave an example. According to Almond, there was no modem system in the Soviet Union.
Its structure lacked differentiation and autonomy. Thus it was, in Almond's view, traditional. Holt
and refuted this description by referringto the variety of interests that were expressed,
particularly during the period. Almond's categories become too rigid and specific
cases do not relate to his conceptual scheme. Other critics, however, suggest that functional
theory, if handled with care, could produce empirically testable hypotheses and prove in
research. ,

2.7 PUBLIC POLICY: SOME PERSPECTIVES

To find out how a political system can realise its goal, David would seek answers to
these questions: "What are the actual authoritative policies adopted by a society? How are
they determined and how are they put into effect?" Thus all activities involved in the formulation
and execution of social policy the policy - making process would constitute the political
system.
Policy is not just a decision of legislature or govemment because its implementationwill depend
on an administrator, who can reformulate or even destroy it. The study includes an
examination of the functioning and determinants of both the legal and the actual policy
practices. says: "If the law directs that all prices shall be subject to a specified form
of control, but black markets take root and the appropriate and the society as a whole
accept their existence the actual policy is not one of price control alone. It also includes the
acceptance of black markets."
Almond discussed public policy in terms of the capabilities of a political system. The novelty in
the capabilities approach is that it explains public policy in empirical It is incorrect to say
that democratic system follows a particular course of domestic and foreign policy. We know that
some democracies have followed social welfare and economic nationalisation policies, while
others have been committed to the policy of non-intervention in economic and social life
rigidly. The United States before the depression a policy of limited intervention, which
was changed by President Roosevelt into a "New Deal" welfare policy.
The extractive capability of a political system refers to the range of policies and system
performance in drawing material and human resources from the domestic and international
env
The regulative capability refers to the political system's for controlling the behaviour of
individuals and groups. In the United States, the political system now regulates many sectors of
economic life, it protects consumers from monopoly pricing, trade unions from suppression or
businessmen from unfair practices. .
The distributive capability refers to the policies regarding the allocation of goods, services,
honours, statuses and opportunitiesof various kinds to groups and individuals in the political
system.
Marxist theory has argued that the class structure of a society determines the structure and
process of the political system and also its policies and performance in society and in the
international Marxist theorists believed that the capitalist form of society produced
a political system dominated by the bourgeoisie, acting in its own interest and following a policy
of international aggression in order to maximise market and profits.
Ralph speaks of the state system within system. Implemented at six
different levels of the state system: (1) the government (2) the administration (3) the military
and police (4) the judicial apparatus (5) the units of sub-central government and (6)
parliamentary assemblies. The state elite, represented prime ministers, cabinet
ministers, top military men, judges of the higher courts, high civil servants, a few
parliamentary leaders, control the policy - making process in the political system.
Of course, the state system is not synonymous with the political system, which includes parties
and pressure groups, even giant corporations, other capitalist firms, Churches, the mass media,
etc. Both Ralph and Wright Mills have asserted that power elite consisting of (a)
top capitalists (b) top military leaders and (c) top political leaders control the policy-making
process and wield real decision - making power in all political systems of advanced capitalist
countries.
Analysing the relationship of the political system of advanced capitalism to the economically
dominant class, Ralph concludes, "It may well be found that the relationship is very
close indeed and the holders of state power are, for many different reasons, the agents of
private economic power - that those who wield that power are also, therefore, and without
unduly stretching the meaning of words, an authentic 'ruling class'."
While David and Gabriel regard the formulation and execution of policies as a
liberal, pluralistic process based on demandsand supports of interest groups engaged in competition,
C. Wright Mills and Ralph believe that policies in the political system of advanced
capitalist countries are dictated by the leading members of a power elite drawn three
segments: corporate capital, military generals and senior political leaders working as close
allies.

2.8 SUMMARY
Political philosophers have, since long, considered some conception of as their tool to
explain the of politics. System analysis, however, acquired a new significance
after the rise of behaviouralism in American political science, particularly the Second
World
The search for a systematic study of society was carried on by David in his application
of General Theory to politics. set forth four assumptions: this theory
the construction of' a paradigm with the.highest order of generalisation
(2) should be .viewed as a whole (3) research on political system is based
on both psychological and situational data and political be described as in
disequilibrium.

The of political system are political actions inputs in the form of demands and supports and
outputs in the form of decisions and policies. Interest groups contribute to demands and supports
and decisions policies are governmental functions.

focused his attention on System analysis ignoring legal and formal institutions. He said
political science should theorise about the political and its processes rather than
 Critics attacked for his inadequate conceptualisation, his preoccupation with stability and
persistence in the face of change and conflict, his avoidance of the human element, lack of
testable hypotheses in his research, operational within his framework, vagueness in
his notion of the system's boundary and his conservative ideological orientations. Very few
applied System analysis for their research in Comparative Politics.

Almond drew the notion of system from He regarded system as an "inclusive concept
which covers all of the patterned actions relevant to the making of political decisions. For
Almond, system was more important than process. Almond relied heavily upon Max Weber
and Talcott Parsons in his consideration of political system of action. He also introduced
, the concept of political culture.

According to Almond's theory of structural functionalism, all political systems have political
structures, which are multi-functional,and all systems perform similar functions and all of them
have a mixed political culture. Political systems are classified into (i) primitive (ii) traditional
(iii) transitional and (iv) modem on the basis of the of their political culture and the stage
of their political development.

Almond four input functions as (i) political socialisation and recruitment (ii) interest
articulation (iii) interest aggregation and (iv) political communication; and three output functions
as (i) rule making (ii) rule application and (iii) rule adjudication.

of functions was described as the capabilities of the political system: (i) regulation
(ii) extraction (iii) distribution and (iv) symbolic response. A third level of functions was described
by as maintenanceand activities of the political system. Political socialisation
and political culture helped the system in the performance of the above functions.

The critique of Almond's Structural Functionalism included the following points: his theory was
deterministic and ideological; it had a conservative ideological bias; it lacked methodological
clarity; it was unable to deal with problems of social change; it had serious operational
and it was full of jargon.

Both David and Gabriel Almond have presented a liberal pluralistic conception of public
policy, which is the outcome of competitive demands and supports, articulated by various interest
groups and decisions and actions of the government in response to them. C. Wright Mills and
Ralph believe that a power elite, consisting of top capitalists, top military generals and
top political leaders, really determines public policy in the political systems of all advanced
capitalist countries.

2.9 EXERCISES

1) Discuss the origins and orientation SystemsApproach.

2) Critically examine the main assumption of General Systems theory.

3) Critically the main tenets of Functionalism with reference to Almond's

ideals.

4) Write short notes on (a) Perspective on Public Policy (b) Inputs and Outputs.
 3 COMPARATIVE APPROACHES: POLITICAL
ECONOMY, DEPENDENCY AND WORLD
SYSTEMS
Structure
3.1 Introduction
3.2 What is Political Economy?
3.2.1 A Marxist Conception of Political Economy
3.2.2 Evolution of Political Economy
Comparative Political Economy
3.3. Issues of Political Economy
3.3.1 Imperialism and Dependency
3.3.2 Theories of State and Class
3.4 The Concept and Assumptionsof Dependency
3.5 A critical Assessment Theory
3.6 Capitalism as a World System
3.7 A Critique World Approach
3.8 Summary
3.9 Exercises

3.1 INTRODUCTION
Political processes in underdeveloped countries in their actuality have undermined the
confidence of political scientists that they could provide accurate analyses of the requirements
of these systems for or modernisation. One variable which is missing in most of
the 'functional' studies of the underdeveloped societies is the impact of colonialism and neo-
, colonialism. These writers also have a tendency to ignore or underplay the structural aspects
of the economic dimension. Only Marxist writers like Paul Andre Gunder Frank and
Charles Bettelheim have introduced the political economy approach while analysing the politics
of Asian, African or Latin American systems.

Political Economy of growth, Bettelheim's India Independent and Andre Gunder Frank's
Capitalism and Underdevelopment in Latin America are notable examples of the application of
the Marxist political economy paradigm to social and political change in the developing
Gunnar Myrdal and John H. Kautsky have studied the impact of economic factors oh the
political processes of the developing countries from a non-Marxist, liberal point of view.

3.2 WHAT IS POLITICAL ECONOMY?

third New International Dictionary has defined political economy as a social science
which deals with the of and political process. Economists stress the

33
 . ,

economic ramifications of political economy. Mandel traced' its origin to "the development of a
society based on petty commodity production."

Mam's major work, Capital, is subtitled "A Critique of Political Economy" and emphasizes
commodities, money, surplus value, and accumulation of capital. focused on "all material
production by individualsas determined by society". He criticised Adam Smith and Proudhon
for basing their conclusions based on the freedom of the individual and free competition, which
were illusory.

However, in contemporary political science, no great tradition of political economy had developed.
Actually, radical economists and sociologists have done more to revive the current interest in
political economy and to make it more relevant to political analysis. Most of these writers have
promoted a Marxist understanding of political economy.

3.2.1 A Marxist Conception of Political Economy

Early in the embarrassed by his ignorance on economic issues, Marx shifted his attention
from jurisprudence to material interests. Marx says: "I was led by my studies to the conclusion
that legal relations as well as forms of state could neither be understood by themselves, nor
explained by the so-called general progress of the human mind, but that they rooted in the
conditions of life."

In 1845 and 1846, Mam related his conception of the state to the productive base of society
through various stages of history. He says: "this conception of history depends on our ability to
expound the real process of history, starting out the material production of life itself.. ..and
to show in its action as state, to explain all the different theoretical products...religion, philosophy,
ethics and trace their origins and growth from that basis."

According to this, the base or economic structure of society becomes the real foundation on
which people enter into essential relations over which they exercise little control. In contrast, the
legal and political superstructure is a reflection of that base. Only, political economy can restore
the connection between an analysis of the economic base and exposition of its political and
ideological super-structures.

As you might have read in earlier units that traditionally, comparative politics looked at the
government and the state but in the late 1950s American political scientists discarded the
concept of the state. Almond and others thought that the concept of the state was
limited by legal and institutional meanings. The neutral concept of 'system' diverted attention
from class society, from the relationship of different classes to the means of production and
productive forces. Today the use of system usually pertains to a nation and comparative politics
tends toward country based configurative studies. Similarly, international politics is dealt with the
systems approach or the conventional historic, behavioural, geopolitical, balance of power or
equilibrium approaches. They emphasize political aspects, overlooking economic considerations.
When international politics takes up questions of imperialism and dependency, perspectives on
political economy can be applied.

There is another problem. The developed, industrial nations and underdeveloped,

agrarian societies of the are studies in contrast and separate
divided into the metropoles and satellites the centre and the periphery. No
attempt is to integrate and synthesize study of these so-called dichotomous entities.

34
Marxist approach to political economy makes the following points:

First, it has advocated that political inquiry is holistically and historically oriented rather than
limited to segments and current affairs. It should seek synthesis in the search for an understanding
of social problems and issues.

Second, the study of politics should be combined with economics. Distinctions between politics
and economics and also between comparativeand international politics in political science lead
to a distortion of reality and confusion. The dichotomy between the centre and the periphery also
leads to theoretical difficulties. The dialectical method will help in an integrated and dynamic
analysis of politics.

We find contrasting methodologies in the study of political economy. They may be identified as
orthodox and radical methodologies, which generate sharply different questions and explanations.
A distinction between Marxist and non-Marxist criteria should be made to perceive the differences
between these approaches. Marxism in this context should be seen as a methodology rather
than an ideology.

3.2.2 Evolution of Political Economy

Ernest Mandel has provided the most recent interpretation of developmentsin political economy.
Petty production was the first stage that lasted the Middle Ages. The
transfonnation of Europe from feudalism to a profit-orientedeconomy of buyers and sellers led
to the school of political economy. They assumed regulation and control were necessary in'
order to constrain the selfish individualism. They argued that wealth was produced, not by trade
and industry, but by agriculture.

Liberals believed that private property should be protected and that the production of wealth
based on the incentive to work, and the right to property instilled in the individual.They suggested
that individual initiative must be free from mercantilist constraints. Adam Smith consolidated
these ideas into classical political economy. In his into the Nature and Causes o fthe
Wealth o fnations, he discussed the major themes of commodity, capital and values, simple and
complex labour. He was the first to formulate a labour theory of value, "which reduces the value
of commodities to the amounts of labour contained in them."

Adam Smith also identified laws market that explain the drive of individual self-interest
in a competitive milieu and how this results in goods desired by society according to the
and the price it is willing to pay. Smith envisaged competitive market equilibrium because
individualism promoted order, not chaos, in the market economy. Ricardo in the
Political Economy and was both a pupil and critic of Adam Smith. Ricardo advocated
the accumulation of capital as the basis for economic expansion. He thought that restrictions on
private be abolished and that governments should not intervene in the economy.
Ricardo also noted the conflict between the interest of landlords and capitalists.

Utopian socialists like Robert Owen, and Charles Fourier criticised the liberals
or defending the of capitalism by giving a twist to Ricardo's theory of labour.
;aid: In so far as modern socialism, no of what tendency, starts out from bourgeois
economy, it almost exclusively links itself to the Ricardian theory of value. The two
which Ricardo (I) the value is purely
I solely determined by the quantity of required for its and (2) that the
product of the entire social labour is divided among the three classes: landowners (rent),
capitalists and workers (wages), had ever since 1821 been utilized in England for
socialist conclusions."

Marx transcended the theory of the utopian socialists as well as the classical economists. He
worked out a theory of surplus value and class struggle. He set both basic laws of development
and theory of economic crises. He thus achieved a practical synthesis of micro-economic and
macroeconomic ideas. He also said that the of every society form a whole;
the parts cannot be separated from the whole so that one can explain society in terms of all
relations coexisting and supporting one another.

The of socialism led to the marginalist theory of value and neo-classical political
economy. The labour theory of value was attacked along with a bourgeois onslaught on Marxism.
The neo-classical theory was rigorous, detailed and abstract. Marxism was attacked by the
historical school in Germany and also by the Austrian and Swiss economists. The neo-classicists
emphasize equilibrium and are criticised for being unable to account for the disturbances that
affect equilibrium. Their is static, not dynamic. It does not deal with economic crises
and does not relate imperialism to capitalism.
. These problems led some economists like Schumpeter to study structural crises. After the great
depression of 1929-1933, Keynes wrote General Theory of Employment Interest and Money and
changed an apologetic view of capitalism to a pragmatic one. Instead ofjustifying capitalism in
theory, he suggested a way to preserve it in practice by mitigations, the extent of its frequent
fluctuations.

Marxist and Neo-Marxist writers like Kautsky, Hilferding, and Rosa Luxemburg and others
continued the radical tradition of political economy. Imverialism: The Last Phase of
was a good example of the application of the political economy approach to
analysis of imperialism as a world system. Paul Leo Huberman and Paul Sweezy made
a great contribution to the development of political economy since about 1960. Mandel continued
their tradition and predicted an end to what he called the bourgeois, ideological approach to
political economy.

3.2.3 Comparative Political Economy

The examination of the theory, method and concept suggests a dichotomy between bourgeois
and Marxist political economy. Attention to capitalist accumulation permits the consideration of
both political and economic issues. The study of capitalist accumulation with emphasis on
precapitalist and capitalist modes of production can integrate the inquiry that has so far led the
economists to investigate questions about the material base of society and political scientists to
study the issues of the political and ideological super-structure.

Some might say that economists should be concerned with theories of imperialism and political
scientists should deal with the theories of state and class. However, all these concerns should
be integrated by the political economist. The solution is the reconstitution of economies and
political science into economy.

Political economy fundamentally addresses the broad historical sweep of capitalism, especially
over the past hundred years. In the Das Marx gave us the foundations for such study.

6
Paul Sweezy in The of and Ernest Mandel in Marxist Economic
interpreted findings, emphasizing the economic implications. However, a synthesis
by Stanley W. Moore in Democracy focused on the political
ramifications.

Late Capitalism attempts to integrate theory and history in the tradition of

dialectically moving from abstract to concrete and vice versa, from the parts to the whole and
back again to parts, contradiction to totality and back to contradiction. Samir in
Accumulationon a World Scale combined theory with history on a holistic level. He insisted
that all modes and formations of the contemporary world reflect an accumulation on world scale.
Capitalist and non-capitalist world markets are not separate because there was one world
market in which the former socialist countries participated marginally. Moreover, capitalism is
a world system, not a mixture of national capitalisms.

Other attempts to provide a holistic overview of political economy include Parry Anderson's
from and o f the Absolute State. They studied the
political economies of European feudalism and capitalism. Wallerstein, in The Modern
World elaborated Andre Gunder Frank's theory of capitalist development and
underdevelopment and emphasized market relations.

Four thinkers - Mandel, Anderson, and Wallerstein - among others have rekindled an
interest in the history of political economy. It orients us toward old and new issues neglected
by most contemporary economists and political scientists. All four borrowed from Marxist
tradition of political economy and enriched it by their valuable contributions. Mandel explained
that the entire capitalist system is a hierarchical structure of different levels of productivity and
the outcome of the uneven and combined development of states, religions, branches of industry
and firms, unleashed by the search for super - profits.

In this system, unity coexists with lack of homogeneity, developmentwith underdevelopmentand

super profit with poverty, Given these variations, features of lower stages combine with those
of upper stages to produce a formation of contradictory character and allow a qualitative leap
in the social backward people. Brenner criticises this approach he thinks
it has neglected relations of production and class struggle. He doubts whether a national solution
will prevail over the problems of world wide accumulation.

3.3 IMPORTANT ISSUES OF POLITICAL ECONOMY

In addition to the historical studies that are related to capital accumulation and theories of
development and underdevelopment, it is reasonable to inquire into a feature of international
political economy dealing with the histories of imperialism and dependency.

It will be fruitful to review the complementary concerns of comparative political economy,

nainely state and class, as well. With the theories of imperialisin and dependency, we can
distinction between bourgeois and Marxist theories of state and class.

The following discussion will critically examine the lines of thought, first, on imperialism
and dependency and, next, on state and
3.3.1 Imperialism and Dependency

Imperialism can be traced the Greek and Roman empires to its mercantile 'old' form in
the 1 and 1 centuries to its monopolistic 'new' form in the 1 and 20'" centuries. Two
views of the new imperialism were propounded. One, the radical and Marxist view suggested
that imperialism was an outcome of expanding capitalism, necessitated by the contradictionsof
the capitalist mode of production. The other, the liberal or argued that the
inequities of the capitalist system could be easily adjusted.

The theories of Kautsky, Schumpeter and Galtung contributed to a liberal view of

imperialism. argued that under consumption was the cause of imperialism and that with
an increase in domestic consumption in Britain, there would be no need to expand into foreign
markets.

Kautsky, a German Social-Democrat, felt that the class conflicts of capitalism would diminish
through peaceful methods of reform and the interests of the capitalist class, as a whole, will
clash with a minority of powerful capitalists who advocated imperialist expansion.

Schumpeter emphasised that imperialism was a precapitalist phenomenon which would disappear
in a rational and progressive era of capitalism. Galtung a structural theory of imperialism
which has broad acceptance today in non-Marxist circles.

Luxemburg, Lenin, Bukharin, and Sweezy, and may be regarded as important

representatives of the Marxist theory of imperialism. Rosa Luxemburg propounded a theory of
imperialism in terms of continuous capital accumulation and examined the penetration of capital .
in backward economies.

Lenin regarded imperialism as the highest stage of capitalism. He studied the rapid concentration
of production in large industrial monopolies as well as the growing influence of large in
the monopolies. Imperialism for Lenin was almost synonymous with monopolycapitalism.
He distinguished imperialism from mercantile and free trade colonialism of the earlier
centuries,Bukharin also characterised imperialism as domination of finance capital. He said that
imperialism was an advanced stage of capitalism and should not be equated with either conquest
or political domination alone.

Paul and Paul Sweezy were influenced'by Hilferding, Luxemburg and Lenin in their
formulation of the Marxist theory of imperialism. They focused on the generation of capital
surplus and its disposal. They assessed the role of giant corporations and their managers, holding
monopoly and oligopoly as responsible for imperialism. Harry analysed the patterns of
American foreign policy, political and military presence all over the world, and dominant
position of U.S. aid and trade policies as features of an expanding U.S. "empire".

Theories of dependence have been by Marxist and non-Marxist writers. Raul

and the ECLA (The U.N. Economic Commission on Latin America) school of economists
represent the nationalist school of dependency. Osvaldo Furtado, Pablo
Casanova and Francois also belong to the non-Marxist, nationalistschool of dependency
theorists.
 Another of dependency reflects Marxist approach. Lenin wrote of dependency in
his work on imperialism. influenced and other Latin Americans to write
about dependency after the Second World War. Theotonis Dos Santos and another Brazilian Ruy
Manro Marini attempted to assimilate the concept of dependency into their Marxist theory of
capitalism and Leninist theory of imperialism. F. Henrique gave a heretical, Marxist
interpretation of dependency.

Other writings on dependency, such as Paul Sweezy's and Andre Gunder Frank's
works fall more clearly into Marxist framework. They tried to update Lenin and gave their own
independent interpretations of the phenomena of dependency. The dependency theory will be
discussed in detail in a subsequent section.

I 3.3.2 Theories of State and Class

The prevailing liberal conception sees the state as a political market-place through which the
demands and interests of competing groups and individuals are voiced and implemented. Two
views are presented in this connection. On the one hand, neutral agencies of the state mediate
conflict that emerges from party and group competition. On the other, the state agencies function
as bases of political power and competition among these agencies for funding determines their
relationship to parties and interest groups. Robert has drawn attention to these perspectives
of the pluralist state and incorporated social class trends and cleavages into his revised theory .
of or generational pluralism.

Marx never fully developed a theory of state and class. Ralph noted that "a Marxist
theory of politics has to be constructed or reconstructed from the mass of variegated and
fragmented material which forms the corpus of Marxism." For Marx, the separation of
politics from economics is an ideological distortion because politics is an integral part of
political economy. The primacy of economics constitutes an important and illuminating guideline, .
not an analytical straitjacket.

In the o fthe Private and the State, summed up early

writings on the and class and showed the significance of economic factors. In State and
Revolution, Lenin argued that the state does not reconcile class conflict but ensures the oppression
of one class by He argued that state power should be destroyed by a violent revolution.
Class antagonisms cannot be resolved through peaceful reforms. He saw the police and standing
army as "instruments of state" power. The proletariat fights the state until bourgeois democracy
is replaced by proletarian democracy. With the establishment of classless society under-
communism, the state disappears altogether.

Contemporary scholars have formed three traditions in thought regarding the relationship
of state and class. One tradition is known as instrumentalism. Marx had said in the
Manifesto that the state executive "is but a committee for managing the affairs of the whole
bourgeoisie." Lenin also made references to instruments of state power in his writings. Thus the
state is regarded as an instrument of the dominant or ruling class.

Instrumentalism focuses on the class that rules and the ties and mechanisms that link state
policies with ruling class instruments. Instrumentalism has been criticised for to
rise above pluralist concerns oh social and political groupings rather than on clusses
 A second tradition is represented by the view state which is advocated by
French Marxists. Nicos Poulanzas elaborated a political side of this structuralism. He argued
that the bourgeoisie is unable to act as a class to dominate the state. The state itself organises
and unifies the interest of that class. Althusser also advanced a structural view of the state.

Paul and Sweezy proposed an economic side to structuralism by stressing the activity of the
state in resolving economic contradictions and averting crises. Structuralism is criticised as it
cannot explain class action arising from class consciousness. The critics ague that structural
analysis tends to be static and tied to inputs and outputs rather than a dynamic expression of
class struggle.

A third tradition is rooted in the critical perspectives derived from and Marx. It is carried
on by Herbert and others belonging to the Frankfurt school. This school is seen as
defender of Hegelian re-interpretationof Marxism, very abstract and philosophical and unrelated
to concrete politics. emerged as a leader of the New Left movement in the
1960s. He exposed the mystification of the state and its ideology and inspired the American
youth and Students to rebel against the bourgeois state.

Marx and distinguished state from society in order to explain the interrelationship between
political and economic life. They defined politics in of the power of the state, the super-
structure that represents bourgeois class controlling production. Is there a Marxist paradigm of
. political economy, state and class that has any theoretical and practical relevance today?
answers this question in the

I
The Marxist paradigm was evaluated by him in these words: "Even though it shares insights
with, and has influenced, the various social sciences, it is distinctive and cohesive both as a
method and in the results it facilitates.. ....It poses the right questions about the contemporary
, world; it suggests ways of seeking out the answers; and it is therefore relevant
to the theory and practice of the twenty first century."

3.4 THE CONCEPT AND ASSUMPTIONS OF DEPENDENCY

The concept of dependency is widely used in comparative analysis of the third world political
systems in Latin America, Asia and Africa. It evolved in Latin America in the 1960s and was
later discussed in some writings about Asia and Africa as well. Both liberal and Marxist writers
have propounded their own versions of the phenomena of development andunderdevelopment
resulting in considerable theoretical confusion about the nature of dependency and its conceptual
implications. An attempt will be made here to distinguish between different usages of the
Broadly speaking, it is necessary to differentiate between a bourgeois and a
Marxist view of

Lenin was the first to refer to the concept of dependency as a part of his general theory of
imperialism. He understood capitalist imperialism as a manifestationof the struggle among the
colonial powers for the economic and political division of the world. colonial
powers were sharply distinguished from the colonial countries, formally independent yet dependent
countries also existed. These dependent countries, Lenin said, "are enmeshed net of
financial and diplomatic dependency."
 Contemporary perspectives reveal the of and dependence among
the nations of the capitalist world. can be either progressive or regressive. Dependent
nations may develop as a reflection of the expansion of dominant nations (Canada) or
underdeveloped as a consequence of their subordinate relationship (Brazil).

The Brazilian social scientist, Dos Santo, said: dependency we mean a situation in which
the economy of certain countries is conditioned by the development and expansion of
another economy to which the former is subjected. The relation of interdependence between
two or more economies and between these and world trade, assumes the form of dependence
when some countries (the dominant ones) can do this only as a of that expansion,
which can have either a positive or a negative on their immediate development."

Those who use the concept of dependency in their analysis of development and underdevelopment
also focus on the issue of foreign penetration into the internal economies of the subordinate
nations. External economic and political influence affect local development and support local
ruling classes at the expense of the masses.

I The economist Osvaldo said: "Foreign factors are seen not as external but
intrinsic to the system, with manifold and sometimes hidden or subtle political, financial,
economic, technical and cultural inside the underdeveloped country ... Thus the
concept of "dependencia" links the postwar evolution of capitalism internationally to the
discriminatory nature of the local process of development, as we .know it. Access to the
means and benefits of development is selective; rather than spreading them, process
tends to ensure a accumulation of privilege for special as well
the continued existence of a marginal class."

F. Henrique examined three tendencies in the literature on dependency. One, autonomous

national development emerged in Brazil as a response to the view that development can take
place through the export of commodities or foreign investment. The underdeveloped nations
faced three alternatives: dependency, autonomy or revolution. In order to overcome hindrances
to national development,dependency should achieve autonomy through incremental change.
, view was held by Helio Jaguaribe, a Brazilian writer.

A second tendency is based on an analysis of international capitalism in its monopolistic phase.

It is represented by the ideas of Paul Paul Sweezy and Harry who are
independent Marxist thinkers and believe that socialist revolution alone can put an end to
dependency. claimed to represent the third tendency, which examined a structural
process of dependency in terms of class relations and internal contradictions in the context of
international policies and economics.
,
Bacha classified dependency into five models. The first was conception of Centre -
peripheral dependency. The second was Lenin's conception of and dependency. The
third was Frank's capitalist development of A fourth perspective came from
Dos Santos who spoke of dependency based on dependence on multinational corporations.
The fifth conception came fi-om and internal dependency located in internal
class structure.

Brien recognised three of dependency. The lirst was ECLA structuralist analysis
 by Marini, Dos Santos and Frank. The third was Marxist structuralist synthesis advocated by
and Ianni.

Chilcote divides the conceptions of dependency into four modes: Development of

underdevelopment (Frank and Rodney) (2) New Dependency (Dos Santos) (3) Dependency
and development (Cardoso) and (4) Dependency and imperialism and Sweezy, and
Quijano).

There have been several approaches to dependency theory. The first approach discussed here
is based on national autonomousdevelopment. Since colonial times, Latin America has depended
on exports of raw materials and agricultural commodities but the depression of 1929-1933
resulted in the decline of export earnings. Since then, autonomous development became the new
slogan of the intelligentsia and the bourgeoisie. Under the capitalist state, state control and
planning can assist the growth of national industries as well as an infrastructure of roads, power
and other essentials.

This approach was anti-imperialist and emphasised the creation of an independent national
It was first formulated by the economistsassociated with the United Nations Commission
for Latin America (ECLA), under the aegis of Raul Prebisch of Argentina. Essentially ECLA
accepted the view that a new class of industrialistsand businessmen would emerge as supporters
of national interests in the face of foreign penetration into the domestic economies of the less
developed nations. ECLA has assumed a nationalist yet an anti-imperialist perspective on the
question of development in the dependent countries.

points out that underdeveloped countries suffered from internal colonialism as well.
People in dependent countries also suffer from the exploitation by their own capitalists and
landlords who act as allies of foreign capitalists. Subsistence economies accentuate poverty,
backwardnessand low productivity.

A derivation of colonialism is the theory of poles of development. This theory is concerned

especially with unequal development, which was evident between nations as well as between
regions within a single country. The theory that underdeveloped economies are
by a lack of infrastructure in transportation and communication. The imbalance
created by a dual economy can be overcome by diffusing capital and technology to
underdeveloped regions.

argued that capitalist development can occur in dependent situations. It has become a
new form of monopolistic expansion in the third world. This development benefits all classes
associated with international capital including the local landowning and capitalist class. This is
new dependency resulting from the growing power of foreign multinationals. These conditions
prompt military intervention and rule.

Several Marxist thinkers explain underdevelopment of dependent by

to dominations of the third world countries by monopoly capitalism. These writers
that corporate capital has capital the instrument of
in the dependent countries. and Sweezy examined the United States in the light of their
approach but their work helps us to understand the external impact, monopoly capitalism which
the centre exerts upon the peripheral nations of the world. Samir provided even greater
depth in an analysis of monopolies and dependency in an accumulating capitalist world of
and periphery.

I
Marini has propounded the theory of regarding capitalist development in Brazil.
He characterised Brazilian capitalism as super-exploitative,with a rapid accumulation benefiting
the owners of the means of production and an absolute poverty accruing to the masses. With
the dimunition of internal consumer market and a related decline in surplus, the Brazilian economy
reached an impasse in 1964. The military regime resorted to sub-imperialism as the only possible
escape route from the crisis. Marini analysed the of an escape from dependency and
underdevelopment in the face of its ties with international capitalism. His approach combined a
dependency perspective with a Marxist anti-imperialist framework.

Andre Gunder Frank provided another framework for dependency theory. He emphasised
commercial monopoly rather than feudalism and precapitalist as the economic means
whereby national and regional metropolises exploit and appropriate surplus from the
satellites. Thus capitalism on world scale promotes developing at the expense of
underdeveloping and dependent satellites. Frank was influenced by the ECLA structuralist
approach and reaction to the orthodox views of development. Frank's dichotomy of metropolis
and satellite followed the ECLA formula of centre and periphery. Frank, however, criticised
suggestions for autonomous national capitalist development as impractical.This led him
to an anti-capitalist and a Marxist position. Frank rejected the stage theory of Rostow and
others. He also criticised orthodox Marxist theory for placing the history of capitalism into
deterministic formulas.

Frank's Marxism was influenced by Paul work and by the efforts of Sweezy
and others to set forth original and imaginative ideas within a Marxist tradition. He took an .
exception to the notion of a dual society. He outlines the major contradictions of capitalism that
led to underdevelopment.

Dos Santos outlined three types of dependency:

1) Colonial dependency implied a monopoly of trade and a monopoly of land, mines and man-
power in the colonies.

2) Financial industrial dependency implied a domination of capital by the hegemonic centres

and investment of capital in the peripheries for raw materials and food products.

3) The new dependency, which emerged the Second World War was based on investments
by multi-national corporations in dependent countries.

The theory of new dependency attempts to show that the relationshipof dependent countries
towards the dominant countries cannot be changed without changing their domestic structure
and foreign relations. structure of the dependency leads dependent countries to
underdevelopment as the multinational corporations extract more and more surplus value from
the backward economies.

3.5 A CRITICAL ASSESSMENT OF DEPENDENCY THEORY

The various approaches discussed above made it clear that there is no unified theory of
dependency. A critique of those approaches is attempted below.

The centre - periphery thesis of the ECLA economies correctly traced the underdeveloplnent
to the international system and thus formulated the basic assumption of the dependency theory.
 However, it neglected a close of the policies of dominant and their
needs. It wrongly attributed to-traditional or factors and assumed
that a progressive national bourgeoisie capable of promoting" national economic
development.

and Furtado modified the strategy of Prebisch and focused on changes in the structure
of internal production so as to eliminate the mechanisms of dependency and also proposed
changes in the structure of the multinationals which reinforce the mechanisms of dependency.
Their were (1) redistribution of land to peasants (2) creation of heavy industry
(3) promotion of export industries (4) joint national-multinational enterprises. Most of these
policies remained either unimplemented or could not change the reality of dependence.

Other theorists of dependency believed that an independent capitalist development was not
feasible and that, instead, socialism must be introduced along with a planned political economy
and an intensive utilisation of natural resources. However there was no popular movement for

I
socialism.

Some also suffer from inadequate conceptualisation. The internal colonial

model of Casanova stresses national rather than external conditions. rightly focuses on monopoly
and relations of production. However the on the fonns of internal colonialism may be
misleading. The assimilation of the marginal people into a collective society by a national
capitalist class is impossible. Autonomous development in a dependency is an proposition
because international capitalism would not permit this to happen.

The Marxist, anti-imperialist approaches to dependency throw fresh light on the relations between
centre and periphery. Their concerns are the hegemonic impact of monopolies whose strategy
is oriented towards global expansion. Contradictions in the centre may be reduced by expansion
in the periphery through the exploitation of the workers and peasants. The contradictions shift
to the periphery where the corporation has become decisive in monopoly capitalism. and
Sweezy support the view that corporate capital has now replaced bank capital as the

I
of controlling industry.

Although the sub-imperialism thesis of Marini has received less attention, Frank's theory about
the development of underdevelopment has influenced many other thinkers and drew the attention
of some critics as well. It is said that descriptions of class structure in Frank's theory are
schematic. Another criticism regards dependency as an external phenomenon imposed upon the
periphery than as an integral element. A critic also points out that Frank's theory of
dependency is static and fails to show changes. Ernesto Laclau argued that Frank's theory
departs from the of Marxism. For example, he defined feudalism and capitalism as social
systems rather than as modes of production. Thus it is to trace various forms of
transition between feudalism and capitalism. Another critic said that Frank's insistence that
capitalism has prevailed throughout Latin America since the sixteenth century departed from
own understanding of capitalism.

I
This critique may be summed up as follows: "The criticism dependency theory
the lack of conceptual clarity in interpretations of orthodox and radical writers alike.
Distinctions between these types of writers are clear, however. An orthodox or bourgeois view
of dependency usually concerns itself with the building of national capitalism within
the interest of the nation on the path toward The radical or Marxist view relates
the elimination of dependency to the struggle of workers to supplant the capitalists owners of
the of production and to establish socialism,.. too is a concern for those
attempting to relate Marxist theory to dependency." Elimination of economic imperialism is
necessary of dependency.

3.6 AS WORLD SYSTEM

and Lenin and their followers conceived the capitalist system in international terms. Robert
developed this in an article entitled "The Modern Science and World System"
published in 1979 in the Theorv Society. argued that developments in
modern science and technology have brought about a highly integrated world system.

Wallerstein in his work entitled Modern examined the capitalist agriculture

the origins of the European world in the sixteenth century. In his introduction, he
discussed the in his previous political perspective. He abandoned his earlier on
the sovereign state or the national society, arguing that "neither one was a social system...One
speak of social change in social systems. social system in this scheme was the
world system." Actually. Wallerstein attempted to transcend the boundaries of disciplines
as he utilised an "unidisciplinary"approach. He thus combined all the social sciences into a
historical and holistic perspective. .

Sainir in his work entitled on World followed a similar approach,

on explicit Marxist building a radical paradigm of understanding. Samir
like Wallerstein, was also historical and holistic as he attempted to transcend national
capitalist and socialist systems to develop and present his thesis. Thus, Samir declared,
"There are not two world markets, one and the other socialist, but only one, the
capitalist world market." His theory on a scale is a theory of capitalist
formations between the centre and the periphery of a world system.

Subscribing to a theory of economic Wallerstein developed his conception

of class in the capitalist world economy. His argument be summarised in the following
words. Class is a concept that is historically linked to the capitalist world economy or the modem
world system.

This world consists of three basic elements: (1) a single market (2) a series of state
structures called nations that influence the workings of the and (3) three levels of core,
and periphery involving the appropriation of surplus labour. Class struggles grow
from the relationship among three levels.

Wallerstein says, "Those on top always to ensure the existence of three tiers in order to
preset-ve their privilege, whereas those on tlie bottom seek to reduce three to two, the better
to destroy this same privilege. This over the existence of the middle tier goes on continually,
both in political terms and in terms of basic ideological constructs."In this struggle, classes are
formed, consolidated,disintegrated, and reformulated as capitalism evolves and develops.

This changing struggle is located in the capitalist world economy. He adds, The capitalist
economy as a totality - its structure, its historical evolution, its contradictions- is the arena of
social action. The political reality of that world economy a class struggle which
however takes constantly changing forms: overt class consciousness versus ethno-national
consciousness, classes within nations versus classes across nations."

Samir also sees capitalism as world system upon which national entities may be dependent.
Class, production struggle, and transition all must be analysed in a world context. Thus, a
transition from capitalism to socialism must begin in the periphery. He says, "Under
conditions of inequality between nations, a development that is not merely development
underdevelopment will, therefore, be both national, popular-democratic and by
virtue of the world project of which it forms part.

The other issue is whether analysis should concern exchange or production. uses concept
as the mode of production to move beyond market categories while focusing on the world
system, centre and periphery. followed in the tradition of Marx who noted the crises
created by financial and trade cycles in the capitalist system, but who also focused on the
development of productive capacity in capitalism. has also argued that we cannot think
of class struggle as occurring within separate national contexts but must think of it as occurring
within the context of the world system. Given the periphery's integration with the world market,
the periphery lacks the capacity and economic means to challenge foreign monopolies.
transfers of value from the periphery to the centre, might not the world be analysed in terms
of bourgeois and proletarian nations? answer to this question is that class struggle in
the modern world system will take place not only inside nations but also across

3.7 A CRITIQUE OF WORLD SYSTEM APPROACH

Wallerstein expanded a conception of centre and periphery that originated with Prebisch.
He came close to the formulations of unequal development thesis of Samir who, however,
attempted to give importance to the productive process of capitalism as well as the market.
Wallerstein also tried to move beyond a conception of class within nations, thereby escaping
some of the problems in a class analysis of internal colonialism or in the attention to national
bourgeoisies found in the writings of both Marxists and non-Marxists related to the question of
development.

Terence Hopkins argued that Wallerstein provided a theory of global capitalist economy as a
world system, not a theory of the development of national economics. The world system has
also brought about an organised world capitalist class in contrast to the alliance among national
bourgeoisie. The multinational corporations have proved effective in this world system
along such class lines.

Wallerstein's theory has been widely criticised for its attention to market rather than production
as a basis for class relations in the contemporary capitalist world. Wallerstein cited
Marx for support of his theory and attempted to disassociate his thought from the ideas of Max
Weber. His concern with structure transcended national boundaries and to discover
the roots of the world capitalist economy. Wallerstein recast the dimensions of the dependency
theory. This influenced even liberal social scientiststo change their perspectives of development,
underdevelopment, state and class.

Ira Gerstein provided one of the few critiques of work. He argued that Samir
treatment of the class struggle and possible transition to socialism is "somewhat ambiguous.
perhaps reflecting.. commitment to the national bourgeoisies of the peripheral countries."
46
 Although correctly negated the thesis that dichotomy of and periphery
relates to a division therefore potential class struggle between bourgeois and proletarian
on the market with resulting tendency toward dualism, masking the class
struggle, and ignoring the relations of production, lead to a questionable world class analysis."

Samir answer to accusations emphasised that the world capitalist systein is

heterogeneous, composed of central dominant formations and peripheral dominated ones. Within
this framework, class conflicts cannot be considered within the narrow scope of national entities
but on a world scale. attention national bourgeoisie is suspect, because they are
the principal allies of imperialism of the nations.

The world approach asserts ( 1 ) a chain of and satellites connects all

parts of the world from the metropolitan centre in the United States and Europe to the
hinterland of all backward countries in Asia, Africa and Latin and (2) times of war
and depression may allow for development on capitalist lines in the satellites,
but the existing capitalist world system such development is destined to acquire the
character of a kind of lopsided, distorted development which will
change the life styles of the marginalised classes.

3.8 SUMMARY
Political economy deals with between economics and politics. Political
. has evolved through several phases: physiocracy, classical political economy, utopian
socialism, neoclassical economies and Keynesian economy.

We find contrasting in the study of political - neo-classical and Marxist.

Marx related conception of the state to the prevalent mode of production. According to him
character of the state with a in the mode of production. Marxism considers
politics as on an economic base.

I
Political economy deals with issues as development, underdevelopment, state
and class, examining economic and political dimensions.

I
Within the political economy approach, concept of dependency has been widely used in
comparative analysis of the third world systems, particularly in Latin America. It stressed
underdevelopment of the backward areas is product of the same historical process of
capitalist development that shaped the development of the progressive areas. Some concepts
to explain dependency were (1) Poles of Development (2) Internal Colonialism (3) Monopoly
Capitalisin (4) Sub-imperialism (5) Capitalist of underdevelopment and (6) New
Dependency.

The world approach is based on the concept of capitalism as a unified world

This modern capitalist world is organised on the basis of three basic .
characteristics: a unified world a series of state structures and nations that affect the
working of the market; and levels of core, semi-periphery and periphery. Class struggle
arises from relationship these levels.
 Liberal, neo-liberal, pluralist and functionalist writers pay little attention to either political economy
approach or the conceptions of dependency and the world system. They dismiss them as
ideological constructs which did not correspond to social and political realities.

3.9 EXERCISES
the assumption of the political economy approach in the study of
comparative politics.

I 2) Discuss the concept of dependency as an explanatory tool for the phenomenon of

underdevelopment.

3) Critically the assumptions of the world system approach and their relevance to
political analysis.
 4 THEORIES OF STATE
Structure
4.1 Introduction
4.2 Meaning of the Concept of State
4.2.1 of the concept 'State'
4.2.2 State as the Political Philosophers know it
4.2.3 What constitutes a State?
4.3 Theories regarding the Origin State
4.3.1 Social Contract Theory
4.3.2 The Theory
The Theory
4.4 Dominant Perspectives State
4.4.1 Liberal-IndividualisticPerspective
4.4.2 Libertarian Perspective
Social-Democratic Perspective
4.4.4 The Perspective
4.4.5 The Gandhian Perspective
4.5 Summary
4.6 Exercises

4.1 INTRODUCTION
The state, being the basic concept Science, has its own significance.Numerous definitions
of the state have appeared since the days of the ancient Greeks. There are, in fact, as
meanings state as there are theorists who venture to define it. That the state is an association
with population, definite and sovereignty is a meaning which
all liberalsgive to the state. That it is an instrument in the economically dominant class
which exploits the have-nots, an executive committee, as Marx had said capitalistic system,
bourgeoisie to oppress the proletariat. The anarchists, the social democrat, the Gandhians
have their own different perspectives state. Thus, different meanings have been given to
state by different political philosophies. also are different theories with regard to the origin of
the state; so also are different theories with regard to its nature and functions. To understand the
concept of state in its totality is to know it from all perspectives.

4.2 MEANING OF CONCEPT OF STATE

4.2.1 Etymology of the concept 'State'

of the of the state is older than its The state as a word 'Stato'
 .
(1469-1527). The meaning of the state in the sense ofbody-politics became common in England
and France in the later part of the sixteenth century. The word staatnkunst became the German
equivalent of ragione de state during the seventeenth century and a little later the word
staatscrecht got the meaning of jus publiceem. Thus came the use of the word State.

I
The word 'State' has its origin in the Latin word 'Statue' which means 'standing' or 'position'
of a person or a body of persons. The Latin 'status', Ernest Barker tells us, gave three English
words: (i) 'estate', in the sense of a 'standing' or 'position' in regard to some form of property
(ii) 'Estate', using the word in the primary sense of a grade or rank in the system of the social
standing or position belonging to such grade or rank and 'State', stateliness vested in
one person or some body of persons ... primarily a peculiar standing, of a kind which was
political and of a degree in that md hich was superior or supreme. The word 'State' ca
to be understood, during the 16 -17 centuries and even down to the last days of the 18
century, some what identical with the terms 'sovereign', 'king'. No wonder if Louis XIV
said, 'I am the State'. And to this context, Barker adds, "Was he (Louis XIV) not in his own
view, as in that of his subjects, the person who enjoyed the 'State' and position of being the
supreme political authority, and was he not therefore 'the state'?"

The use of the word in ancient Greece or the word in ancient Rome or the
word 'commonwealth', 'Commonweal' during the medieval age in the West do not clearly and
definitely contain in themselves the idea of stateliness, sovereign political position of a
person or a body of persons. This is why these words 'res 'commonweal'
meant much more than the pressure of the rulers. These meant, in fact, the whole body of
people living on a territory, the rulers forming only one part, though prominent indeed. It was
in the writings of Machiavelli and the theorists after him that the word 'state' came
in vogue, defining not only the position of the ruler in regard to his subjects, but also th
degree of the position the ruler eventually came to obtain. During the later part of the 18
century and the larger part of the 19 century, emphasis came to be laid, owing largely due to.
the efforts of the jurists in England and France internal supremacy and external independence
of the sovereign authority. As democracy, in the form of franchise, came to be associated with
liberal-capitalist system, the concept of the State was itself liberalised to include the great body
of people residing in it. Barker pointed out, "The is now whole community; the whole
legal association; the whole of the organisation. This is democracy, or a
of democracy; we must henceforth think of the state as ourselves; and we must henceforth
give the name of 'government' to the authority before called 'state'.

4.2.2 State as the political Ptiilosophers know it

A glance at the various definitions of the State by thinkers of the past and present shows as
to how they have looked at this concept. Plato (42817 - B.C.) found the state as a system
of relationship in which everyone does one's own business and where the rulers seek to maintain
these relationships. Aristotle (384-322 B.C.), Plato's disciple, defines the state as an 'association
of households and villages sharing a life of virtue, and aiming at an end which consists in perfect
and self-completeexistence'. (106-43 B.C.), a jurist of ancient Rome, speaks of the state
as 'the people' affairs ... who are united by a common agreement about law and rights and
by the desire to participate in mutual advantage'. With the beginningof the modem age, we have
Machiavelli(1469-1527) who regards the state as an end in itself existing for its own preservation
and for its own advantage. Jean (1 530-1596) defines the state as a 'lawful' government
(1588-1679) speaks of the state as a power which gives people 'their own preservation and a
more contented life thereby'. John (1632-1 704) says: 'The great and chief end, therefore,
of men's uniting into commonwealth, and putting themselves under government, is the
preservation of their property'. (1748-1832) considers the state as a means for attaining
the greatest happiness of the greatest number' and for this, he specifies four subordinate ends
of the government: abundance, subsistence, equality and security. Herbert Spencer (1 820-1903)
regards the state as a committee of management which has no intrinsic authority beyond the
ethical sanction bestowed on it by the consent of the citizens. Rousseau (1712-1778) speaks of
the State, saying: 'This public person, so formed by the union of all other persons, formerly took
the name of city and now takes that of Republic or 'body-politics'; it is called by its members
State when passive, sovereign when active, and Power when compared with others like itself'.
Edmond Burke (1729-1 793) defines the state as 'a partnership in all science, a partnership in
all arts, a partnership in and in all perfection... a partnershipnot only between those
who are living, but those who are dead, and those who are to be born.' (1770-183 1)
considers the state "as a divine and moral entity which alone is capable of bestowing all spiritual
reality." John Stuart Mill (1806- 1873) regards the state a "positive instrument which helps the
individual achieve progress and enjoy liberty." Thomas Hill Green 836-1882) defines the state
as 'a body of persons, recognized by each other as having rights, and possessing certain
institutions for the maintenance of those rights.' Karl (1 818-1883) and Frederick
(1 820-1895) regard the state as the political organisation of the class dominant in economy
whose purpose is to safeguard the existing order. The elitistsemphasise the rule of the few over
many as the only fact of history whereas the pluralists regard the state as a political association
responsible for the establishment of social order in the society. The fascists idealise the state
and believe that through it any glory can be achieved. The syndicalists and the anarchists doubt
the very worth of the state and the latter aspire a free order without political enslavement and
economic exploitation. Evolutionary socialism seeks to introduce socialism through the state,
regarding the state as an agency for bringing about reforms.

4.2.3 What constitutes a State?

The state has included, from the beginning, a reference to a land and a people. Reference of
these, to the terms such as 'country', 'nation', 'society', 'any association', are also very common.
The state, one must be sure, is neither a 'country' nor a 'nation' nor even a 'society'. The
territorial state is a country in the same sense as is the independent country, a state. When we
speak of the country we enter into the domains of soil, seasons, climate, boundaries, in short
geography. So we find the word 'country' in a typically geographical sense. The word 'state'
and the country is essentially a political concept. Every state is a country, but unless a country
is not independent, it is not a state. A people living on a territory with a high degree of unity
among the people or may not be If that body of people is sovereign, it is a state
and if it is under the control of any people, it is not. Unity in the state is sought on grounds of
emotional feelings and their oneness while in the state unity is sought through laws. A nation
is an external and eternal unity; a state is an external union. There may be more than one state
in a nation. Sabine says, .. nation refers to a unity of culture; a feeling of loyalty for a
common land, common language and literature, identity of history and common heroes
and common religion... State, on the other hand, refers to a unity of legal and political
authority. The state is not a society, not even the form of society as Maclver says: it is,
according to him, an association which regulates the outstanding external relationship of men in
society. The state Barker points out, is a political association, possesses the legal right of using
force. So considered, the state would imply: (a) that it is a politico-legal body responsible for the
enforcement and maintenance of law and order (b) that it is supreme over all associations
within and is independent of any control from outside and (c) that it alone has the monopoly of
exercising coercive force.

The state is found in its elaborate system. It is found in those institutions which create laws and
which enforce them, legislative, executive and judicial institutions: the government. It is
found in the bureaucratic institutions which are attached to every executive ministry. It is found
in the institutions which are called into operations when its will is threatened, in military and
police. The state is what the sum-total institutions is. Ralph writes: "These
are the institutions: the government, the administration, the military and the police, the
judicial branch, sub-central government and parliamentary assemblies - which make up
the state. In these institutions lies the state power; through these institutions comes the law
of the state and from them spring the legal right of using the physical force.

That is what the state is today. It is a system rightly called as the political system by the post-
war Americans, David Almond and Powell, and Dahl. It is a system which has in it
formal and informal political institutions; small and large industrial houses; cultural and religious
organisations etc. It is a system of interactions through which, as had said, 'authoritative
allocation of values' is made.

From the hour of its birth, the state has acted as a means, some and frightening others,
remaining always in the hands of those who control it. writes: 'That there is a bias in state
operations will be denied by no one who scrutinizes the historical evidence. The Greek city-state
was biased against the slave. The Roman Empire was biased against the slave and the poor.
States in the medieval world were biased in favour of the owners of landed property. Since the
Revolution, the state has been biased in favour of the instruments of production as
against those who have nothing but their labour power to sell.' To complete argument,
one may add that the socialist state is biased in favour of the workers. The justification of the
state, one should remember, lies in its capacity as an attendant. If the state operates in the
interests of its masters, it is a sufficient testimony that the servant is faithful.

4.3 THEORIES REGARDING THE ORIGIN OF THE STATE

Numerous theories with regard to the origin of the state are offered. These include the divine
origin theory, the force theory, the theories, the social contract theory, the
theory, and the theory. Notable these and ones which are
being discussed are the social contract theory, the theory and the
theory relating to the origin of the

4.3.1 The Social Theory

A clear-cut and elaborate expression of the social contract theory of the origin f the state is
t
associated with Thomas Hobbes and John Locke, both from England of the 17 century and
th
Rousseau, from France of the 18 century. The theory holds that the state is the result of man's
deliberate intentions expressed through a in a pre-civil and pre-
political period, called the state of nature. The theory, therefore, assumes that there existed a
time when there was no and that people lived in the state of nature, meaning thereby a
 situation when people lived without law, without authority and without government. Hobbes,
Locke and Rousseau classified the human society living in two eras: the era of the state of
nature, and the era of political They all say that the contract for having the state
was concluded by the people in the state of nature. It was after the conclusion of the contract
that people left the state of nature and entered into political society. Contract, therefore, is'the
dividing line. What the three philosophers, the contractualists,convey to us is that in the state
of nature, men lived without authority and that in that state of nature, they felt the need of the
state, state's necessity and, therefore, the contract among them and state's appearance after the
contract. It is after the appearance of the state that the distinction between the ruler and the
ruled could be made; and the emphasis on state authority or powers of the state came to be
laid. There is no agreement among the contractualistson various issues. For example, what was
the state of nature, how was the condition of man, why the contract was made, what was the
of contract, what type of state appeared after the contract - are questions on which the
contractualists differed drastically. On what they were to agree is that there was a kind of law
in the state of nature, called the natural law; men did possess natural rights. But with regard
to the outcome of the contract, Hobbes propounded an omnipotent state, absolute
sovereignty; Locke advocated a limited state, political sovereignty; Rousseau
talked about a democratic state based on his theory of general will, popular sovereignly,

The social contract theory has been condemned by critics on grounds of bad history, bad law
and bad philosophy. It was a bad history in so far as there is no proof of the conclusion of
contract ever been made. It was a bad law in so far as the contract once was irrevocable
- permitted entrance and prohibited exit. A one-way traffic sort of contract and therefore,
legally invalid. It was a bad philosophy in so far as political can never be the result
of any one moment as the contractualists make us believe so.

importance of the social contract theory however, cannot be overlooked, at least on two
grounds: (1) it served as the basis for modern democracy by declaring the state as the product
of people's consent (2) it condemned the divine origin theory as obsolete and provided an
alternative theory of the origin of the state.

4.3.2 The Theory

The theory of the origin of the state, also the liberal theory of the origin
of the state, is more or less a correct explanation as to how the state originated. According to
it, the state is a historical growth or the result of gradual evolution. is a continuous development,
always in the process of evolution. Burgers rightly puts the point:"It (the state) is the gradual
realization ... of the universal principles of the human It is futile to seek to
discover just one cause which will explain the origin of all states. The state must have
come into existence owing to a variety of causes, some operating in one place and some
. in other places. Whatever it is, the State is not the deliberate creation of any more
language is a conscious invention. Political conscious must have taken a very long
time to develop and the primitive state must have grown with the of this
consciousness. Garner also argued: "The state is neither the handiwork of God, nor the result
of superior physical force, nor the creation of the compact, or a mere expansion of the families.
It is the of a gradual process of social development out of grossly imperfect beginnings.'
'Like every other social institution', says, 'the state arose from many sources and under
various and it emerged almost
 The factors responsible for the gradual formation of the state include: (i) social instinct, the
instinct which compels man to live in the society, without which he is either a beast or a god,
and the one through which man is able to develop his faculties (ii) kinship or blood relationship.
Maclver said: 'Kinship creates society, and society, in turn, creates state'. It was the most
important bond of union. But it alone was not the factor which led to the formation of the state.
People had developed a common consciousness,common interest and common purpose,
relationship, must have, with great difficulty, given place to social relationship (iii) Religion is said
to be another important factor in the creation of social consciousness. says that kinship
and religion were simply two aspects of the same thing. Common worship was even more
essential than kinship in accustoming early man to and discipline and in developing a
keen sense of social solidarity and cohesion. (iv) Force might not have been the sole factor in I
the making of a state, but it cannot be denied that it must have contributed its worth in making
and expanding the state as one factor. Force translates weakness into subjugation; subjugation
into unity, and unity into strength (v) Economic activities too played an important role in the
formation of the state as another factor. These led to the rules and procedures relating to
production, exchange, distribution and consumption together with the property rights as enacted
through laws at a subsequent stage of development. (vi) Another potent factor in the development
of the state is political consciousness. As a term, political consciousness means many things put
together. Love for the land where people reside; desire to protect the land; need for order and
protection; social relationship; promoting political relationship; feeling that the territory be expanded;
wars and conquests; powers and struggles for power, the triumph of the political idea of power;
and loyalty towards the system. All these grow and evolve with time: the political organisation,
the state's roots gaining strength and the beginnings,shaping and reshaping into the complex and
creating sort of the state.

argument can be put as a conclusion: the state is 'a gradual and natural
It is neither the gift of divine power nor the deliberate work of man. Its I

beginnings are lost in that shadow of past in social institutions

arising, and its development has followed the general laws of growth. '

4.3.3 The Theory I

The best exposition of the of the origin of the state is given by Frederick
in his book Origin of the Family, Private Property and says: 'The State
is, therefore, by no means a power forced in society from without, just as little is it the reality
I
of 'the ethical idea', 'the image and reality' of reason', as maintains. Rather, it is a
product of society at a certain stage of social development: it is the admission that this society
I
has become entangled in an insoluble contradiction with itself, that is into irreconcilable
antagonisms, classes with conflicting economic interests, might not continue themselves and I
society in sterile struggle, a power seemingly standing above society became necessary for the
purpose of moderating the conflict, if keeping it within the bounds of 'older' and this power,
arisen out of society, but placing itself above it and increasingly alienating itself from it, is the
state.'

tells us that the state is not a natural organisation. It has, he says, not existed from all
eternity and there have been societies that did without it. The state became a necessity at a
certain stage of social development that was a consequence of the cleavage of society into two
contending classes. Accordingly, the state is the product of antagonistic classes and it is of the
I

54
 ,
economically dominant class, for its welfare and against the interests of those means
of production. The thesis is that with the emergenceand growth private ownership
of the means of production, antagonistic classes arose, and the state emerged for the possessing
,
class and against the non-possessing class. Engels, therefore, concludes: 'The state is, as a
rule, the state of the most powerful, economically dominant class which, through the
medium of the state, becomes also the politically dominant class and thus acquires new
means of holding down and exploiting the oppressed class. Thus the state of antiquity was
above all, the state of the slave-owners for the purposes of holding down the slaves, as the
feudal state was the organ of the nobility for holding down the peasants, serfs and lordsmen,
and the modem representative state is the instrument of exploitation of wage labour by capital'.

The major aspects of the theory of the origin of the state can be, briefly, summed up
as under:

1) The state appears because the antagonistic classes appear; these classes appear because
the private ownership of means of production appears.

2) The state is the class society and came at a definite stage of social development.

3) The state, as a class institution, is of the economically dominant class, of the slave-owners,
or of the feudal lords and at present is of the capitalists.

4) The state means public power, the legal right to use force.

5) The state power works through its apparatus: bureaucracy, police, courts, jails and the
like.

6) For the public power work effectively and the state obtains the right to tax
people, raise loans, and possess property.

The theory of the origin of the state suffers from over simplification. That the state
should have arisen as a result of class society and class antagonism and that these classes arose
because of the private bwnership. The means of production are not as much an explanation of
the origin of the state as is an effort to project the state as a class institution and, therefore,
a partisan one, exploiting the non-possessing class. That the state has been an oppressive
institution, always so, is too much to believe.

4.4 DOMINANT PERSPECTIVES OF THE STATE

4.4.1 Liberal-Individualistic Perspective

The liberal-individualistic perspective of state is what can be clearly seen in the writings of
political philosopherssuch as Locke, Adam Smith, John Stuart Mill, and down to those
of the beginning of the twentieth century West. According to them, the general features of the
state would include the following:

I) The individual is the focal point of all activities. Being rational, he has to be the end for
which all associations, including the exist. Everything exists for the individual.

I
I 2) Individual, being the judge of what is in his
liberties: nothing is more
sacred.
his
should have all the rights and
his rights are inalienable; his liberties,

3) The state is a means to the end of the individual. Its powers are in proportion to its
functions. As a means of individual's ends, it is limited, and limited in its functions and
'
powers. It possesses powers granted to it by the individuals. The liberal individualistic state
may be evil; it is a necessary evil; it exists to the extent individuals want. Its powers
are not absolute and can never be absolute in the face of individual's autonomy. Through
the passage of time and introduction of democracy, the liberals have expanded functions
(the welfare state) and, therefore, the powers, but they have not voted for a Hobbesian
Leviathan.

4) The state, in the liberal-individualistic perspective, is moved from its negative character to
positive and from its positive institution to the welfare one, it is a reform-oriented institution.
The liberals are not traditionalists to the point of conservatives, but they are also not radical
to find the state afresh. They do realise the need of reforms to be made effective as and
when required, they, in this sense, favour changes, incremental changes as suit the changing
times.
I

5) The liberal-individualists were liberals They were liberals against the traditionalists
and conservatives. Accordingly they welcomed the democratic principles as and when they
made their entries. It is, in this sense that they advocated a state based on the consent of
the people. There may not be much truth in the Lockean Social Contract theory, but his
insistence on the contract being concluded by the society and the state (arising out of the
society) clearly indicates that Locke, and him all the liberals, thought of the state as
the product of man's consent. Therefore, the liberal-democratic state is a consent state.

6) The liberal-individualistic perspective of state, in economic terms, being limited in its powers,
was a state of the capitalistspromoting trade and commerce, advocating free trade, removing
tariff walls and encouraging competition. Liberalism is, as once said, the political
philosophy of the capitalists.

The liberal' individualistic perspective of the state overestimates the individual and
conversely underestimates the potentials of the state. its zeal to protect and promote
individual in his rights, liberties and autonomy, it seeks to build a capitalistic system where
the state is reduced to the position of an instrument serving the exploitative tendencies.

4.4.2 Contemporary Libertarian Perspective

The contemporary libertarian perspective of the state belongs to the period since the
second world war and ranges from classical to pluralism to neo-pluralism on the one hand,
and the new right liberalism to new-left liberalism on the other - all, in the broader framework
of liberalism. The state's contemporary libertarian perspective can be summed up, briefly, as
under.

56
features: J
.
The Classical pluralist perspective (Truman, Dahl) of the state-has the following

The state is a place of group conflict and, therefore, is highly responsive to group pressures

Groups, with varying resources, exist in their relations of continual conflicts.

Power is an observable and dispersed phenomenon.

Groups are the bases of government, especially the potential groups and

v) Society is not only distinct from state, but also largely non-potential.

The reformed pluralist perspective (Richardson and Jordan) of the state has the
major features:

The state is fragmentedand is responsive to groups but the access to the state (or government?
is

All the groups are not equal; only groups participate in policy-making.

iii) Power is both observable and dispersed and

iv) Society and state get integrated into each other through potential groups.

The Pluralist elitist perspective Lowi) of the state has the following
features:

The state is fragmented with highly resource potential groups, having a degree of access
to the state. Hence, claiming a corresponding degree of state autonomy.

The potential elite group have easy access to the governmental positions, but different
groups dominate in different areas.

Power is both observable as well as a tendency towards the concentration

iv) The civil society is distinct from the state but has a limited influence in it.

The neo-pluralist perspective (Lindblom) of the state has the following major features:

The state is biased towards the business interests in economic policy

ii) The business interests have a crucial role in policy-making, reducing, thus, the importance
of group behaviour.

iv) There is no control over power which is concentrated in primary issues and

v) The society is distinct from state but has a limited influence in it.
 The new right libertarian (Hayek, Nozick and Rawls) has the following major features:

Political life, like the economic life, is ought to be a matter of individual freedom and
initiative.

iii There is a market society with a minimal state.

...
The political programmeof the new right libertarianism,according to David Held, includes:
(i) the extension of the market to more and more areas of life (ii) the creation of a state
excessive involvement in economy; (iii) the curtailment of the power of certain groups and I
(iv) the erection of a strong government to enforce law and order.

The New left libertarian perspective (Pateman, Macpherson and Poulantzas) of the state
has the following major features:
I
All the key institutions of society, including the state, should be built on direct participation
of the citizens.

ii) The leaders of the political parties be made accountable to their respective members.
iii) The open system be maintained to ensure the possibility of making experiments
in the system itself.

iv) poor be taken care of; open information system to be ensured.

The communitarian (Sandal, Walzar, Taylor) perspective of the state the following major .
. features:

i) The community is the source of all values. The of the community depends on
the values it cherishes.

Citizens, as members of the community, can obtain the higher levels of citizenship only in
the state.

I iii) Politics is an on-going affair, a sort of business as usual, never ending, and is and around
US.

iv) Politics is both a source of conflict and a mode of activity.

4.4.3 Social-Democratic Perspective

social-democratic perspective of state stands opposite to the Marxian-socialist perspective

in ways. Its various shades include evolutionary Socialism, Fabianism, Guild Socialism,
Parliamentary Socialism and a type of socialism as has been propounded by Harold

We may summarise the general features, at least ones, of the evolutionary-socialist

perspective, briefly as under:

1) Complete abandonment of the idea of revolutionary methods-as a means of power, and

complete acceptance of parliamentary means.

58
2) The transformations of the socialist parties who speak only for the interests of the working
class to people's parties which seek to establish general welfare.

3) The recognition that the definition of socialism as a social and economic ideal is inseparable
from the idea of democracy; socialism has to be attained through democratic means and
democratic polity has to bring about through state legislation.

4) Respect for human freedom and human personality.

as a social democrat, has his own perspective state whose major features can be
stated as under:

The state, as any association, is like other associations and as such has no special
power to control them. It can, at best, coordinate their work, but it has no right to interface
in their internal functioning.

2) As a coordinator, the state gives leadership to other associations. Its role does not go against
any other association. Like any other association, the state can also serve the people and
can an agency for seeking the welfare of the people.

the constituted state.

4) conception of democratic socialism is where there is harmonisation of social

control of economic processes with the liberty of the individual.

5) his type of socialism, the state exists to fulfill the promise of socialism through a structure
democratically established.

6) state is an instrument that exists for the individual. He is of the view that the state,
however, important it may be, tends to exist for the protection of peoples' rights and for the
promotion of a conducive atmosphere where the people can unfold their inner capacities to
reach their possible heights.

4.4.4 Perspective

The perspective of the state has the following major features:

2) The state is not independent of society. Those who make it, as really did, they create
the myth of the state and make the state an illusion.
3) The state is a means for the fulfillment of the ends those who control the society. The
slave-owning state serves the masters; the feudal state serves the feudal lords; the capitalist
state serves the capitalists, and in the dictatorship of the proletariat, the proletarian state
. .
serves the workers.

4) The state, being the product of class society and therefore, of the economically dominant
class, is a partisan and a class institution. Being a partisan institution, it serves as an
instrument of exploitation, exploits the economically weaker classes.

5) The state, being an engine of class-rule, would, in the transitional period of socialism,
establish socialism and'would abolish the roots of class antagonism, private property
system as a means of production.

6) The dictatorship of proletariat is abolition of the opposing antagonistic classes; it is not the
abolition of the state. The era of socialism is the era of the proletarian state which would
be a bourgeois state, but without the bourgeoisie. The proletarian state is a means for
establishing socialism and a means, which would end up in its own abolition, the withering
away of the state.

7) Regarding the state as a 'parasite feeding upon and clogging the free movement of society,
the state's destiny, as Marx says, is its own abolition: "The first step is the overthrow of
the existing state, the bourgeois State, by revolution of the proletarian class. next task,
is the establishment of a transitional state, the proletarian dictatorship. This new state,
however, is to be abolished not by the revolution, by force, but through its own withering
away.

4.4.5 The Gandhian Perspective

The Gandhian (after the name of M.K. Gandhi: 1869-1948, the Father of Nation) perspective
of state provides a unique blend of what it is and what it should be. Gandhiji the
state as he found it in the West and favoured a polity popularly called Ramrajya, the state he
had wanted it to be.

Like all anarchists, Gandhiji nurtured distrust for all types of power, including the political power.
Power, Gandhiji held, is by its very nature coercive and compulsive: it imposes, obstructs and
spies; its existence means the absence of free will, of inner self and all that is eternal in the
individual. In Gandhiji's own words: 'The state represents violence in and organised
form. The individual has a soul but the state is a soulless machine; it can never wean from
violence to which it owes its very existence.

But Gandhiji was not at all an anarchist. He was anarchist to the extent that he declared the
state as an embodiment of force. He is, in a way, very close to the classical individualists or
the New Right libertarians of our times. He advocated not a monolithic state, but a state with
minimum functions, minimal state. He is of the opinion that until the society becomes
self-regulative and self-evolving and until the individual becomes perfect, the state would, so
long, be necessary, He fully subscribes to what Theorem had advocated: that government is the
best which governs the least.

To some extent, Gandhiji was nearer Marx in so far as he propounded a type of society which
instrument of oppression and exploitation; all all evils in private property;
like all Marxists, he condemned the partisan state. But, at the time, Gandhiji visualised in
his Ramrajya a society without coercion and without force.

By conviction, Gandhiji was a spiritualistand to that extent, there is much what is non-materialist
in Gandhiji. According to him, real swarajya is not merely the attainment
but much more than that. According to him, swarajya begins from the individual; is the
rule of the it is a matter of and The real power lies
the individual; more the power advances up, more does it become 'decentralised. In
Ramrajya, the whole system, individual to the central polity, works itself, without
any imposition and without any compulsion. His Ramrajya is a state without coercion, and to
that extent stateless; it is a state without the use of violence, and to that extent, free and
emancipative.

4.5 SUMMARY

The concept of state is the very essence of Political Science. No wonder if some scholars
regarded the State and Political Science as synonyms. As an institution, it is as old as we can
go into the history. If the state, in ancient Greek, was less than the and in ancient times,
than the mere government,'it went into oblivion in Middle Ages and took a back seat then.
With modem age, as in the West, it attained a re-birth and kept evolving to its natural heights.
Vincent rightly observes: "Statehood not only represents a set of institution but also a body of
attitudes, practices and codes of behaviours, in short, civility which we associate correctly with
civilization".

The theories regard to the origin of the state speak both about the origin and nature of the
state with varying degrees. And in the process, highlight the views the political philosophers held.
The evolutionary theory and the class-origin theory give an insight of the liberal and the
views. Likewise the dominant perspectives of the state throw light as to how the concepts
the state have developed and how it is seen by the scholars.

4.6 EXERCISES
1) 'The social contract theory of the origin of the state is a bad history, a bad law and a bad
philosophy'. Comment.

2) Explain and discuss the theory of the origin state.

3) Explain and discuss the Theory of the Origin of the State.

4) What are the perspectives of the State? Explain any one such perspective.

5) Describe the Gandhian perspective of the modern State.

I
,

UNIT 6 SOCIETY AND THE STATE

Structure
6.1 Introduction
6.2 Meaning and Nature of Civil Society
6.3 Democracy and Civil Society
6.4 Characteristic Civil Society
6.5 Civil Society and the State
6.5.1 State- Civil Society Relationship: An Evolutionary
6.6 Major Contributors
Contractarians
6.6.2 Classical Political Economists
6.6.3 The Civil Society and the State
6.6.4 on Civil Society
6.6.5 Gramsci on Civil Society
6.7 Contemporary Relevance of Civil Society Discourse
6.8 Summary
6.9 Exercises

6.1 INTRODUCTION .

Democracy in its liberal pluralist form presupposes a model of society. The question, however,
is which type of civil society is most appropriate to a modem democratic political system? For .
the conceptualisationof civil society, one has to go back to the long tradition of Western political
thinking centred on State - relationship. Understanding the nature of state itself begs an
understandingof its social basis. The democratic form which rests on the ideals of participation,
accountabilityand rights- bearing citizens is anchored in a notion of civil society as the foundation
stone of democratic practice. What, then, is the meaning of civil society and how does one
define its nature and function vis-a-vis the state? How did the idea of civil society originate in
political thinking and how has it evolved in the course of evolution of political practice and the
operations of actual state systems in different conditions. Since the idea of democracy, in the
sense of participative politics, accountable government and rights-respecting state, has been
expanding overtime and gaining acceptance as axiomatic in contemporary political discourse, it
is civil society in all its nuances that has attracted considerable theoretical and practical attention.
The discussions in this unit are, therefore. intended to go back to the basics of state theory and
the historical evolution of democratic political theory maturing through a subtle interactive
relationship between state and civil society. Seen from this perspective, it seeks to clarify the
basic building blocks of political theory. We will come to realise, at the end of this unit, that
"there can be no of the state without a theory of civil society." Let us now try to
understand what is meant by civil society.

76
6.2 AND OF SOCIETY
Civil society is not easy to as it has been an evolving concept in history. As a starting
point, we say that civil society is a form of societal self - organisation that allows for
with the state and at the same time enables the flourishing of individuation. As
defined by Cohen and Arato (1 997):

"We understand 'civil society' as a sphere of social interaction between economy and state
above all of the intimate sphere (especially the family), the sphere of associations
(especially voluntary associations), social movements and fonns of public communication. Modem
civil society is created through forms of self-constitution and self-mobilisation. It
institutionalised and generalised through especially subjective rights, that stabilise
differentiation".

To put it simply, civil society is a domain parallel to but separate from the state. It is a realm
where citizens associate according to their own interests and wishes. It is "the realm of
social life that is voluntary, self-generating, largely self-supporting, and bound by a legal order
or set of shared values." Outside of their households, the members of society form a large
variety of intermediary organisations for the purpose of safeguarding and promoting their
interests.

There is no unanimity on the question types of social organisations should fall within
the scope of civil society. Yet, conventionally organisations that are considered to be parts of
civil society include churches, neighbourhood associations, private charities, grass-root groups
and local clubs - all those social organisations that are open, voluntary, self-generating,
autonomous from the State, and yet bound by a legal order. Civil society does include independent
mass media and the broader field of autonomous cultural and intellectual activity. The Universities,
theatres, film societies, publishing houses and the social think tanks are important components
of civil society. In fine, it is an intermediary phenomenon standing between the private
and the State.

Civil to be the broader concept of. in

as it involves behaving and acting collectively in a public sphere, to express their interests,
ideas and to achieve collective goals and make demands on the Thus
all of social life is not subsumed in civil society.

Parochial society represented by individual and family life and inward-looking group activity such
as religious worship, spirituality etc. does not fall within civil society. Similarly,economic society
in the form of profit making enterprise of individual business is outside the scope of civil
society.

Also, civil society needs to be distinguished from political society represented, in a democracy,
by political parties and-campaign groups and that primarily aspire for winning
control of the state.

6.3 DEMOCRACY AND SOCIETY

Democracy society are twins': they integrally each other. A healthy liberal
democracy needs the support of a public "that is organised for democracy, socialised to its norms
and values, and committed not just to its myriad narrow interests but to larger, common civic
end". To quote Larry Diamond,"such a civil public is only possible with a vibrant 'civil society'."
(1999).

One has to trace back in this context to Alexis de Tocqueville whose classic writings on
American politics laid the foundation of democracy-civil society nexus thesis. Tocqueville thought,
America's democracy was sustained by the richness and diversity of its voluntary associations.
In his view, associations assisted in the development of democratid values such as
trust, tolerance and compromise. New generations of prominent among
whom is Robert Putnam, have, since the revived the concept of civil society as the
of democracy. Putnam's work on the political development of the Italian regions-the
prosperous North vis-a-vis the impoverished South - sought to explain superior institutional
performance in the former in terms of flourishing 'social capital' which stands for "features of
social organisation such as trust, norms and networks". The propensity of individuals to join
private, voluntary associations, according to Putnam, contributes to the effectiveness of democracy
because of its 'internal' and 'external' consequences. Internally, associations "install habits of
cooperation, solidarity, and public spiritedness". Externally, a dense network of secondary
associations "contributes to effective social collaboration". The Putnam thesis is simply this:
where there is no social capital, could not flourish (1993).

For the most comprehensive theoretical assessment of the virtues of civil society in the context
of democratic transition and consolidation, one has to refer to Larry Diamond's recent work on
Democracy (1999). Civil society, in Diamond view, serves the "development,
deepening consolidation As Diamond explains the process, civil society
provides the basis for the limitation of state power, supplements the role of parties in stimulating
political participation, increases the political and skill of democratic citizens, educates
the masses in democracy, structures multiple channels, beyond the political party, for articulating
, aggregating, and representing interests, empowers the powerless to advance their interests,
generates a wide range of cross - cutting interests, mitigates thereby the polarities of political
conflict, recruits and trains new political leaders, develops techniques for conflict mediation and
resolution, gives citizens respect for the state and positive engagement with it, and facilitatesthe
spread of ideas essential for economic reform .

Diamond has. however, laid down certain conditions that be fulfilled for civil society to
perform the democracy functions. a stable democracy has a good prospect if civil
society does not contain interest groups or groups with anti-
democratic goals and methods". Second, another of a strong civil society is what
Diamond has called the "level of As he argues, "where
interests are organised in a structured, stable manner, bargaining and the growth of cooperative
networks are facilitated". Third, the other important requirement is the "internally democratic
character"of organisations as defined by "decision-making, leadership selection, accountability
and transparency".

6.4 CHARACTERISTIC FEATURES OF SOCIETY

Following Diamond's presentation, five distinct features of civil society can be identified as
under:

i) Civil society is concerned with public rather than private ends.

78
ii) Civil society and state are related to each other in such a way that it does not seek to win
control over state. To reform the structure of power rather than to take power themselves
as organisations is the goal of civil society.

iii) Civil society encompasses pluralism and diversity. Any organisation that seeks to monopolise
power occupy the political space as a disallowing all competitors, violates
the pluralistic and market oriented nature of civil society.

Civil society does not seek to represent the complete set of interests of a person or a
community. This characteristic follows from what has been stated above. Profusion of
different organisations and individuals having multiple organisational ties are clear of
healthy civil society functioning.

v) Civil society, as Diamond points out, should be distinguished the more clearly democracy
enhancing phenomenon of civic community. Putnam's model of civil community along with
the idea of social capital is both a broader and narrower concept than civil society: "broader,
in it encompasses all manner of associations; narrower in that it includes only associations
structured horisontally around ties that are more or less mutual, cooperative, symmetrical,
and trusting". Putnam, like Tocqueville, has sensitised us to the importance of associational
life in general; but civil society is a much more refined concept that distinguishes it from
the much wider and more general arena of associational life. It needs to be emphasised,
in this context, that "the key to constructing a civic community is not whether an organisation
has an explicitly civic (public) or political purpose."

6.5 SOCIETY AND THE STATE

Two antithetical trends in political theory have tended to obfuscate the relationship between state
and civil society. One recurring trend has been to place the state at the centre of things. This
state - centric view, since the days of classical political theorising, has accorded unusual
preeminence to state as a special kind of institutional arrangement that makes possible the
realisation of good life and development of capacities of individuals in society. The second trend,
by contrast, seeks to relegate the state in the background and bring in the reign of unregulated
market for the promotion of individual enterprise, unfettered competition and preeminence of
private property. The neo-liberal project of 'rolling back the state' and allowing market supremacy
has meant privileging the civil society the opposite of state-centric view.

State as regulator of society seeks to fix the boundaries of political practice. Civil society,
in turn, stands out as the sphere inhabited by the rights-bearing and juridically defined individuals
called citizens. Political holding the state accountable for its action and open
publicity of politics are the hallmarks of civi society. To quote Chandhoke, the essential staff
of politics is dialogues and contestations with the state. Hence, "civil society the site
for the production of a critical rational discourse which possesses the potential to interrogate the
state." Simply put, "the site at which society enters into a relationship with the state can
be dejined as civil society." Characterised by open and publicity, freedom of
expressions and the right to form associations, civil society occupies a pride of place in democratic
theory. The nature of'the state, whether democratic or can be only
by referring to the politics of Again, civil society's influencing function (as
distinguished function) depends on its democratic character. Democratic theory has
acknowledged the pre-eminenceof civil as an essential precondition for the existence
of democracy. Following admirable it can now be summed
up that the nature of the state can be understood by referring to the politics of civil society. The
two are bound up by a bond of reciprocity:"there can be no theory of the state without a theory
of civil society, and, correspondingly,there can be no theory of civil society without a theory of
the state."

6.5.1 State-civil society An Evolutionary perspective

The history of political thought is in reality the history of state-civil society relationship, as
explicated by eminent political philosophers. Before we take up the contributions of seminal
thinkers, a brief overview of the progress of thought is presented here for general understanding.
The term 'civil society can be traced to ancient Greek political thought and to the works of
Cicero and other Romans. But, in classical usage civil society was equated with state. In
its form, civil society emerged in the Scottish and continental Enlightenment of the
Century. Fmm Thomas Paine to a number of political theorists conceptualised civil
society as a domain parallel to but separate from the state. In their view, this is a realm where
citizens associate according to their own interests and wishes. This new thinking was the
reflection of new economic realities characterised by the rise of private property, market
competition and the bourgeoisie. There was also a growing popular demand for liberty as
manifested in the American and French revolutions.

For a time, the idea of civil society suffered an eclipse in the mid-nineteenth century, as social
and political consequences of the industrial revolution attracted most attention. After the Second
World War, the idea of civil society was revived by Antonio who depicted civil society
as a special nucleus of independent political activity, a sphere of struggle against tyranny.
Communist states in the erstwhile Soviet Russia and Eastern Europe overextended control over
nearly all spheres of social life. The collapse of the communist states led to the questioning of
the spheres of state control. the Czech, Hungarian and Polish activists raised the slogan
of civil society that they thought the state tended to engulf; hence, the demand was to encourage
the flourishing of the institutionsof civil society church) outside the legal institution of the
state.

The the Soviet system and the Bloc released unprecedented movements for
and towards democracy throughout the globe. Civil society conceived in terms of 'associative
initiatives of non-state emerged as a desirable social space both in the
communist ruling situations and in the developed West where "capitalist had steadily
become unacceptable. Public fatigue with conventional party systems encouraged interest in civil
society, and the new social movements feminist, ecological movements) opened up
opportunitiesfor civil society initiatives independent of the state.

6.6 MAJOR CONTRIBUTORS

We can now identify the major contributors whose thoughts have enriched civil society
conceptualisation and clarified state-civil society relational issues.

80
 6.6.1 Contractarians
To the Greeks, political society was natural to man; hence the idea of a private non-state sphere
where the individual could have an independent existence was alien to Greek political culture.
Roman law provided for private property acquisition by the individual. Thus, individual's separate
existence outside the political community was recognized in Roman law.

In its modern form, the beginning of civil society concept can be traced to the period between
seventeenth and nineteenth centuries. Hobbes and Locke -the two major exponents of social
contract theory - can be regarded as pioneers in the matter of formulation of the civil society
concept. For instance, Locke wrote about the 'political or civil society' in opposition to the 'state
of nature'. Both Hobbes and Locke set the civil society as a conceptual opposite of the state
of nature. Civil society is an artificial creation, whereas state of nature is the pre-civil society
natural existential situation of man. The contract-based civil and political society created conditions
of civility. By contrast, the uncontrolled state of nature was not conducive to orderly life and
security of life and property. Civility is the creation of a specially formed political authority. The
constitutional state in conception was brought into being by rights-bearingindividuals.
These rights put a limit on the power of the sovereign. Hobbes had also set limits on the state
as the latter had to respect the individual's right to self-preservation. Neera Chandhoke is
however, right in pointing out that the are not strictly speaking the theorists of civil
society: '"the major themes that came to characterise later liberal formulations on civil society
are in an embryonic form in these theories."

6.6.2 Classical Political Economists

The eighteenth century classical political economists were influenced by the Enlightenment
philosophy which replaced god by reason, and the priest and the representative philosophersby
the scientist. Civil society, according to them, was not an artificial creation, but a product of
evolution. Society progresses according to its and principles. Adam traced the
evolution of civil society from crude forms of human interaction to a higher stage of growth
by division of labour, higher moral and cultural accomplishment, and the subjection
of government to the rule of law. The progressive societal evolution led to the emergence of
commercial society and growth of public spiritualness. Here the material conditions and the
economy, in particular, received primacy in determining the nature of society. Men were depicted
as rational agents capable of cultivating interdependence among themselves through a complex
division of labour. The self-regulatingproperties of civil society led to the under- valuation of the
value of politics and the state.

The concept of self-regulating economy and society found eloquent expression in the writings
of Adam Smith. State interference, in his view, was an impediment to the creativity of economic
actors in society. The state's role was to protect life, liberty and property of the citizen from
internal chaos and external aggression. Defining the conditions of good life, or representing
collective will was none of state's business.

, The classical political economists gave primacy to individualism, property and the market,
at the basic level they placed the individual at the centre of things. Thus, the liberal
agenda was set by the classical political economists, and what emerged was '"the concept of'
civil society as a historically evolved area of individual rights and freedoms, where individuals
in competition with each other pursued their respective private concerns." (Chandhoke, 1995)

The concept of a limited state was well established by the early liberal theorists. Later J.S. Mill
and Tocqueville, in particular, felt concerned about the state's political power to threaten human
freedom. Tocqueville, for instance, saw the danger of social institutions being throttled by
political institutions. While there was appreciation need for the state to maintain law and
order, at the same time there was the realisation that the state should never have unlimited
power. Tocqueville, as earlier mentioned, found in the plural social associations the capacity to
check state power. Based on the principle of choice, the associations reconciled the interest
of individualswith the need for collective action. It is through civil associations that civil democratic
virtues germinate and give shape to the civil society. Gke Tocqueville, Mill held the view that
participation of the private citizens in public creates public sprit. "Where this school of
public spirit does not exist, scarcely any sense is entertained that private persons, in no eminent
social situation, owe any duties society, except to obey the laws and submit to government."

The Liberal thought had a lasting effect on the question of state - society relationship.
Contemporary ideas on civil society owe a lot to this kind of liberal conceptualisation that
counter- posed civil society as setting limits on state power. .

6.6.3 The Civil Society and the State

As we have discussed earlier, the classical political economists were the first to separate civil
society from the state. But, it is to that we owe the first sophisticated analysis of
civil society distinction. Civil society and modernity had been twins in vision. The
individual finds in the civil society his subjective freedom, his legitimate pursuit of self-interest
so necessary for the realisation of his potentialities. The modern society replaced the ascriptive
privileges of the earlier age by the discourse of rights-bearing individual. To follow Neera
Chandhoke's lucid analysis,

followed in the footsteps of the classical economists, but his analysis differed
from the earlier theorists in three vital ways.

One:

Civil society was rescued by from its excessive with the economy. No
doubt civil society consists of a set of social practices that are constituted by the logic of
capitalist economy; yet, they have an existence of their own distinct from the economy.
Located between the family and the state, civil society, according to is historically
"an important moment in the transition from the family as a mode of social organisation to
the state as the supreme and the final form of such organisation". Family represents a
natural and unreflectiveunity characterised by love and concern. Civil society is the sphere
of self-seeking individuals; at the same time, the principle of universality, which the state
embodies, can be found in an embryonic form in the civil society. Thus, in
conceptualisation,civil society is not negatively viewed as an area of freedom and rights to
be alone by the state. Instead civil society is "The active moment where the dialectic
between particularity and universality is resolved."
 As against the Adam Smithian optimism that individualistic, self-interested behaviour would
be the basis of progressive society, was sceptical about such behaviour. Civil society
is that social sphere where individual private interest meets everyone else's".
He thought that would lead to self-centredness and destroy ethical life.
Modem society, in view, has lost its capacity to realise ethical life, and modernity
has ushered in an alienated world where the division of labour creates an
exchange-oriented means of social interaction. As Chandhoke puts it, philosophical
project has been to "provide a home to this rootless individual, disinherited from the traditional
support structures of community life".

Three:

At the base of idea of freedom is the notion of actualisation of the self in a rational
social order. Individualsdo not attain freedom automatically and voluntarily; they have to be
educated and socialised."The right of individuals to be subjectively destined to freedom is
fulfilled when they belong to an actual ethical order. The implication, thus, is that civil society
needs to be organised. Particularity, it is the hallmark of modernity; this has to be mediated
by universality. As Chandhoke explains: "Civil society is the space where locates his
historical project of reconciling the particular and the universal in an ethical community".

Through the mediation of a range of intermediary institutions, sought to assure the

presence of associational spirit. "These intermediaries are the lesser form of the State and civil
society is one of the stages in state formation."The Hegelian state symbolises the realisation
of the peak of ethicality, unblemished by any sign of particularity. The social institutions at the
intermediate stage would particularity and institutionalise universality. "This privileging of
universality leads, in the Hegelian philosophy, to the vertical organisation of civil society culminating
in the state as the ultimate expression of

6.6.4 Marx on civil society

Marx had much in common with the Hegelian conceptualisation of civil society as civility and
egoistic individuality born out of modernity. But, deification of the state was rejected by
Marx. While admitting that the essence of the state lies in the formulation of universalistic
principles transcending the particularistic interests of individuals in civil society, Marx set
aside the Hegelian idea of subordinating the civil society to the state. The civil sphere,
according to Marx, is characterised by selfishness, egoism and avarice. It has not been transformed
by the bourgeois revolution. The state cannot be different from what happens in the civil sphere,
as it is the product of the same historical process that brings into being the civil society. The
unlimited bourgeois power leads to oppression and exploitation that mark the civil sphere.
this background, the state as a class-tainted institution cannot have neutrality and
universalistic principles. The state, in view, does not transcend civil society by reconciling
the contradiction in the civil sphere, rather it merely suspends them. I

As Chandhoke explains the Marxist position, civil society is the stage "where the dialectic
between the social and the political, between domination and resistance, between oppression and
emancipation is played out." Marx thus defetishises civil society which and the liberals
had extolled as the home of freedom and rights. By contrast, Marx exposes the real nature of

I 83
civil society where "the powerlessness of the individual in production relations is rendered
opaque by the empty political rhetoric of equality and freedom." Civil society has to look for its
redemption not outside (in the state) but inside or within itself through deep-rooted democratic
transformation which has necessarily to be revolutionary in character. Civil society in
version cannot be rescued by imposed system of mediations.

6.6.5 Gramsci on civil society

Antonio Gramsci, the ltalian communist leader and social scientist, is credited with the modern
renewal of the left radical critique of civil society. Gramsci was a follower of Marx; yet, he
enunciated his own concept of civil society derived more from his reading of The state,
according to Gramsci, can be understood only by referring to the nature of civil society.
makes a distinction between political society and civil society. The former is the site where the
coercive apparatus of the state (police, prison, armed forces) is concentrated; while the latter
is "the location where the state operates to enforce invisible, intangible and subtle forms of
power, through educational, cultural and religious systems and other institutions. The political
society disciplines the body through its penal codes and prisons, but civil society disciplines the
mind and the psyche through these institutions".

The State in Gramsci's view stands for all those activities with which a ruling class maintains
its dominance. It reproduces itself in the daily living practices that go on in the civil society, and
thus in a subtle way constructs both individual and collective consciousness. Hegemony, a key
concept in Gramscian formulation, has been conceptualised as the production of consent through
the use of and mythologies, institutions and practices. Hegemony is an organising
principle that provides unity to the plural and conflict-ridden civil sphere. To quote Neera
Chandhoke,"Hegemony as the moral and intellectual leadership of the dominant classes provides
the ethical moment of political life, since it provides a social base of consent for the state.... civil
society is the ethical moment where a fragmented society is held together by the moral vision
and foresight of the leading class".

Gramsci avoids economic and political reductionism (of classical Marxism) by differentiating the
associational and cultural dimensions of civil society from the economy and the State. The
and cultural institutions of civil society in the developed capitalist countries are
conceived by Gramsci as "trenches" of the established system that add to the stability of
bourgeois administration. This version of civil society, therefore, must be destroyed and replaced
by alternative forms of association clubs, new proletarian party), intellectual and
cultural life and values that would help create a proletarian counter hegemony replacing the
existing bourgeois forms.

Harmonic can thus be the property of the subaltern classes also through altered in the
civil sphere. In Gramsci's vision, civil society must be metamorphosed through a wide
social, political and cultural revolution. As Chandhoke explains, civil society acquires in Gramsci's
theory, "an active and dynamic dimension; it is the site at which the fundamental classes
articulate class positions along with other social groups expressing their particular interests.
Whereas civil society is the site where the legitimacy state is forged, it is also the terrain
of contestation. It is precisely here that the subaltern classes can challenge the power of the
state".

84
After studying the formulation of and Gramsci, it should be clear that these radical
political philosophers conceptualised civil society in a novel way; they provided an alternative to
the liberal version of civil society. Each one of them had his distinctiveness in terms of conceptual
vocabulary, state - society relational vision, and model, yet collectively they
posed forceful challenge to liberal political theory. To conclude with Neera Chandhoke, "They
refused to accept the liberal representation that civil society is the sphere of rights, individualism,
property and the market. These are but the surface aspects of the sphere. Probing beneath the
surface, civil society-appears as the essence of modern inhumanity. If it has to achieve its
potential, and discharge its historic mission, it has to be organised and transformed".

6.7 CONTEMPORARY RELEVANCE OF SOCIETY

In recent times, civil society has reemerged in political theory with new vigour and insights.
Sudipta Kaviraj and Sunil Khilnani, in their new book on Civil Society identify three strands in
the contemporary discussion on the subject: ,

One: The erstwhile communist systems in the former USSR and Eastern Europe overextended
the legal jurisdiction and effective control of state institutions, such as the bureaucracy, over
nearly all spheres of social life. After the collapse of those kinds of states, there was a need
it was argued, for encouraging the flourishing of institutions of 'civil society' outside the legal
jurisdiction of the state".

least two trends of leftist political thought have also been keen to revive the idea
of civil society. The disillusionment with the idea of socialism and the Soviet experiment has
led to a certain radicalisation of the idea of democracy by re-invoking civil society discourse.
Also, the retreat welfare state through the years of new-conservative reaction during
the Thatcher-Reagan regimes led to the invocation of the British pluralist tradition. The call
was to revive the "associative initiatives of non-state organisations in civil society "to counter
the phenomenon of capitalist atomisation".

Three: Current thinking in the West about new social movements (feminism
etc.) has also finks with the civil society discourse. To Kaviraj and Khilnani, "There
is a strong affinity between the associational argument and the idea that the new social
movements, which are quite distinct from classical working class movements in interest
and form, are the carriers of radical democratic aspirations"

In the 'Third World' countries, civil society is currently being invoked by international donor .
agencies like the World Bank to bring in non-state sectors and Community organisations)
in the field of development administration. Also, in countries like civil society is being
invoked to widen and deepen democracy out of a sense of despair about the role and capacity
of conventional party politics to push through social change.

6.8 SUMMARY
From the unit that you have just read, you would have understood the meaning and
civil society, and its significancefor democratic theory. State-society relationship is the core of
political theory. This should also be clear from what you have read in this lesson. Civil society
discourse has a long history. This lesson has given you a clear idea about how the idea of civil
society has evolved since the days of contract theory. You must have understood from a reading
of this unit, the contribution of most important philosophers, particularly and .
Also, it should be clear to you as to why the idea of civil society has in recent times, been
revived.

6.9 EXERCISES
Discuss the meaning and nature of Civil Society.

2) Discuss the importance of Civil Society in the democratic theory.

. .

3) Critically examine the relationship between civil society and the state.

4) Writeshort notes on:

a) views on civil society

 UNIT 7 GLOBALISATION STATE
Structure
7.1 Introduction
7.2 What is
7.3 Approachesto Globalisation
7.4 Impact on State Sovereignty
7.4.1 Challenges from the New World Economy
Challenges from new International Organisations
7.4.3 Challenges from International Law

7.5.1 Decision-Making
7.5.2 Resurgence

7.1 INTRODUCTION'

Globalisation is a concept for which no standard definition can be given. This is because it stands
for a tremendous diversity of issues and problems and has been interpreted from a variety of
theoretical and political positions. Yet scholars are agreed that it is a process that is supplanting
the primacy of the state by transnational corporations and eroding local cultures and
traditionsthrough a global culture and strengthening the dominance of a world capitalist economic
system. Hence, its importance lies in the change it has introduced in our traditional understanding
of the State. The questions central to our study are, associated with the demise,
, the state power? Does contemporary globalisation impose
new limits to politics within nation-states?

7.2 WHAT IS GLOBALISATION?

Globalisation can be described as the widening, deepening and speeding up of worldwide

interconnectedness in all aspects of contemporary social and political life. The sociologist
Giddens defines it as a "decoupling of space and time, emphasising this with instantaneous
communication, knowledge and culture, which can be shared around the world simultaneously".
There is considerabledifference of opinion among scholars about its impact, yet there does exist

due to war, trade etc. internal politics has been affected by events and developments
and interdependence of states has been stressed This is reflected in the writings of Groitus
and Kant who argued that states existed within a 'society of states' and 'international law' and
focussed upon cooperation and co-existence of states. what we are
is a qualitatively new phenomenon: vast networks of global interaction and financial
flows over which individual states have very-limited control, tremendous growth in communication,

87
 emergence of international organisations and regimes, transgovernmental action, global military
order and a re-ordering of the very idea of distance due to the internet.

Globalisation is the end product of a historical of capitalist expansion that originated in

Europe and has covered the world. While there is no agreed starting point, certain historical
epochs over which it has developed can be identified. The first great expansion of European
capitalism took place in the century following the first circumnavigation of the earth in 1519
and 1521. But the first major expansion of world trade and investment took place in the late
century following the Industrial Revolution in Europe, which made these countries producers of
manufactured goods. It was also the golden period of colonialism when the Great Powers of
the West were able to divide the world between them and exploit its resources. This was
brought to a halt with the First World War and the bout of anti-free trade protectionism due to
the Great Depression of the 1930s. The end of the Second World War brought another great
expansion of capitalism with the rise of Multi-national companies which internationalised
production and trade. In the economic field, the new Bretton Woods system helped in the rise
of international financial markets. In political terms, decolonisation created a New World Order
with the emergence of a number of new states. third and more contemporary phase of the
triumph of global forces dates from the fall of the Berlin Wall and the collapse of the Soviet
Union, which ended the Cold War between the forces of capitalism and socialism, leaving the
former triumphant. With this globalisation has become a reality for people living in all parts of
the world.

I 7.3 APPROACHES TO
Scholars are divided about the nature of this new process called globalisation and consequently
its impact. Three approaches to understanding the ongoing process of globalisation can be
identified in the current literature. One approach consisting of scholars, such as K. Ohmae,
called the see it as a central and irreversible process, and define globalisation
as a new epoch of history in which traditional nation-states have become 'unnatural, even
impossible business units in a global economy'. In this view, which privileges economic power
or that of the market, the borderless economy reduces national governments to little more than
transmission belts for global capital, or simple intermediate institutions sandwiched between
increasingly powerful local, regional and global mechanisms of governance. In this view
international markets and multi-national corporations, have become strong and impersonal forces
driving the world. Consequently the power of states is correspondingly declining. Now
is diffused, it is the local and the international that are important, not states, which have lost their
earlier authority and legitimacy and have little control over what is happening within their
borders. believe that economic globalisation is creating new forms of social and political
organisations - international civil society and supra-state government - which will eventually
replace the traditional nation-state as the primary political and economic unit of world society.
Thus, the old north-south divide, or the core-periphery based international relations, is disappearing
and a more complex architecture of economic, political and social power is emerging. In this
situation, states that do not or move with the times, it is held, will be behind. Older
welfare state policies or social democratic models of governance are now of no use. A new
international elite or 'knowledge' class is developing world-wide which is equipped to benefit
from the changes that globalisation has introduced, while others are These changes
.
are accompanied by a worldwide.consumerist ideology, which displaces traditional cultures and
ways of life and imposes a new global common identity within a global civilisation defined by
universal standards set by the discipline of markets. So the believe that globalisation
represents 'a fundamental reconfiguration of human action'.

Sharply opposed is the approach consisting of scholars best described as the skeptics who argue
that globalisation as described by the hyperglobalists is a 'myth'. They point out that the
century witnessed a greater increase of trade, labour flows and economic interdependence with
much higher levels of integration of states into the international system under the laissez-faire
state, and propagation of theories of comparative advantage by Adam Smith and others. Hence,
all we are experiencing today is heightened levels of internationalisation of these processes.
Further, in contrast to the hyperglobalists, privileging political rather than economic power, they
feel that the latter are being in underestimating the politicalpower of states; it is not the
market that rules, but the state that regulates all economic activity. The forces of globalisation
are themselves dependent upon the regulatory power of national governments to make states
globalise, and privatise. Thus, politics and not economics alone are important in
the relations among states in an increasingly interdependentworld. The sceptics also
point out that increased economic activity has led to "regionalisation" of the world economy
the emergence of three main financial blocs: Europe, North America and Asia-Pacific. This
means that the world economy is actually less integrated or global than earlier, as it stands on
more pillars. This school also argues that there is no evidence of a new, less state-centric
world. Rather, states are playing a more central role in the regulation and active promotion of
cross-border economic activity; they are shaping the global system. In fact, some feel that
globalisation is a by-product of the multi-lateral economic order created by the United States in
the post Second World War period; others feel that it is a new phase of western imperialism
in which there has been intensification of world trade and investment by the western states
have emerged as the agents of monopoly capital. Finally, the sceptics point out that there has
been no re-structuring of the world economy, most trade and investment still favours the North
and marginalisesthe South, as a result of which inequalities between the two areas are increasing,
and the old international division is becoming stronger. In fact, they feel that it is these rising
inequalities, which are leading to fundamentalism, ethnic resurgence and aggressive nationalism
rather than a world civilisation and internationalism.Instead of cultural homogenisation what we
are witnessing is re-emergence of local identities. is no global governance, only western
dominance, which hides behind a convenient slogan of globalisation.

A third, and more balanced view, comes from the who believe that
is 'transforming' the world and see it as a driving force behind the rapid social,
political and economic changes that are reshaping modern societies and a world order. In
a system there is no longer a clear distinction between international and domestic, external and
internal affairs. In this account, globalisation is conceived as a powerful transformative force,
which is responsible for a 'massive shake-out' of societies, economies, institutions of governance
and world order. However, the direction of this shakeout uncertain since globalisation
is an essentially contingent historical process replete with contradictions. Rather than putting
forward a fixed ideal type, transformationalists emphasise globalisation as a long-term historical
process that is inscribed with contradictions, and significantly shaped by factors.
Yet, they do believe that contemporary patternsof global economic, political, military, technological
and cultural flows are historically unprecedented. They argue that virtually all countries in the
world, if not parts of their territory and all of their society are now functionally part
of that larger (global) system in one or more respects. This does not the arrival of a global
society; rather globalisation is associated with new patterns of stratification in which some
states, societies and communities are becoming increasingly enmeshed in the world order, while
others are becoming increasingly marginalised.

Thus, at the core of the globalisation debate is a belief that it is reconstituting or

engineering the power, functions and authority of national governments.While not disputing
that states still retain the ultimate legal claim to effective supremacy over what occurs within
their territories, this is juxtaposed to varying degrees with the expandingjurisdiction of institutions
of international governance. Important examples include the European Union and the World
Trade Organisation, where sovereign power is now divided between international,national and
local authorities. Globalisation, therefore, is associated with a transformation or, an
unbundling of the relationship between sovereignty, territoriality and state power. Thus,
a new sovereignty regime is displacing traditional conceptions of statehood as an absolute
indivisible, territorially exclusive and zero-sum form of public power. Consequently,
sovereignty, state power and territoriality today stand in a more complex relationship to each
other, than they did in the epoch in which the modern nation state was being formed.

A different and critical viewpoint is put forward by the about the origins and nature
of globalisation, and its impact particularly on the developing world. Describing it as a new form
of Imperialism, they see it as an extension of the neo-liberal conservative policies practiced by
the advanced western countries to put their own economies in order as well as overcome global
depression following the oil crisis of the 1970s and 80s. While these policies helped the advanced
countries, it did not help the developing states on whom there is tremendous pressure today to
liberalise and privatise internally, and externally to open their economies to the forces of
globalisation. For the developing world, globalisation is of the Debt Crisis of the
which led to Structural Adjustment Programmes (SAPs). Many of them, with the drying up of
aid in this period, borrowed heavily from commercial Multi-National Banks, which were
flush with petro-dollars. Inability to repay debts by some countries such as for example, Mexico
in 1982, led to 'conditionalities' by the IMF which was able to introduce changes such
as rolling back of the state, removal of trade barriers and emphasis on export-led growth,
regional price controls etc., which introduced a complete change in direction within the
of Mexico. In the political field the conditionalitieson the developing states have taken the shape
of insistence on maintenance of Democracy, Good Governance and Human Rights.

These developments have led to introduction of competitive market forces and dismantling of
welfarism within the developing states, leading to greater class and regional inequalities within
them, leaving large sections of the population such as the smaller agricultural labour and
smaller industrialists vulnerable to the impact of globalisation. In India, this is visible in the
suicides by cotton farmers in regions such as Andhra Pradesh and Thus, globalisation
in the form of has led to a decline of third world states and their inability to manage
in a world of open economies. These states are not in a position to compete and take
advantage of the new opportunities that globalisation has introduced, which have gone largely
to the advanced Western states, and even within them, to already better-off sections of the
population. There was some growth initially in some states in Latin America as a result of the
SAPs, but they have contributed to widening of social inequalities and poverty, a good example
being the impact on Argentina. The impact on Africa was clearly indicated by the World Bank
itself in its 1989 report on the continent. In fact, during the 1990s the World Bank and the IMF

90
have themselves called for 'safety nets' or policies to the poor in these countries and for
adjustment with a 'human face'. This has led to increasing unrest and violence against the
government in many developing countries, and even in some developed countries, against increasing
inequalities and decreasing levels of employment. A.G. Frank has recently pointed out that the
impact of globalisation and the has proved Dependency theory correct, but paradoxically,
the theory is hardly used today in studies on globalisation. Thus, globalisation is a force that does
not affect all states in the same manner; even within states it can affect different sections of
the population differentially depending on their ability to face competitive markets.

7.4 IMPACT ON STATE SOVEREIGNTY

Most scholars agree that the age of the nation-state is not over, rather it ha suffered a decline
th
by the end of the 20 century after the glorious heights it reached in the 19 century. The state
still remains the most significant actor in the international arena and retains a degree of autonomy.
But this position is uneven; some states have declined while others have risen, classic empires
declined but new empires risen. What this implies is not the end of the state but a
transformation in its power and authority. This is best understood by examining certain
'international' or 'external' disjunctures or challenges upon the sovereignty of the nation-state
pointed out by David Held.

7.4.1 Challenge from the new world economy

Two major changes in economic international processes, which have impacted on state sovereignty,
have been internationalisation of production and financial transactions organised by Multinational
Corporations (MNCs). MNCs in their production and financial transactions plan their activities
with the world and not national economies in mind. Even when they have a national base, their
interests are global, their activities in their home country being less important. Financial
organisations such as MN Banks, which are global in scale and new information technology,
have made this possible, and stocks and shares are now 'mobile' and move across frontiers
easily. So the financial economy is not under the control of the state any longer. Technological
advances in communication and transport are eroding the boundaries between national markets,
which in the past were the bastion of independent national policies. Markets and societies are
becoming sensitive to each other even though national identities are separate and monetary and
fiscal policies are dominated by movements international markets. For example, the major
market crash of 1987 affected a very large number of countries.

As a result internal policymaking, investment, employment and revenue within a state is often
affected by the activities of MNCs and changes in the world economy. Keynesian-based
welfare policies, import or tariff barriers by governments (state interventionism) which were
used by governments to protect home industry in an era of 'embedded liberalism' are now much
harder to implement. This is because state economies are no longer 'managed' by state
governments but are subject to external forces, such as recession, inflation and trade agreements,
due to the interconnectedness of the world economy. However, it must be underlined that some
states can manage better in this situation, and are able to 'restore boundaries' and take advantage
also of the regionalisation of the world economy, for example the USA or the European Union,
 individual states, but there is a disjuncture between the idea of a sovereign state
determining its own and modem economies, which are intersected by international economic
forces.

7.4.2 Challenge from new international organisations

Between the state and the system there have arisen a large number of international
. organisations and regimes - new associations - which now manage whole
areas of transnational activity (trade, oceans, space) and collective policy problems. In 1909
there were 37 inter-governmental organisations and 176 by 1984 the number
has risen to 280 and 4,615 respectively. Consequently, we witnessing new forms of
making involving a number of states, and a whole array of international pressure groups.
A number of international agencies such as the International Postal Union or
Unions are largely non-political organisatdons. But there are a large number of international
organisations such as the World Bank, IMF, UNESCO, UN, which are highly politicised and
controversial and over the years their power to in the internal affairs of states has
increased. A tension therefore definitely exists between the notion of a sovereign nation-state
in control of its internal affairs and the existence of international bodies capable of interfering
in the management of its polity and economy. The European Union is an example of a
state body that can law, punish, regulate, direct and implement policy and has common
currency. European states have willingly surrendered their sovereignty to this body in order to
further their economic progress and face competition from the USA and Japan. This means that
sovereignty is no longer indivisible, illimitable, exclusive, perpetual, and embodied in a single
state.

7.4.3 Challenge from International law

Changes in international law have introduced new forms of regulations, rights and duties which
act as constraints on states. These are not backed by any coercive power but despite that are
important enough for states to obey them. Traditionally a rule that upheld state sovereignty was
the immunity of individuals and state agencies from being tried in a court in any other country.
However, in recent years these rules are being questioned in international courts. A tension now
exists between states and international law which is yet to be resolved, particularly within the
European Union. Moreover, the establishment of the European Convention for the Protection of
Rights and Fundamental Freedoms in 1950 was an important step. Unlike many other
Charters on Human Rights, it takes a step towards "collective enforcement"of certain rights.
An important innovation is that individuals can initiate proceedings against their own governments.
European countries in the European Union have accepted that their citizens can directly petition
the European Commission on Human Rights that can take cases to the Committee of Ministers
of the Council of Europe and then the European Court of Human Rights. Thus, no state can
any longer treat its citizen, as it thinks fit. A gap has also emerged between membership of a
state, which traditionally gives individuals certain rights, and duties and the creation in international
law of new forms of rights and liberties as laid down by the International Tribunal at Nuremberg.
The Tribunal has laid down that when international law, which protects basic humanitarian
values, is in conflict with state laws, it is the duty of every individual to follow the former.
Moreover, the scope and direction of international law has changed. Traditionally it was meant
mankind. In recent years international law is longer defined as the law between states but
as a cosmopolitan agency above states, but accepted by all. Yet it is important to remember
despite globalisation it is not accepted by all states and individuals, for example, Islamic
fundamentalist movements do not accept it.

Finally there is a disjuncture between the idea of the state as an autonomous strategic military
actor, and the development of the global system of states characterised by the existence of the
great powers and power blocs which sometimes operates to undercut a state's authority and
integrity. The existence of NATO and the Warsaw pact can constrain the decision-making
powers of many states specially their military and foreign policy. There has also emerged the
'internationalisation of security' due to joint use of armed forces by states, which has created
a command structure above the states over which they individually have little control.

7.5 IMPACT OF GLOBALISATION ON INTERNAL

FUNCTIONING OF STATES

7.5.1 Democratic Decision Making

Questions are also being raised about the impact of globalisation on the internal functioning of
nation-states. A central question raised by liberal political theory, closely related to popular
sovereignty, is about the impact of globalisation on democratic decision-making. Traditionally
liberal theory assumed that there is a symmetrical and congruent relationship between the rulers
and the ruled. The former made decisions for the latter based upon notions of majority rule and
accountability,and the latter accorded them legitimacy. Nation-states were seen as self-contained
units and changes in other states or the international system, except in case of war or an ,
invasion, were not taken into consideration. The emergence of neo-liberalism has led to the
retreat of the state creating more space for civil society and competitive markets, which are not
limited to or enclosed within nation states. Moreover, active intervention by agencies such as the ,
World Bank and the IMF leading to Structural Adjustment Programmes and Development
Projects, and trade sanctions, aid, military imports etc., to a much greater extent than before has
grave implications for democratic decision-making. Consequently, states no longer control their
own decisions and actions as in the past. What this implies is a change in the traditional notion
of 'consent', which is an important core of democratic theory. earlier notions of a social
contract and electoral democracy based on the use of the ballot box which leads to participatory
democracy based upon a community of free and equal persons is no longer valid. The question,
that arises is, which is the relevant community - local, regional, national or international?
Who makes the law is a valid question as territorial boundaries are no longer sacrosanct. So
globalisation has the possibility of re-opening the assumptions underlying liberal democracy.
With globalisation, the theoretical underpinnings of' liberal democratic theory need a

7.5.2 Ethnic Resurgence

A second issue is the coexistence of globalisation and assertions based on ethnic identities, of
language, tribe or religion, which is today questioning the concept of a homogenous nation-state
based upon a common national sentiment, whether constructed out of long struggles against
feudalism and the Church in the West, or colonial rule the developing world. Earlier scholars
examining ethnic identities and their relationship with the nation-state believed that ethnic ties
were primordial, that is, given from the beginning and fixed, and with modemisation and increasing
allocation of roles on the basis of universalistic criteria, they were expected to disappear.
states would be able to solve the problem of ethnic minorities over a period of time; and
assimilation was not merely social theory, but also a policy goal to be assiduously followed by
states. However, since the early there have been ethnic movements not only in the
developing world, but also even in the economically advanced countries, such as Canada.
Scholars like Anderson have pointed out that identities could be 'invented' or 'imagined'. This
meant they were no longer rooted in blood relationship, language or culture, but could be
constructed by social or political action. This meant that the relationship between the concepts
of ethnicity and nationalism, between ethnic groups and the nation, has undergone a change.
Three kinds of assertions seem to be taking place within states. First, those based on the belief
that cultural identity and economic prosperity can be maintained achieved by breaking
away from the existing state, a good example being the former USSR. Second, those asserting
that nationalist aspiration cannot be achieved without full independent statehood, for example,
Yugoslavia. Third, a more widespread phenomenon, in which the state does not adequately look
after the interests of a distinct ethnic group which has remained backward and marginalised, for
example, the dalits in India. Today, therefore, while globalisation is the first major force posing
a fundamental challenge to the state, the resurgence of ethnic identities is the second, and they
often exert contrary pulls. Global promotes a global culture, while ethnic identities promote
the local, the parochial and stress upon the 'other'. The nation-state thus experiences a two-
fold pressure from without and within. The principle of nationalism, which created the
state in the nineteenth century, is no longer able to hold states together. External influences
can also impinge upon the of identities.

7.6 SUMMARY

Most scholars would agree with David Held who attempts a balanced view about the impact
of globalisation on state sovereignty. He argues that states have lost their sovereignty leading
to a New World Democratic order, nor can the traditional theory of sovereignty put forward by
John Austin be abandoned. Rather he feels that a theory of the changing place the
democratic state within the international order needs to be formulated. What we are moving
towards is a system of overlapping authority and multiple loyalties, with conflicting interpretations
of rights and duties and authority structures, in which no state is supreme. In this sovereignty
is no longer one and indivisible. This is similar to Christendom as it existed in the medieval period
with no ruler supreme or above the others - a neo-medieval international order. This would
require new international organisations to secure law and order. Such a new 'secular medievalism'
could be fraught with problems on which democratic states have traditionally such
as notions of representation and accountability. The institutions of democracy may undergo
change due to these pressures. Citizens would no longer have control over their states as in the
past. A good example is the new states of Eastern Europe which have tried to keep control over
their own affairs but international events beyond their control have had an influence. Thus an
ideal system for the future would be the continuation of sovereign states, but co-existing with
new plural authority systems. What is required is democracy within and between states
democracy within a network of intersecting international forces and relations. This is the meaning
outcomes so that each affects the other and impinges and imposes upon the other. All this is
visualised as existing within an international civil order and civil society.

7.7 EXERCISES
1) What is globalisation? Analyse the different approaches to globalisation.

2) Analyse the impact of globalisation on state sovereignty.

 8 REGIONAL INTEGRATION AND STATE

8.1 Introduction
8.2 Definition
8.3 Different Approaches of lntegration
8.4 Impact of Regional lntegration on the State
8.4.1 Effect on the Nature and Functions of the State
8.4.2 Effect on the Sovereignty and Regional Obligations
8.5 Models of Regional Integration
8.5.1 Integration of Western Europe
8.5.2 Integration of Middle East and Arab States
8.5.3 Integration of African States
8.5.4 Integration of American States
8.5.5 Integration of Australia, New and United States
8.5.6 Integration of Asian Continent
8.5.7 lntegration of Asia-Pacific Countries
8.6 Regionalism and Strengtheningof States
8.7 Summary
8.8 Exercises

The post-Second World War developments relating to the integration of the community of
states have been conspicuous and extensive. As the members of the international community
have grown, so have their inter-relations and the institutions they established to conduct their
mutual cooperation. Presently, more and more states and their peoples have come to acknowledge
their mutual interdependenceand the need for forging regional cooperation for securing their
shared needs and objectives. Consequently, there has developed a distinct trend towards regionall
international integration. This trend towards regional integration has been unique and important.
It is unique in the sense that on the one hand there has been a big rise in the number of
sovereign nation states in the world politics and on the other hand sovereign states have been
willing to institutionalise their mutual relations and compromise their several rights in the interest
of collective action for development. The result has been the rise of new states and the
development of a large number of both global institutions as well as regional functional

, The former are engaged in securing global cooperation for peace, prosperity and development
and the latter are trying to increase regional cooperation for development among their members.
It is important to understand the impact of this process on state as this trend has resulted into
several changes in the nature, functions and role of states.
8.2 DEFINITION
Regional integration means the development of piecemeal non-political cooperative
organisations which are established most effectively at the regional level and in the economic,
technical, scientific, social and cultural spheres. These sectors are functional sectors in which
states can develop mutually cooperative institutional relations without jeopardising their national
sovereignties. Mutual advantage as the basis of such regional functional organisations serves as
a useful way of securing the desired goals of development in these sectors. The
realisation towards such thinking has led to the emergence of a definite trend towards regional
integration. In the modern period of history, with the conceptualisation and practical
establishment of sovereign states that comprise the family of nations, the trend towards
integration, cooperation and regularisation of international relations has taken on new
forms and greater urgency.

Regional integration can also be described as inter-state integration. It is an instrumentality of

the modern multi-state system. In its most elementary form, the term denotes both the act of
cooperation among the states for .enhancing common purpose, institutions and the methods they
employ to achieve this objective. In other words, regional integration means the process towards
an end product of integration of nation-states. It is the process by which a group of nation
states come forward to establish institutionalised cooperation among themselves. The organised
institutions or mechanisms that these nation-states establish for conducting their relations also
form a part of regional integration. Such institutional mechanisms afford a vehicle for arriving
at collaborative determination of policies and actions. Each integrated institution amalgamates
the individual members into a whole, their inter-relationsand influencestheir international
behaviour. By acknowledging and respecting the appropriate place of each unit of the whole
system, the integrated institution not only maintains stability but also secures cooperation for
development.

8.3 DIFFERENT APPROACHES TO INTEGRATION

There are three different schemes of thought regarding the preferred methods and approaches
to regional integration.

a) The Federalist View: The Federalist school of thought conceives of integration in legal
and institutional terms. It views integration as an end product rather than a process. It
stands for a political union among sovereign states. The supporters of World Federation
belong to this school of thought.

b) The communication Model of Regional Integration: Communication theorists like

Karl W. Deutsch, conceptualise integration as the process of flow of international transnational
transactionswhich eventually can and will lead to the of "security communities"
or "an integrated socio-politicalsystem."

c) The Neo-Functionalists view of Regional Integration: The third school of thought is

represented by the neo-functionalists. They view integration as both a process and an
outcome. They prefer to emphasise cooperative decision-making process as the hall-mark
Each of these three views represents a particular aspect of the concept of regional integration.
Regional integration involves the of integration, the institutions which handle the cooperative
relations, and the cooperative decision-making that lies at the back of all such institutionsand
their functions. It can be defined as the process of peaceful and voluntary unification of
sovereign nation states into institutionsor associations or agencies - regional, continental
and global.

8.4 IMPACT OF REGIONAL INTEGRATION ON STATE

At this stage it is important to analyse the impact of the growing influence of regional integration
on the working and the nature and functions of the state. How far it has eroded the element
of sovereignty of the state? Is it intact or has compromised certain features of these important
ingredients of state to meet its regional obligations? Let us have a look at these important
questions.

8.4.1 Effect on the nature and functions of the state

Before going into the question of effect of regional integration on the nature and functions of
the state, it is important to understand how a region is Palmer and
define 'region' as "invariably an area embracing the territories of three or more states. These
states are bound together by ties of common interests as well as of geography. They are not
necessarily contiguousor even in the same continent." A region, in international relations, is not
essentially a geographic area or unit. A region may be conceptualised in terms of area, or
group or economic groupings or transnational unit. The concept of organising
states of an area or states with similar needs or with common perceptions regarding an issue
or problem or goal, with a view to secure measures for securing the desired
objectives can be described as the concept of regionalism, and an organisation that is organised
under the concept of regionalism is called 'Regional Organisation'. A regional system based on
regional integration is a consequence of a long term agreement between two or more states
providing for common political, military or economic action in specific circumstances, provided
the commitment extends to a defined area and specific states. Such system is carried forward
by organisations of permanent nature of grouping in a given geographical area of several
countries, which by reason of their proximity, community of interests or cultural, linguistic,
historical or spiritual make themselves jointly responsible for the peaceful settlement
of any dispute which may arise between them and for the maintenance of peace and security
in their region as well as for the safeguarding of their interest and the development of their
economic and cultural relations. Thus we can say that in a regional arrangement i) geographic
factor is not an absolutely essential condition; ii) it may involve the idea of promoting cooperation
and collaboration among a group of states which consider themselves bound by geographic,
cultural, economic, and political interests; and iii) such arrangement may be of military or
economic or political nature with a limited purpose or multipurpose.

In such a scenario where states themselves are partners in concluding or forging a regional
arrangement, the question as to what impact does it have on the nature and functions of the state
can be answered only in a positive manner such an arrangement does not ,at all jeopardise
their national sovereignty. In the modern period of history, with conceptualisation and practical
cooperation and regularisation of international relations has taken on new forms of greater
and has not, in any way, affected the original nature and functions state. Since
it is a process of peaceful and voluntary unification of sovereign nation-states, it has helped the
nation-statesto safeguard their own identities as well as to secure the benefits of integration and
cooperation without in any way affecting the nature and functions of the state.

8.4.2 Effect on Sovereignty and Regional Obligations

It is commonplace today to hear politicians say that they do not control many of the factors
which determine the fate of a nation-state. It is international forces, it is often said, which limit
the choices facing a state or make it impossible for a particular national policy to be pursued.
Leaving aside for a moment the accuracy of such claims, it is useful to keep in mind a distinction
introduced earlier between de jure and de facto sovereigntyor we can say between sovereignty
and autonomy. This distinction is sometimes made in order to separate the problems facing a
state due to loss of aspects of legal sovereignty from problems which stem from a loss of
political and economic autonomy. We shall examine below as to how far the regional integration
and obligationsarising out of such has eroded the sovereignty as in legal
sense or the loss of autonomy.

With the development of the global system of states, characterised by the existence of
hegemonic powers and blocs, the origin of number of regional organisations have
sometimes operated to undercut the state's authority and integrity. The dominance of the
USA and the erstwhile USSR as world powers, and the operation of alliances like the North
Atlantic Treaty Organisation (NATO) and the Warsaw Pact, clearly constrained decision making
for many nations. A state's capacity to initiate particular foreign policies, pursue certain strategic
concerns, choose between alternative military technologiesand control certain weapon systems
located on its own territory may be restricted by its place in the international system of power
relations. To illustrate this point take the example of NATO. NATO's concern with collective
security has drawn a fine line between, on the one hand, maintainingan of sovereign
states(which in principle, an individual member state not to act if it judges this appropriate)
and, on the other, developing an international which de facto, if not de jure, operates
according to its own logic and decision-makingprocedures. The sovereignty of a national state
is and decisively qualified once it is committed to a regional organisation.

But even without such a commitment, state autonomy as well as sovereignty can be limited and
checked, for the routine conduct of regional affairs involves the integration of
national policies into the larger regional policy framework. Hence regional obligations
automaticallycurtail the autonomy of the state. Such systems, based on regional integration, lead
to the establishmentof but none the less supragovernmental personnel networks
or coalitions which are to monitor by national mechanisms of accountability and control.
Besides, the members of regionalorganisationsare, at times, rivals competingfor scarce resources,
arms contracts, international prestige and other means of national enhancement.

The insistence on the part of the sovereign states to adhere to its own decisions keeping into
consideration its national interests and the demands of the regional bodies of which such sovereign
states are members sometimes raises serious questions about the sovereignty of such a country.
of the European Community are no longer the sole centre of power within their own territorial
boundaries. On the other hand, it,is important to bear in mind that the Community's powers are
limited when considered in relation to those of typical European state; for the community does
not possess, for instance, coercive powers of its own - an army, a police force and other
institutions of direct law enforcement. The Community's powers were gained by the willing
surrender' of the aspects of sovereignty by member states - a 'surrender' which on the one
hand, with the dominance of the USA in the firstthree decades following the Second World War
and, on the other, with the rise of Japanese economic challenge. has put it in this way:
the nation-state today survives even though some of its powers have to be pooled with others,
and even though many apparently sovereign decisions are seriously constrained, or made ineffective
by, the decisions of others as well as by economic trends uncontrolled by anyone. The European
Community helps the state survive, by providing modicum of predictability and a variety of
rewards. It has strengthened the nation-state's capacity to act at home and abroad."

In short, the idea of de jure sovereignty remains compelling, especially with regard to the state's
capacity to wield coercive power. However, the operation of states in an ever more complex
international system, which limits their autonomy and infringes their sovereignty, undermines the
clarity of those traditions of sovereignty- stemming from Hobbes, on the one side, and Rousseau,
on the other - which interpret sovereignty as an illimitable and indivisible form of political power.
Instead, if sovereignty, as a concept, is to retain its analytical and normative force - as the
rightful capacity to take final decisions and make and enact the law within a given community
- it has to be conceived as divided among a number of agencies and limited by the very nature
of this plurality and the rules and procedures which protect it. Such an idea is implicit in the
conception of political community, and is central to the traditions of political analysis
which do not locate and reduce sovereignty to either state or society. However, it requires
further extension to the new international circumstances in which the state is located today, a
task which the modern political theory has barely begun.

8.5 MODELS OF REGIONAL INTEGRATION

Different continents of the world have experimented with the concept of Regional Integration
and hence we have a number of models on regional integration starting mainly with the most
successful model of regional integration of Europe known as European Union to
almost one in each important region of the world. Given below are some of the most successful
and prominent examples of regional integration of states in different parts of the world.

8.5.1 Integration of Western Europe: The European Union

The concept of integration has been very and fruitfully tried in Western Europe.
Through organised, and systematic cooperation and coordination of their economic
and industrial policies and decisions, the states of Western Europe have been not only
in making good the heavy losses they suffered between 1914-45, but also have been successful
in developing their economies in a big way. The West European integration, particularly the
economic integration of Western European states offers a worth emulating model for the rest
of the world.

100
i) Nature and Institutions of Western European Integration

integration of Western Europe has been a three dimensional phenomenon-political, military

and economic. However, it is the economic integration which has really materialised and helped
the western European states to act as one community. Let us examine briefly the political and
military integration and follow it up with a detailed discussion of the economic integration of
Western Europe.

ii) Political lntegration of Western Europe

The power vacuum that resulted in Europe as a result of the heavy power losses suffered by
all the states of the continent, made it imperative for the leaders European States to think
in terms of political integration of Europe as an effective remedy against the attempts that the
and the had initiated for extending their respective spheres of influence in the
former nerve centre of international relations. The success of the Soviet Union in converting the
Eastern European states to socialist systems playing second fiddle to the made the
Western European states more conscious of the need to secure their identities through voluntary
and equally shared political integration.

The view - "Europe must federate or perish" became a very popular theme with the Western
European Nations. There emerged a number of movements committed to secure European
unity. With a view to coordinate their activities, an International Committee for European
was set up. In 1948, a conference of this committee was held at Hague and a call was given
to the Brussels Powers - Britain, France, Belgium, Netherlands and Luxembourg for undertaking
the task of securing European unity and establishing an European Assembly. The follow-up
action led to the establishment of the Council of

'The Council of Europe (1949)

prolonged discussions among the statesmen of Powers, it was agreed to

establish a Council of Europe as an intergovernmental organisation designed for coordinating the
policies of member states. In March 1949, a conference of representatives of ten nations
(Brussels Powers Denmark, Ireland Italy, Norway and Sweden) was held for drafting the
Statute of the Council of Europe. On May, 1949, these ten nations signed the statute and
founded the Council of Europe. Later on in 1950 Turkey and Greece, in 1 Iceland and West
Germany, in 1956 Austria, and in 1961 Cyprus became the members of this Council and made
it a comprehensive representative body of the Western European states.

The purposes and objectives of the Council made it abundantly clear that matters relating to
defence did not fall within the scope of the Council and its main purpose was to achieve a
greater unity between its members for the purpose of safeguarding and realising the ideals and
principles which are their common heritage and facilitating their economic and social progress.
This aim should be pursued through the organs of the Council by discussing the question of
common concern and by agreements and common action in economic, social, cultural, scientific,
legal and administrative matters and in the maintenance and further realisation of human rights
and fundamental freedoms. Although the working of the of Europe failed to produce the
desired results in the direction of the main objective- the political of Western Europe.
iv) lntegration of Western Europe
With a view to lessen their dependence upon the for their needs, the
West European states decided to have several formal security arrangementsor organisations.
Important among them were the Treaty, 1947, The Treaty, 1948, The North
Atlantic Treaty Organisation (NATO) 1949, the European Defence 1952, the
Western European 1955. All bodies were engaged in promotingthe concept
of the defence of Western Europe.

v) Economic Integrationof Western Europe

The most spectacular and post-war development has been the economic integration
of Western Europe. Through several well economic institutions, the Western European
states have been very successful in coordinating their economic development needs and
programmes. The following institutions have largely helped the Western European nations to
stage a rapid economic recovery and development:

The Organisation for European Economic Cooperation (OEEC) was basically engaged in
promoting between the countries concerned to consider measures and create the
machinery necessary for the European Economic Cooperation, especially in matters of trade,
international payments and movementsof labour. The Organisation for Economic
and Development (OECD) was assigned three main functions: (i) to achieve the highest
sustainableeconomic growth and employmentand a rising standard of living in member countries
(ii) to contribute to sound economic expansion in non-member countries in the process of
economic development as in member nations and (iii) to work for the expansion of world trade.
The Benelux has been a very useful instrument of the economic integration of the Benelux
countries (Belgium, Netherlands and Luxembourg). It has played an important role in promoting
economic development and political and cultural collaboration among the three countries.The
European Communities mainly comprised of three communities namely (i) The European
Coal and Steel Community (ECSC) (ii) the European Economic Community o r the
European Common Market (EEC o r ECM) and (iii) European Atomic Energy
Until these Communities had their independent organisational
structure but afterwards these were merged in the European Commission or the European
Union. As mentioned above, the European Union has emerged over the years as a developed
economic community with an integrated economic base. It is now having a single currency,
EURO, and a single Banking Union. It is also trying to supplement the existing economic
integration with a viable political integration of the European Community. European Union till
date is the best example of regional integration.

8.5.2 lntegration of Middle East and Arab countries: The Arab League
The Arab League can be described as the comprehensive non-western regional integration.
It was formed in March 1945 when Egypt, Jordan, Lebanon, Saudi Arabia, Syria and
Yemen signed the pact for its creation. Later on, Algeria, Kuwait, Libya, Morocco, Sudan and
Tunisia also joined it.

The primary objectives of the Arab League as stated in the Pact of the League of Arab States
are: "The strengtheningof relations between the member the coordination of their policies
in order to achieve cooperation among them and to safeguard their independence and sovereignty".
 The Pact specifically to cooperation among the states in the economic and
affairs, communications, cultural affairs, nationality and related matters, social affairs
and health problems.

The Arab League, since its inception, has been playing an important role in shaping and guiding
the political,social,economic and cultural relations among the members as well as between them
and other states of the world. It has secured the conclusion of several important economic, trade
and cultural cooperation agreements among the member states. It has been playing an important
role in securing the unity of the Arabs. It showed its unity at the time of U.S. attack of Libya
in 1986. However, till today, it has not been successful in achieving fully its professed objective
of unifying the Arab world. Nonetheless the fact remains that it is an acknowledged case of
regional integration.

8.5.3 lntegration of African States: Organisation of African Unity (OAU)

The Organisation of African Unity is by far the most important and most comprehensive
example of regional integration in Africa. Its Charter was approved at the Ababa conference
of the Heads of States and Foreign Ministers of thirty African states in May , 1963. Originally
its membership was 32 but today the strength stands increased to nearly double.

, The OAU Charter states that the purposes of the organisation are inter "to promote the
unity and solidarity of the African States "and "to defend their sovereignty, their territorial
integrity and independence." In order to achieve this purpose, the Charter calls upon the member
states to coordinate and harmonise their policies. Eradication of all forms of colonialism from
Africa and the promotion of international cooperation with due regard for the U. N. Charter and
Universal Declaration of Human Rights, are the other objectives of this Organisation.

OAU is indeed an African organisation designed to promote the interests of its members. Since
a majority of the African states are its members, it can be called a continental regional integration.
Though its objectives have received full support from the African states, the organisation has
failed to act as a strong, united and efficient regional arrangement. In practice it has remained
a loose association of sovereign states. It has been working in a limited way and stands
weakened by continued the members. But at the same time it must be
accepted that OAU has done well to make the African states conscious need for African
unity and solidarity against colonialism and for mutual development. It has also been successful
in making the African states behave as a unit in the United Nations with regard to several key
international issues and problems.

8.5.4 Integration of American States: Organisation of American States

The Organisation of American States deserves special attention for three basic reasons. First,
it is the oldest and one of the largest examples of regional integration in existence. Second, its
structure is confederal and not supranational. Third, the system has been developing and changing
in accordance with the change in time. The origin of OAS can be traced back to 1889 when
the first Pan-American Conference was held. Since then, through gradual changes the OAS has
developed, particularly since 1948, into a comprehensive of regional integration. Today,
it is one of the most active and influential regional arrangements and its area of operation is
confined to the American continent.

The OAS seeks to promote cooperation and collaboration among the member states as well as
to work for the collective security of peace and stability in the region. It has the responsibility
of securing a peaceful settlement of the inter-American dispute peacefully. It alsd seeks to
the regional security system on the basis of the principle: "An attack by
any state against an American state shall be considered as an attack against all American
states and therefore, shall be met by all the states of OAS."

The OAS has been an effective instrument in the implementation of regional integration of the
American states. It has helped the member-states to sort out and settle peacefully their mutual
disputes. It has been an instrument of economic development and security for the members. The
U.S.A. plays a dominant role in its working.

8.5.5 lntegration of the Australia, New and United States:

Australia-New Zealand-United States Pact (ANZUS) 1951

This is another case of regional integration in which Australia and New joined hands
with the United States of America in 1951, primarily for the purpose of coordinating their efforts
for collective defence and for the preservation of peace in the Pacific area. Under Article 4
of the Treaty, it was stated that "Each party recognises that an armed attack in the Pacific area
on any one of the parties would be dangerous for its own peace and safety, and declares that
it would set to meet the common danger in accordance with its constitutional processes. An
armed attack on any one state shall be deemed as an attack upon all the states and hence shall
be met by a collective force." It was mainly a defence arrangement through which the
wanted to the communist danger in the Pacific while Australia and New felt that
it would check the possibility of attack from resurgent and rearmed Japan.

8.5.6 lntegration of Asian Continent: The Association of South East

Asian Nations (ASEAN) and the Association of South Asian
Association for Regional Cooperation (SAARC)

The Association of South East Asian Nations (ASEAN)

The Vietnamese crises, the U.S. imperialistic role in Vietnam, the political crises in Kampuchea,
Indonesia, Laos and Burma, and the realisation of the need for development through mutual
efforts encouraged the Asian Nations to establish a regional economic association.
In 1967, the ASEAN was created by Indonesia, Malaysia, Philippines, Singapore and Thailand.
In 1984 Brunei, in 1995 Vietnam and in July 1997 Laos and Myanmar joined it and in 1999
Kampuchea also joined ASEAN. India, Japan and China are dialogue partners of the ASEAN.
wants to join this regional functional organisation as a full member.

The ASEAN is a non-military and non security economic and cultural association of the South
East Asian States and is a perfect example of regional integration engaged in pursuing economic
objectives of a region in a concerted and integrated manner. Its main objectives are: (i) to
accelerate growth, cultural development and social progress in the region (ii) to
promote regional peace and stability to promote active collaboration and assistance
on matters of common interests in variousfields (iv) to promote mutual cooperation and assistance
in providing training and research facilities to their people (v) to promote South East Asian
studies (vi) to collaborate in the development of agriculture, trade and industries and (vii) to
maintain close and beneficial cooperation with the existing international and regional organisations
with similar aims and purposes.

On August, 2002, the ASEAN completed thirty five years of its existence as a regional
association for promoting socio-economic cooperation for the development of its members. It is
trying to emerge as a strong and integrated regional association for promoting socio-economic
cooperation for development of its members. It is trying to emerge as a strong and integrated
regional association. It has enabled its members to attain an economic growth rate of around
7 to 8 per cent. It is now trying.to strengthen the infrastructure for undertaking a concerted
programme for development in the South East Asia and Indo-China regions. It is trying hard to
take and maintain a lead in this era of increasing competition and globalisation. It is now working
hard towards the creation of ASEAN Free Trade Area (AFTA) by the end of year 2003. In
fact ASEAN has proved to be an important example of regional integration and is currently
developing as an important active and useful agency of regional cooperation for development
among the member countries.

The South Asian Association for Regional Cooperation (SAARC)

While ASEAN prospered in the South Eastern region of the Asian continent, another regional
forum emerged in South Asia almost on the pattern of ASEAN and this regional association of
South Asian countries is known as SAARC. The seven countries of South Asia namely India,
Pakistan, Bangladesh, Sri Lanka, Nepal, Bhutan and Maldives joined hands to form a regional
forum modelled on the lines of ASEAN to serve as an agency or institution for promoting
economic and cultural cooperation among the members.

Its aims are : (i) the development of social, economic, cultural and technical cooperation among
the member countries (ii) it declared that the guiding principles of will be to respect
the principles of sovereign equality, independence, integrity and noninterference in each others
affairs (iii) it was also stated that decisions at all levels shall be taken on the basis of consensus
and that bilateral and contentious issues shall be excluded from the deliberations (iv) it was
further accepted that the regional cooperation shall be complementary and supplementary to the
bilateral and multilateral cooperation among the member states.

Regarding the organisational set up, the Charter stated that the heads of the states or governments
shall meet annually and a Council of Ministers consisting of foreign ministers of the member
states shall be constituted to formulate policies, to review the progress of the cooperation, to
. establish additional mechanisms and to decide on matters of general interest. This Council of
Ministers shall be assisted by the Committee of the Foreign Secretaries of the member states.
It also laid down the setting up of Technical Committee, comprising of the representatives of
member states for implementing, coordinating and monitoring of programmes and Action Committee
for the implementation of projects involving more than two states. It was also affirmed that a
Secretariat for the Association shall be established at an appropriate time which is presently
functioning in Kathmandu in Nepal.
8.5.7 Integration of Asia-Pacific Countries: Asia Pacific Economic
Cooperation (APEC)
Another prominent example of regional integration can be seen in the APEC Forum of 21
nations of Asia and Pacific regions popularly known as countries of the Pacific Rim. Some of
the most powerful economies united to form this entity known as APEC. It was formed in 1989
at the initiative of the Australian Prime Minister, Mr. Bob Hawke. Its original members were
12 countries-the US, Australia, Canada, Japan, South Korea, New Malaysia,Thailand,
Singapore, Philippines, Indonesia and Brunei. China, Taiwan and Hong Kong joined it in 1991.
Mexico and Papua New Guinea joined it in 1993 and Chile in Russia, Peru and
Vietnam also became the members of this forum in 1998.

APEC is primarily engaged in promoting free trade and investment. It supports the
market for information technology and commits for an action plan for dismantling economic
barriers. The APEC members endorsed the declaration of a framework of principles for economic
cooperation and development in APEC. It also decided to work together with private-sector
representatives and financial institutions and develop a framework for
involving the private sector in infrastructure provision. further decided to work closely with
business sector to facilitate the movement of business people, enhance investment flows and
strengthen investment protection and involve the private sector in infrastructure planning.

APEC, as such, is not only the manifestation of regional integration but also an effective group
to promote and emphasise global integration.

8.6 AND STRENGTHENING OF STATES

From the above description of some regional groupings it becomes clear that the regional
organisations are similar neither in their objectives nor in organisational structures. The point for
emphasis is that the cornerstone of regional integration is that established states are capable of
and implementing agreements with other countries. In the words of "It is no
coincidence that the most elaborate examples of regionalism have occurred in regions where the
legitimacy of both nations and regimes is not widely called into question". The European Union
is a good example: strong states have come together, pooling some sovereignty, to create a
.regional body with unique powers. In contrast, the countries of South Asia, not sure of their
strength vis-a-vis each other and also facing internal tensions have not succeeded much with
SAARC experiment. Thrust is on pooling of sovereignty that need not be stretched too much
as loss of sovereignty.

One specific problem, according to Rod Hague and Martin which regional developments
pose for national governments is managing the domestic political implications of creating the new
zone. The political set-up costs can be considerable. Establishing a free trade area many offer
economic gains to a member'country as a whole but losers within each state will still complain
and the general gains from increased trade are less visible than the damage caused to specific
jobs, corporationsand industries. Of course, one way to solve this problem is by creating a sense
of identity with the larger region. For instance, the European Union has made strenuous efforts
to develop a European identity, paralleling the efforts of early nation-builders to create loyalties
to new states. Yet so far regions lack the emotional pulling power of established nations. Thus
 lnspite of suck problems the trend towards regionalisation is on the increase. States do not find
in this loss of sovereignty;rather, this is seen as strengtheningthe states through mutual cooperation
and support.

8.7 SUMMARY
There is no denying the fact that the virtues of regional integration are manifold. Through
participation in regional integration organisations, the nation-states can secure increased economic
growth rates. The rapid economic growth registered by the Western European states offers a
matchless example. integration helps nation-states in invigorating in international
relations besides being helpful in resolving conflicts among themselves. Socio-economic and
cultural integration can always lead to a gradual political integration which, in turn, can in
lead to the emergence of a World Federation. Besides, in this age of ever increasing
interdependence, integration can help the states to achieve their desired objectives and
goals without losing their identities or compromising their prestige. Regional integration, quite
successful as it is in different parts of the world, can certainly lead to peace, prosperity,
development and stability in international relations thereby reducing chances of war among
different

The integration of Western Europe bears out the fact that regional integration can lead to all-
round development and prosperity. It must be accepted as a healthy trend. It offers a meeting
ground for the supportersof both nationalism and internationalism. It can secure the benefits of
progress through mutual cooperation, collaboration and accommodation in international relations.
However, several negative and hindering trends like Cold War, security alliances,militarism and
several vital international problems like the issue the increasing gap between the rich
and the poor nations, the failure to achieve disarmament and arms control, continued love for
narrowly conceived goals of nationalism etc., are bound to hinder the strengthening of the trend .
towards regional integration. Nevertheless,the process of regional economic integration helps in
enhancing and building international relations without loss of sovereignty of states if that
is not in narrower sense.

. 8.8 EXERCISES

1) Critically examine different models across the world in developing regional integration.

2) Discuss the impact of regional integration on the sovereignty of a nation-state.

3) Analyse the main benefits of regional integration for states individually and collectively.
 UNIT 9 INTERNATIONAL AND STATE

I
Structure
9.1 Introduction
9.2 Historical background
9.3 Classification of International
9.3.1 Classification based on Functions
9.3.2 Classification based on Field of Operation
9.3.3 Classification based on Government and State Treaties
9.4 National State-System and its Interaction with International Organisation
9.4.1 lssue of Sovereignty
9.4.2 of Sovereign Equality
9.5 International Organisations: Their Impact on States
9.6 Summary
9.7 Exercises

9.1 INTRODUCTION
International Organisation is a process of organising the growing complexity of relations.
International organisations are the institutions which represent the phase of that process. They
are the expressions of, and contributorsto, the process of international organisation, as well as,
the significant factors in contemporary world affairs. Today the world contains numerous
international

However, the state still continues to be the prime political unit through which the aspirations of
the people of a particular territory are realised. But there is a growing desire to understand the
people of other countries and cooperate with them. The technological developments have been
an important factor in bringing the people together. As a result, no state, however powerful, can
act in isolation. The relations of the people and the governments all over the world are likely
to be affected even by the actions of the smallest and weakest of the states. Hence, the
statesmen have devised institutions through which effective international cooperation can be
ensured. These institutions are being evolved through a long and continuous process, which is
still on.

Thus, international organisation is the process by which states establish and develop formal,
continuing institutional structures for the conduct of certain aspects of their relationship with
each other. It represents a reaction to the extreme decentralisation of the traditional system of
international relations and the constantly increasing complexityof the interdependenceof states.
To the extent it organises the unorganised world, it be regarded as manifestation of the
'organising process' on the international level; to the extent it institutionalises itself in an attempt
to adapt its mechanism to the requirement of interdependence,it may be regarded as manifestation
of 'developing institutional structure' as an important factor in world affairs. The relationship of
these organisations with states and the impact they have on states powers and natures is
determined by various factors.

108
9.2 THE HISTORICAL BACKGROUND
A sound understandingof the historical background makes us that international organisation
is a distinct phenomenon of world politics; it is a recent growth, but it has become an established
trend.

are four prerequisites for of international organisation:

1) The world must be divided into a number of states as independent political units

2) A substantial measure of contact must exist between these states

3) The states must develop an awareness of the problems which arise out of their coexistence
and

4) On this basis they must recognise the need for creation of institutional devices and systematic
methods for regulating their relations with each other.

It was in the nineteenth century that these four prerequisites were satisfied in measure
and in proper combination to bring about the birth of modern international organisation. The
realisation that war is a menace to the welfare and happiness of humanity represent the mood
of anxiety and dissatisfaction as well as the awareness of the inadequacies of the established
principles and methods of international affairs.

The multi state system up to the nineteenth century was characterised by the doctrinal principle
of sovereignty that denotes authority without responsibility. States served as judges in their own
causes. They enjoyed a legal right to the arbitrary use of force. It was this sort of multi state
system which was recognised as inadequate under the conditions of international life as they
developed in nineteenth century. Therefore it was considered necessary and possible to
modify the free-wheeling responsibility of sovereign states. No doubt, the world of nineteenth
century continued the glorification-ofthe principle of separate and independent sovereignties and
the characteristics of the decentralised system of international relations, but, at the same time,
it reacted to the awareness of new necessities by undertaking to achieve working restraints and
functional innovations through the initiative, consent and collaborationof sovereign states.
it fell on the shoulders of statesmen of the time to devise arrangement whereby the sovereign
units of the old system could pursue their interest and manage their affairs in the altered
circumstances of the age of communication and industrialism.

The first of the three major streams of development, whose rise may be traced to the Nineteenth
century, is the system of multilateral and high level political conferences. The Congress of
in initiated a series of conferences. However four major conferences between
1815 and 1822 revealed the fact that Europe was not ready for institutionalised management.
Nevertheless, the techniques of diplomacy had been changed from bilateral to multilateral. The
leaders of the major states constituted themselves as Concert of Europe which met sporadically
some thirty times in the course of the century to deal with pressing political issues. Diplomacy
However the contribution of conference system to the development of international organisation
should not be exaggerated. It produce permanently functioning institutions for handling
the problems of high politics and security. Conferences were sporadic rather than periodic.
Collaboration was improvised, not regularised and it rested upon the basis of the authority which
the great powers arrogated to themselves than upon clearly established legal foundation. The
conference system did not inaugurate a rule of law or produce an impartial agency politically
superior to national states and capable of upholding the moral standards of a larger community.
Sitting around the conference table did not transform selfish nationalist and arrogant power
politicians into collegiumsof world-minded, justice-oriented statesmen of humanity.

Nevertheless the political conference system contributed more to awareness of the problems of
international collaboration than to their solution, and more to opening up the possibilities of
multilateral diplomacy than to realising them. It produced the prototype of a major organ of
modern international organisation-the executive council of the great powers.

Through these agencies, the treaty-traditionallyan agreement negotiated by the representatives

of two or few states was transformed into multilateral convention-containing the quasi-
parliamentary nature of the proceedings.

This phase of the development of international organisation, which included various matters, led
to the emergence of wholly new groups-professional specialists,technical experts, international
civil servants, private group interests, humanitarian organisations, government and ministers
outside the foreign office, etc. These were participants in the business of international affairs,
which had hitherto been virtually a monopoly of diplomats,foreign ministers, and other statesmen
accustomed to wearing the mantle of sovereignty.

9.3 CLASSIFICATION OF INTERNATIONAL

The complexity of the modem has led to the creation of a large number of
international agencies and institutions. It is very difficult to follow any particular criteria in the
classificationof international The various principles which have been followed in
the classification of international organisations are as follows:

9.3.1 Classification based on Functions

The first classification is based on the function of the international organisation.On this basis
the organisations are classified as political, administrative and judicial. The political organisations
are primarily concerned with the preservation of international peace and security. The examples
of this are and ILO. The political organisations have comprehensive competence. The
administrative organisations have very limited aims and objectives.The trusteeship council is
primarily an administrative organisation. The third category consists ofjudicial organisation like
the Permanent Court of Justice and the International Court of Justice. This classification of
international organisationshas been branded as unscientific and is mainly based on convenience
for purposes of presentation and description. In fact it is very difficult to draw a clear cut
distinction between different organisationson the basis of their functions. However, the system
9.3.2 Classification based on Field of Operation
In the second instance the organisations can be classified on the basis of their field of operation,
as global and regional. A global organisation usually possesses universal membership and has
greater competence the regional organisations.A global organisation like the may have
within it regional bodies such as the regional commissions of the Economic and Social
Council - the Economic Commission for Asia, the Far East, Europe, Latin America. Africa
etc.' The regional cover a narrow region and have very limited powers.
In the fonnation of the regional the geographical consideration need not necessarily
guide their formation. Usually the regional organisations are formed by states with common
political objectives rather than states with common geographical areas. The examples of regional
organisations are NATO, WARSAW TREATY etc.

9.3.3 Classification 'Based on Government and State Treaties

The third criteria followed in the classification of the international organisations based on treaty
between states or a treaty between governments. Whereas the organisations based on treaty
between states embrace the totality of the state's institutions like legislature, executive and
judicial organ. The organisation based on inter-governmental treaty is concerned only with the
administrative wing alone. The examples of inter-state organisations are the Food and Agriculture
WHO etc. The examples of international organisations created by inter-governmental
treaties include the International Monetary Fund etc. Usually the inter-governmental treaties
create institutions which are non-permanent character like United Nations Rehabilitation
Administration. Sometimes international organisations are created through inter-governmental
treaties to overcome the constitutional difficulties.

9.3.4 Classification Based on Membership and Activity

Professor Norman Hill has suggested another classification of international organisation on the
basis of membership and activity. From the point of membership the international
art: (a) bilateral (b) regional and (c) universal. The examples of bilateral organizations are
international joint commission for US and Canada, Anglo-Egyptian condominium for Sudan.
Examples of regional are O.A.S., and the universal organisationsare the League
and the U.N.O. From the point of view of activities, the International organisations are either
general or functional. and are the examples of general organisations and the
International Cotton Advisory Committee,Rubber Study Group, Central Commission for Navigation
of the Rhine 1804, International Telegraphic Union, General Postal Union, etc., are the examples
of functional organisation. The other functional organisations are UNESCO,
WHO, IFC, IMC, UPO, WMO etc.
Thus we find that no single principle can be followed regarding the classification of international
organisations. They fall under different categories depending on the nature of their functions,
areas of operation and the manner of their creation.

9.4 INTERNATIONAL AND NATIONAL

SYSTEM
The international as its historical background reveals, is neither self-contained nor
system. And because of its intermediary position between the two systems, it adapts to
developments which occur at both the levels.

Normally the government of a nation-state monopolises the force of the community and sternly
prevents any violence the conflicting groups of its society. But international society
clearly lacks such order; indeed it has long recognised extended violence or war as a legitimate
end of the state for welfare and security. International organisation was to begin in
the shadow of this acknowledgement, keep itself within the short perimeter of peaceful co-
operation, and avoid any direct challenge to the traditional war powers of nations. The Hague
peace conferences tried to the "practices of international war"; the League of Nations
sought to regulate "international war itself'; the United Nations was designed to "eliminate all
aggressive wars." Although the success of each of these three endeavours to block the arbitrary
practice of violence by nations against each other may be sincerely questioned,the objective of
international organisation in this respect remains clear.

Another of intemational compared to the nation-state according to

comes from their incapacity to reach the individual. An international organisation has no claim
upon the citizens of a nation-state; it cannot levy taxes upon individuals or seize, try or punish
them for violation of international law. On the other hand, it is only fair to say that these
conditions do not keep the government of a state from effectively discharging its international
obligations.For example, although states have opposed an increased of contributions
for them by an international organisation, they have dutifully taxed their citizens for the
extra expense .

sum, the potency of international organisation, in the context of national-state system, depends
first upon the extent it traps the arbitrary, war-making power of sovereign states; second, on its
ability to impress national with international obligationswhich will control individuals
under their jurisdiction.

However, the modern intemational organisation differs from the past in three major respects. Its
foundation is still the treaty or inter-state contract, but now its emphasis has changed. First, the
stress is on agreement" rather than a bilateral accord; second, treaties under
modem international organisation attempt to harmonise"continuity" and "serf-perfection"of the
basic documents with "modification"of the terms; third, and most characteristically, modem
international organisation is"institutionalised" by periodic councils and permanent secretariat.

In general international organisation is the product of those developments which occur at the
level of national-state system, and as such its essential characteristics may be discerned as
follows: They are composed of states and represent national government. All members are
sovereign equal. They do not exercise legislative or executive powers binding on the member
states. Their functions are, primarily, to engineer inter-governmental collaboration. These
characteristics have been divided under the following four headings: the government basis of
participation which inherently contains the problems of sovereigntyand membership; the equality,
a corollaryof sovereignty, which generates the problems of national power, regionalism and bloc
voting and unanimity vs. majority (including veto); and the non-mandatory power; and the
function as the residual powers of the international organisation.

112
 9.4.1 lssue of Sovereignty

It is a strange that the sovereignty of states is considered as a symbol of forces which

prevent the level of co-operation from increasing, but, at the same time, its recognition
is seen as part of that process which made it possible to establish international organisations.
In their origin, international institutions owe much to the recognition even in an uncertain way
of sovereignty.

Paul Taylor suggests, International organisation may be said to exist at frontiers of sovereignty
and international order. They represent at present a balance or tension between the requirements
of national flexibility and independence and international authority. But strangely enough their
beginning had to wait upon the acceptance of the view that the states were indeed separate,
autonomous entities, and that the government should be regarded as sovereign. Having been built
upon the sovereignty of governments, international organisations are in one sense devoted to its
destruction; they are opposed to the essence of those principles on which they are based.

In the early period, despite the existence of political entities which could be called states, there
was but a weak recognition of the idea of states as separate sovereign entities. Peace schemes
I
laid no stress upon the integrity of national governments structures. And international law too
failed to distinguish clearly between the law of the peoples and a system of law which was the ,
I special concern of governments.

of Europe for the of the international problems

Yet, having been established on the basis of ordered systems of separate states and the recognition
of the of governments, international organisations are dedicated to the deflection of
that search for national autonomy which is one of the consequencesof sovereignty. A new quest
for unity is contained within quest for international cooperation. And the concept of the
sovereignty of states as a way of reinforcing the power and independence of princes is now
one of the ordeals facing those who set out upon those quest.

What elements confer or justify sovereignty in the State? The way in which we answer this
question makes a great difference to our understanding of the effects of international cooperation
upon the status of governments. And the way that statesmen justify sovereignty and understand
it affects the role in which they are prepared to allow international organisation.

9.4.2 of Sovereign Equality

Equality, a corollary of sovereignty, requires, in principle, that each member as a sovereign state
is entitled to the same rights of participation in the work of the organisation and the same
benefits to be derived from it, regardless of size, population, wealth or power. In principle
equality of members also demands the sharing of same obligations.

Thus, in the United Nations, every member state casts one vote and every state is eligible .
 speech. Curtailment a delegate's remarks might be interpreted as discrimination
against his government. Chairmen and secretatties of committees are usually chosen so
every state may feel it has received a fair share of the positions of honour and responsibility.
Position of responsibility is customarily rotated from session to session to afford the widest
possible distribution among the member states. In the Security Council of the United Nations,
the chairmanship rotates every month according to an alphabetical order, so that each state
occupies it at least once a year. It must be noted that respect for national equality is the keynote
and major stumbling bloc of the international consultation process.

The principle of equality is not applied universally, however. Five big powers have permanent
seats on the Security Council and unlike the other states, can veto action on matters of substance
before the Council. The members do not contribute equally to the support of the United Nations;
the budget is apportioned among them on an agreed scale, reflecting capacity to pay. In the
International Monetary Fund and the International Bank, voting is weighted according to the
shares of stock held by each country. Differences in power and wealth among nations are also
acknowledged in the informal influence exerted by states on the conduct of organisation's
business.

In short, despite some token of respect for equality, the difference, that exits between equality
in principle and actual capacity to equality, has created so many problems, such as national
power, regionalism and bloc voting, the unanimity vs. majority rule in the decision making, the
veto etc. These problems have created a sort of crisis, particularly, where and security
issues are at stake.

9.5 INTERNATIONAL : IMPACT ON

STATES

A fundamental characteristic of an international organisation that emerges in the context of

multi-state system is its lack of legislative and executive power. The United Nations did have
a general responsibility to maintain peace and security, promote economic betterment or protect
human rights by any or all means. But this view can hardly be sustained considering the
interestedness of most of those who have advocated it. They use it when it suits their particular
interest and oppose the rationalisation with equal vigour when it cuts against them. Furthermore
international agencies are often directly prohibited interfering in matters which are considered
with the 'domestic jurisdiction' of a state. But these 'hands-off provisions' have sometimes been
loosened by interpretation to permit an international organisation to override objections to its
competence by affected states.

Even within their recognised jurisdiction, international agencies rarely have the authority or
means of compelling states to accept. They can recommend but cannot dictate to governments.
They study, discuss, plan and propose action, but do not legislate. The United Nations General
may approve unanimously a programme for technical assistance to under-developed
areas or for rendering relief and medical aid to children, but these efforts can be effective only
to the extent that each government individually agrees to support them. The ILO may propose
a convention limiting the work in dangerous industries, but it can have no effect unless
it is ratified and enforced by national governments. International organisation does not have the
power to tas, individuals or governments to meet its budget, though in the United Nations and

114
certain other bodies, failure to pay approved assessments may deprive a state of its vote in the
organisation.Generally, however, the international agency must rely either on the self-interest of
the states or the influence of public opinion to secure the execution of its recommendations.

Among the specialised agencies-the UPU has, in effect, made decisions binding on national
governments, for no country has been willing to incur the consequences of exclusion from the
Union for failure to carry out the prescribed regulations, however much it might dislike them.
Similarly the IMF and the World Bank also have a powerful sanction in the threat of denying
the benefits of the organisations to a state that will not carry out action demanded by them.

The result is that the nature of International Organisation is exclusively collaborative.It is aptly
expressed by the Charter of United Nations as harmonising the actions of states in the
attainment of the common ends. Consultations and conferences are consequently,the dominant
activity of international agencies. Modem international agencies are perpetual process of preparing
for holding or reporting the result of world 'town meeting'. Depending as it does on voluntary
cooperation to accomplish its end, it must continuously seek through discussion and debate the
reconciliation of differing national points of view and the widest possible area of final agreement
among states.

9.5.1 The Different Views

In view of the above the impact of international oragnisations on nation states is a matter of
controversy. One perspective is that International Organisations have become important political
factors, exerting significant influence over their member governments. After all, setting up an
International Organisation creates a body with its own employees and agendas. In due course
they develop their own interests and perspectives. As Rod Hague and Martin Harrop suggest,
even though most lack an enforcement mechanism, most states do comply with
their decisions. Backsliding is unusual. The mechanismsof international governance-conferences,
discussions, treaties and statements are characteristics of modern politics and an appropriate
response to a world which lacks a global government to address global problems.

A more critical view is that International Organisations are mere decoration designed to correct
the continued pursuit of national self interest. The agreement is that Organisations
do not govern states; rather, dominant states govern through The 1991 Gulf war as also
some suggest 2003 Iraq War was won by American Forces protecting their country's oil supply.
The United Nations label, secured by the USA, was a convenient brand under which it could
continue to pursue its national self interest. More generally, the developed world put in place the
entire post war international system, including its trading regime, to benefit its own economic
interests. Thus, as Hague and Harrop point out as a rule, strong states only comply with
International Organisations decisions because they just commit themselves to what they are
already doing.

While realists are surely correct to suggest that strong states retain of their traditional
-autonomy, it is also the case that International Organisations have several advantages for all I

states. They provide information and advice. They are useful for endorsing unpopular policies,
providing national governments with both a conscience and a scapegoat, for unpopular decisions.
In addition, membership of universal organisations, especially the UN confirms to all and sundry

115
 (including domestic opponents) that rulers acquired statehood and sovereignty.
Joining the UN reduces vulnerability to external threats since the U N Charter expresses the
, principle of non-interference in domestic affairs. Further International Organisations can lead
states to appreciate the extent of their common interests and reduce suspicions between them
through achieving concrete results beneficial to all. In particular, International Organisations are
necessary for addressing complex issues which cannot be solved by single states using traditional
military means. .

Whatever the differences in views about relationship between states and International
Organisations, the fact remains that International Organisations do affect states to some degree.
As Hague and Harrop point out that at the very least, belonging to several International
Organisations complicates the task of governance. States must arrange to pay their subscriptions,
attend meetings, their national interests, consult with interest groups back home, initiate
some proposals, respond to others and implement agreements. These activities dilute the distinction
between domestic and foreign policy. The biggest domestic loser international integration
is probably the legislature, which may only learn of an internationalagreement the government
has signed up.

The real that states face is that of intervention. When the international community
forcibly interferes in states' domestic affairs, national sovereignty is clearly violated, just as the
dissolution of the Cold War encouraged the emergence of international community to authorise
several such interventions usually on humanitarian grounds. Examples include Iraq, Rwanda,
Somalia and Kosovo. Whatever the success or future of these operations, they must cause us
to question the continuingvitality of national sovereignty. This has raised an important question.
Here the autonomy of a state now becomes conditional on its good behaviour as judged by an
emerging International Community. The entire history of the state system is based on non-
intervention, a tradition that was reinforced during the Cold War. But first th se of
and later the rise of international terrorism particularly the events of 11
2001 have opened up new possibilities.The sovereignty autonomy and role of state in global
context tlius have revised new questions, answers to are yet not clear.

9.6 SUMMARY
The state today is functioning in a new environment of global context, international politics and
changed interpretations of sovereignty autonomy etc.; the earlier position in the context of
national-state system is that the jurisdiction of international organizations is restricted.
They are authorised to act only within the well-defined limits and when they are disposed to go
beyond in an effort to be effective, they are sharply hauled back by states that wish to
exercisean independent initiative. International organisations must depend on national governments
to implement their decisions. They can rarely carry through a programme under their own
administration.

It did not, however, mean that international organisations depend solely on national-state
system and do not, in turn, affect it. record of their achievements in peaceful
settlement of international disputes, in economicand social cooperation, in protection of human
rights, and in other tasks for which they are responsible, of course, have been the final test of
!
effectiveness.

116 I
There is some evidence of growing respect for the and programme of international
organisation both among government? and peoples. The expanding role of the United Nations
General Assembly is significant in this regard. Serious political and economic
international relations have been placed before it and top political and diplomatic leaders have
participated in its deliberations.Though action on issues has been inconclusive, the fact
remains that governments have attached much importance to presentation of their policies
before the and have indicated considerable concern about its ultimate verdict. The
tangible results of international functional activities have also added substantially to the prestige
of international organisations. People have been able to see it in terms of concrete benefits -
food, medicine, rehabilitation, seeds for new crops, safety measures in civil aviation
and this has bred confidence that international organisation can act as well as talk. Such respect
and confidence is both a sign and condition of effectiveness. There also emerged the
process of direct intervention in the domestic affairs of states by international or in
some cases by individual states with tacit or implied of international All these
have raised new questions with regard to the issues of sovereignty and place of state
in the international community.

9.6 EXERCISES

1) Evaluate the historical perspective of international organisation.

2) Briefly analyse the classification of the international organisation.

Critically relationship between the International Organisation and the National

3)
State-system.

4) Organisations have on powers and

117
I
 10
CORPORATIONS AND STATE
Structure
10.1 Introduction
10.2 Towards a Definition of Corporation
10.3 Globalisation and the Changing Nature of MNCs.
10.4 State and MNCs
10.4.1 Key Features of the State
10.5 increasing Clout and the Erosion of Sovereignty
10.5.1 Financial Flows and the Loss of Sovereignty
10.5.2 Triangulation of Trade and the Loss of Sovereignty

I 10.5.3 Regulatory Arbitrage and the Loss of Sovereignty

I 10.5.4 Extraterritoriality and Sovereignty

10.6 Perceptions of the MNC-Enthusiasts
10.7 Perceptions of the MNC-Skeptics
10.8 Summary
10.9 Exercises

10.1 INTRODUCTION

Recent years have witnessed fierce debates between the protagonists and the critics over the
changing role of the state in the face of prolific rise of multinational corporations (MNC) in a
fast globalising world. While the protagonists have been rather quick in proclaiming the 'end of
the state', the critics sound reluctant over such a possibility. Instead, they believe that the case
for the obsolescence, let alone the demise, of the nation-state has been overstated. However,
both share one common understanding about the status of multinational or transnational
they have become extremely important transnational political actors to be
ignored in any meaningful study of comparative politics. Shaping much of the outcomes in the
world today, transnational corporations, as the very name suggests, have spread across the globe
at unprecedented rate and pace. The size and wealth of Multinational Corporations are too large
to be ignored by the students of comparative politics. Although most analysts agree about the
vast scope and volume of these corporations, they disagree strongly about their utility for the
international system in general and for specific types of nation-states in particular. For the
purpose of this unit, we shall refer to the supporters of multinational corporations as
enthusiasts, and to their detractors as MNC-skeptics. However, before getting down to analysing
the relative strengths and weaknesses of the multinational corporations and their impact on the
nation-state, we must begin by providing brief definitions two important - multinational
corporation and state.
10.2 TOWARDS A DEFINITION OF
TRANSNATIONAL CORPORATIONS
Controversy over a precise definition of Multinational Corporation (MNC) appears to be far
from over. Even though the two terms, multinational and transnational, are often used
interchangeablyin the literatureof comparative politics, different scholars attribute distinct meanings
to them. Widely perceived as and 'stateless' entities by various globalists, a
multinational corporation can be conveniently defined as a firm based in a single home
country that invests in one or more other'states known as host countries. However, even
this relatively simple and less controversial definition raises a central issue regarding the implications
of foreign direct investment. For example, as Barbara Jenkins puts it, "Whose interests does the
represent: those of the home country, the host country, or the firm itself? This ambiguity
has resulted in a debate over the appropriate labelling MNC. Is it in fact a
entity with stakes and interests in many countries, or is it more accurately a transnational
corporation that serves the interests of the home country with little regard for the host economies
involved?"There are others who argue that the real is the corporation, which
is in fact only one part of a larger entity more correctly called a multinational enterprise.

No matter, whichever way one chooses to follow the debate, the controversy refuses to die
down while the MNCs continue to grow both in of size and profit. A look at the
comparative statistics of the growth of MNCs since the 1960s reveals an exponential rise in the
number of such corporations. Variously designated as 'multinational', 'transnational'
or 'global' corporations, the number of such companies have grown from 3,500 in 1960 to 60,000
in 1999. Some of these parent companies like Shell, Bank, Coca Cola, Ford,
or Nestle have more than 500,000 foreign Similarly, the aggregate stock of foreign
direct investment (FDI) worldwide has increased in tandem from $ 6 6 billion in 1960 to over
$4,000 billion in 1999, as compared with only $14 billion in 1914. The geographical size has also
widened with the result that even 'those industrialised countries which never had empires, such
as Sweden and Canada, and also some of the larger developing countries have seen some of
their companies expand transnationally. Among the 100 with the highest levels of assets
outside their home country, 50 are from Western Europe, 27 from the USA, 17 from Japan, 3
from Canada and one each from Australia, Venezuela, and South Korea'.

10.3 CHANGING NATURE OF MNCS

The nature of corporations has undergone a drastic change with the unfolding of
the process of globalisation around the world. This is evident from the changes that are fast
occurring at the level of production activities taking place within the MNCs. As against the older
times when there was a clear demarcation between production activities taking place at the
headquarters and secondary activities occurring in the subsidiary branches, now the companies
have become truly global, with the headquarters merely being a convenient site for strategic
decision-making. Gone are the days when a such as IBM could be regarded as an
American company with several foreign affiliates. Given the widespread expansion of sales
owing to revolutionary developments in the field of global communication, production activities
have today become truly global, and longer need to be located at the headquarters. .
Several new developments like the diversification of activities, adoption of global
, strategies with an emphasis on creating a uniform brand
II top management personnel from across the globe indicate beyond doubt full globalisation of

10.4
It is against such a backdrop of unprecedented rise in the significance of MNCs that
the political implications of on state are

STATE AND MULTINATIONAL CORPORATIONS

analysed. I

I I
In this context the balance between MNCs and Governments according to Rod Hague and
Martin raises in modem form, the age old question of the relationship between economic
and political power. In its form, the logic governing the relationship is simple; capital is
mobile, labour less so and states not at all. Companies can move their factories between
countries, but states, by are fixed in spare. As a result, countries must compete to
provide an attractive home for foreign direct investment. Providing an environment which at
least are as business friendly as that provided by competitor states is clearly a major challenge
for governmentsproviding potential for competitivederegulation and tax competition. MNCs
obviously look for low costs and taxes, the ability to take out of the country, weak or
pliable labour unions and predictable regulations, a work force with relevant skills, a stable
political and business environment and efficient transport and communication. The Governments
are forced to compromise on various issues to accommodate the needs and demands of MNCs,
compromising their sovereignty.

One of the most widely used definitions of the concept of 'state' is advanced in terms of being
'the sole unit of political rule' with its own population, territory, and an autonomous
or sovereign government. Of all the features, it is the accompanying notion of sovereignty that
has really consolidated the dominance of state by authorising it to act as an independent and
autonomous entity both within and outside their territorial jurisdictions. It is also this very same
feature of sovereignty of which has come in for severe attack from the advocates of
multinational corporations who not only argue that the sovereignty of the state is fast eroding,
, but also that it is fast becoming redundant and obsolete in the face of the rise in the significance
of MNCs as transnational political actors. Similarly, the future of nation-stateas a viable political
unit has further come in for attack from a number of other external sources. Growth of
supranational bodies like the United Nations and the European Union, the advance of economic
and cultural globalisation, and the need to find international solutions to the environment crisis
I
are fast rendering the institution of the nation-state meaningless. Moreover, with increasing
globalisation of economic life, the character of the markets has undergone radical
transformation. In the changed international context, markets have become world markets,
transnational corporationscontrol most businesses,and capital is moved around the globe
in the flick of an eyelid. All this has resulted, the argument goes, in the of the power
of nation-statesin regulating and controlling their economic destinies. Before examining the issue
of erosion of the sovereignty of the state, let us have a quick look at some of the key features
of the state.

10.4.1 KEY FEATURES OF THE STATE

Andrew Heywood's of five key features of the state can be very useful for our
purpose here and are thus being reproduced below:
 The state is sovereign. absolute and unrestricted power in that it stands above
all other associationsand groups in society. Hobbes conveyed this idea by portraying
the state as a 'leviathan', a gigantic monster, usually represented as a sea creature.

State institutions are recognisably 'public', in contrast to the 'private' institutions of civil
society. Public bodies are responsible for making and enforcing collective decisions, while
private bodies, such as families, private businesses and unions, exist to satisfy individual
interests.

The state is an exercise in legitimation. The decisions of the state are usually (although
not necessarily) accepted as binding on the members of society because, it is claimed, they
are made in the public interest or for common good; the state supposedly reflects the
permanent interests of society. I

The state is an instrument of domination. State authority is backed up by coercion; the

state must have the capacity to ensure that its laws are obeyed and that transgressors are
punished. A monopoly of violence' (Max Weber) is therefore the practical
expression of state sovereignty.

The state is a territorial association. The jurisdiction of the state is geographically defined
and it encompasses all those who live within the state's borders, whether they are citizens
or non-citizens. On the international stage, the state is therefore regarded (at least in theory)
as an autonomous entity.

Having seen some of the important features of the state, we are now perhaps better equipped
to analyse the issue of loss of sovereignty or autonomy of the state and relative strengths and
weaknesses of the arguments of the two broad categories of soholars that we have above
identified as and

10.5 MNCS' INCREASING CLOUT AND THE EROSION OF

SOVEREIGNTY
Peter Willetts in his recent study of a whole range of transnational actors, including multinational
corporations, identifies some of the important grounds on which states appear to be fast losing
their abilities to maintain their sovereign authorities. These grounds are being outlined below with
a view to enabling you to appreciate the nature and extent of increasing clout in
determining their own future by bypassing the all-powerful states in the process.

10.5.1 Financial flows and loss of sovereignty

Analysing the political impact of excessive transnationalisation of major companieson the states,
Willetts argues that "it is no longer possible to regard each country as having its own economy".
This has had its most severe impact on the abilities of the states to exercise effective control
over two of the most fundamental attributes of sovereignty control over the currency and
control over foreign trade. By illustrating the case of increasing intra-firm trade and frequent
recourse to fixing of transfer prices that the take, Willetts shows how the states are fast
losing their sovereignty in respect to control of financial flows. trade basically refers
 to a process in which international trade takes place between one branch of a TNC and an
of the same company in a different country. In the case of bauxite all the trade is
firm and hence there is no such thing as a world market for bauxite. Transferprice is the price
that is set by a TNC for intra-firm trade of goods or services. What happens under this is that
for the purpose of accounting a price is set for exports, but it is not necessary to relate it to
any market price. Hence, changes in the transfer price do not necessarily have any effect on
the sales or the global pre-tax of the company. As Willetts observes, "As the logic of
intra-firm trade is quite different from inter-country trade, governments cannot have clear
expectations of the effects of their financial and fiscal policies on this has clearly
resulted in the erosion of the sovereignty of the states in respect to control over financial flows.

10.5.2 Triangulation of Trade and Loss of Sovereignty

Increasing recourse to the means of 'triangulation' by companies has become a standard

technique to evade the control of states over trade. The process of triangulation refers to a
situation in which trade between two countries is routed indirectly via a third country. By
illustrating the case of Falklands war between Britain and Argentina, Willetts shows how even
in the face of economic sanctions imposed by the European on Argentina companies
could still indulge in triangulation, sending their exports via Brazil or Western Europe. It was also
possible for transnational companies to alternatively shift orders to a branch in a third country.
All this clearly shows that while it could still be possible for states to prevent direct import or
exports of goods, it well nigh impossible to prevent indirect trade from one country
to another. Willetts argues that the power of triangulation currently vested in TNCs can, perhaps,
only be effectively countered by a Security Council resolution, but even in such a situation
over the relevant trade would then lie with the Securitv Council and not with the

I
individual governments'.

10.5.3 Regulatory Arbitrage and Loss of Sovereignty

The diminishing control of governments in respect to regulating the commercial activities of

companies within their countries due to frequent recourse to what has come to be called
'regulatory arbitrage' by MNCs constitutes another ground on which sovereignty is being
compromised. The two terms 'arbitrage' and 'regulatory arbitrage' have specific meanings in
the context of control being exercised by MNCs over different governments. While Arbitrage
to the simple process of buying a product in one market and selling it in a different market,
in order to make a profit from the difference between the prices in the two markets, regulatory
arbitrage is used in the world of banking. Regulatory arbitrage refers to the process of moving
funds or business activity from one country to another, in order to increase profits by escaping
the constraints imposed by government regulations. By analogy, Willetts argues, 'the term can
be applied to any transfer of economic activity by any company in response to government
policy'. Even institutional mechanisms have been evolved at the international level to
regulate the commercial activities of transnational companies and banks, the mandate of such
international like the Basle Committee and European Community does not extend to all
countries. As Willetts observes, "whatever control is achieved does not represent the successful
exercise of sovereignty over companies: it is the partial of sovereignty to
body".

122
 10.5.4 Extraterritoriality and Sovereignty
Illustrating a hypothetical situation, demonstrates how the problem of
is inherent in the structure of all which leads to clashes of sovereignty between
different By using the example of a hypothetical company that has its headquarters
in the United States and a subsidiary company that it owns in United Kingdom, Willetts seeks
to show how three lines of authority exist at the same time. As long as the United States
controls the main company and the United Kingdom the subsidiary company, there would be no
conflict between the two, as they would be exercising their sovereign authority within their own
internal affairs. They would also be willing, under the normal circumstances, to concede certain
powers to the in respect to controlling its own policies on purchasing, production, and
sales. However, when the US government's decisions cover the global operations of the TNC,
there is bound to be a clash of sovereignty. This would inevitably put the subsidiary company
in a quandary, not knowing who to obey, the or the orders of the US government
issued via its headquarters? Such hypotheticalsituations have indeed assumed real forms in the
past, as in the case of the conflict over Siberian gas pipeline. Also, the United States has
I infuriated Canada by periodically ordering Canadian subsidiaries of US companies to avoid
selling goods to U.S. "enemies" such as Cuba and China through its Trading with the Enemy
Act.

10.6 PERCEPTIONS OF THE MNC-ENTHUSIASTS

view multinational corporations as huge economic combines that have the
requisite capacity, know-how, and wisdom to treat the world as a single economic unit and to
combine the factors of production like labour, land, capital, and management for maximum
production.They exhibit tremendous confidence in the ability of MNCs to produce
more and products prices, thereby satisfying the progressively rising global
demand for these products. The reason for this exuberance among the MNC-enthusiastslies in
their unflinching belief in the ability of MNCs to locate their plants, draw their resources, and
select their management staffs from countries that can provide each factor of production at
terms.

The MNC-enthusiasts look at multinational corporations as powerful agents of world modemisation,

especially among the less-developed countries. According to them, the MNCs create new jobs,
introduce advanced technologies, and train local citizens in the arts and sciences of modern
management in the less-developed countries of the world. One of the most important by-
products, therefore, of multinational corporate activity is the internationalisation of the production
and distribution processes. Owing their professional loyalties to 'rational economic-planning
structures' rather than to 'chauvinistic' or 'jingoistic' nation-states, the managers and employees
of multinational corporations become better citizens of the world, oppose 'anachronistic nationalism'
and war, and prepare the way for the development of world peace through world law and
government.

Indeed, the most powerful argument of the MNC-enthusiasts is that multinational corporations,
by spreading and intermingling their facilities and products globally, will eventually render the
practice of international war obsolete. The Atlantic community, which was witness to two bloody
and destructive world wars, has undergone complete as a of prolific growth
of multinational corporate activities and because of the success of regional integration process
in the region. The MNC-enthusiasts argue that given the growing interdependency and mutual
stakes between the Atlantic countries today, it would be well nigh impossible to predict a war
between say States and Canada, or between France and Germany.
,
I

The views of the MNC-enthusiasts can finally be summed up by noting that they are all very
optimistic about the global corporate activities ushering in a 'new golden age of peace and
plenty'. The only thing that is needed in their views, however, is better international regulation
of multinational corporate activities which is not possible without the standardisation of different
national legal systems. Adoptions of such mechanisms, the MNC-enthusiasts contend, will not
only make effective transfer of capital, management, technology, and economic products highly
convenient, but will also genuinely transform the world into a homogenous legal community, a
"world village" or a "global shopping centre."

10.7 PERCEPTIONS OF THE MNC-SKEPTICS

In sharp contrast to the perceptions of the MNC-enthusiasts, the MNC-skeptics identify a whole
range of problems with the global corporate activities of multinational companies. It is not only
the poorer Third World countries which are apprehensive of MNCs, but concerns about serious
implications of the functioning of various MNCs are also constantly raised in the developed part
of the world. Several well-organised labour unions in the Western countries are of the view that
MNCs are fast moving their plants to areas of "cheap labour" resulting in serious unemployment
problems in United States, Britain and other developed countries of the world.

and Muller provide a very succinct account of the arguments of the MNC-skeptics. They
view the multinational corporationsas "the most powerful human organisation yet devised for
colonising the future." Directly attacking the MNC-enthusiasts who the global
corporate activities of the multinational corporations are ushering in a 'new golden age of peace
and plenty', and Muller argue that problems of mass starvation, mass unemployment, and
gross inequality do not even on the agenda of such corporations. Their main contention
is that MNCs are like 'absentee landlords', who are concerned primarily with their own profits
and are not at all sensitive to the fundamental human needs. By undertaking massive and
seductive advertising campaigns, these corporations are not only distorting the tastes and styles
of Third World inhabitants, but also fast transforming luxuries into necessities. Neglect of socially
vital issues such as nutrition, clean air, and public health by such corporations, the MNC-skeptics
argue, have become rampant. One is here reminded of the recent controversy that rocked the
Indian Parliament and the media over the mixing of pesticides in Coca-Cola.

are particularly concerned about the political fallout of growing MNCs activities
on the poorer Third World countries. In the absence of any regulatory mechanism, the future
of these countries would not only remain bleak, but problems like greater inequality, greater
unemployment, and extraction of natural resources will only worsen in the times to come.
However, according to and Muller, such a fate is not only reserved for the poorer
countries, but even rich countries will be affected in the long run. With the increasing migration
of factory and even company headquarters away from the United States and other developed
countries, the problem of and the attendant maldistribution of incomes will only
accentuate further in the industrial West. Finally, the main argument of the MNC-skeptics is that
multinational corporations are poorer countries and "progressively weakening and
destabilising" countries while becoming huge profit making bodies themselves. They conclude,
on a rather pessimistic note, governments in the Third World as well as in the industrialised
West will be'unable to stop this process of the concentration of wealth in the hands of a few
multinational corporations while everyone else impoverished.

10.8 SUMMARY
What comes out quite clearly from the above discussion is that multinational corporations have
not only become very important transnational political actors, but also that they have become so
rich and so powerful that they can influence much of the outcomes in the world today. However,
the complex interdependence between host countries, home countries,and firms that is created
by the MNCs' global networks will continue to generate controversy in the future. It is also a
fact that few countries are in a position to refuse international investment, they will
7
continue to question the MNCs impact on the national interest. No matter, how powerful the
MNCs have become today, the nation-states simply cannot be written off, if for no other reason
than the factor of sheer territoriality. Nation-statescontinue to exercise military and political
control over clearly demarcated territories and their inhabitants. Multinational corporations can
neither threaten the prerogatives of the states nor match the political clout that they wield, for
they are universally accepted as "the sole legitimate unit of political rule". The principle of
nation-state as a viable political is likely to gain in strength in the times to come.
For example, the creation of 18 new states in the later part of the twentieth century, if anything, ,
is a pointer towards this trend. The continuing strength of the state lies in its inherent power of
maintaining both cultural cohesion and political unity, thus allowing those who share a common
cultural or ethnic identity to exercise the right to independence and self-government. The
protagonists of state are all one in holding the view that no other social group can ever claim
to constitute an alternative political community. Implicit in such contention is the argument that
supranational bodies such as the European Union or multinational corporationswill never
be able to replace the state, and command the same kind of popular allegiance as that of the
state.

10.9 EXERCISES
I) What do you mean by multinational corporations? Discuss the changing nature of MNCs
in the age of globalisation?
2) Outline the key features of the state and explain the changing nature of state in the wake
of growing significance of MNCs?
3) How do transnational corporations affect the sovereignty of governments?
4) Outline the key arguments of MNC-enthusiastsand MNC-skeptics.
5) Critically examine the impact of multinational corporationson the developing nations of the
world.
6) feel MNCs are a vital new road to growth, whereas others feel they
perpetuate under-development. Explain.
UNIT 11 NATIONALISM: APPROACHES

Structure
11 Introduction
11.2 What is Nationalism
11.3 Distinction Between Nationalism and Related Terms
11.4 Rise of Nationalism and Features of National Identity
11.5 Approachesto the Study of Nationalism
1.5.1 Liberal Approach and Humanitarian Approach ,

1.5.2 Expansionist Approach

. 11.5.3 Marxist Approach
1 Integral-Fascist Approach
11.5.5 Anti-colonial Approach
11.6 'Nations Without State' and 'States Without Nation'
11.7 Globalisation and the Future of Nationalism
11.8 Summary
11.9 Exercises

11.1 INTRODUCTION

Nationalism has been called the religion of and centuries. As a way of thinking about
the world, it emphasises the importance of nations explaining historical developments and
analysing contemporary politics and also claims that 'national character' is a pervasive factor
differentiating human beings. Nationalism assumes that all human beings should have one and
only one nationality which should be their primary factor of identity and loyalty. This means that
people should see themselves as members of a nationality and be prepared to make any
sacrifices required to defend and advance the interest of a nation. As a doctrine of universal
applicability, nationalism claims that all people should give their highest loyalty to their own
nation. claims to represent the will people to be able to decide upon their own
destiny, their will to be respected as a to develop their culture and personality. During
the last two hundred years, nationalism has combined with the ideologies of liberalism,
and communism and emerged as a winner. Everywhere in the world, nationalism
comes first and other ideologies occup a second position. The national movements in the
colonial count ies in the first half of 20 century and the disintegration of Soviet Union in the
t
fag end of 20 century revealed the powerful force of nationalism. Today, we live in an age
where instead of peaceful nations feel constant threat of being annihilated.
Nationalism provides a useful tool for the preservation of their culture. This is all the more
important when, in the context of globalisation, there is an attempt at homogenisation of all the
communities.
11.2 WHAT IS NATIONALISM

Nationalism is a compound of many factors some of which have their roots in human nature
and many of which have a long history. Yet it is a modern phenomenon. To discover it is a
difficult undertaking and to define it in succinct phrases is even more difficult. In one sense it
is the extension of a group to which one belongs. this sense, it is a form of collective egoism.
In negative sense it is a manifestation of that fear of the 'stranger' with its roots deep in human
nature. In modern sense it of that love of the familiar land and people which is often
regarded as the core of patriotism. According to Hayes, nationalism has been used in many
different ways and it is commonly used 'to denote a condition of mind among members of a
nationality, perhaps already possessed of a national state, a condition of mind in which loyalty
to the ideal or to the fact of one's national state is superior to all other loyalties and of which
pride in one's nationality and belief in its intrinsic excellence and its 'mission' are 'integral parts'.
Similarly, Hans Kohn defines nationalism as a state of mind.. .. Striving to correspond to a
political fact.' On the other hand Gellner writes, 'Nationalism is primarily a political principle
which holds that the political unit and the national unit should be congruent...nationalist sentiment
is a feeling of anger aroused by the violation of the principle, or the feeling of satisfaction
aroused by its Giddens points to the psychological character of nationalism 'the
affiliation individual to a set of symbols and beliefs, emphasising commonality among the
members of a particular community'.

In short, nationalism has aspects: the political character of nationalism as an

ideology defending the notion that the state and the nation should be congruent and
its capacity to be a provider of identity for individuals conscious of forming a group
based upon a common past and culture, attachment to a concrete The power of
nationalism emanates from its ability to engender sentimentsof to a particularcommunity.
Symbols and rituals play a major role in the cultivation of a sense of solidarity among the people.

Thus in order to understand the concept of nationalism, we must keep in mind that

Nationalism is a sentiment that has to do with attachment to a homeland, a common

language, ideals, values and traditions, a particular group with symbols as
flag, songs which define it as 'different' from others. The attachment creates an identity
and the appeal to that identity has a past and the power to mobilise the people.

How a sentiment of attachment to a homeland and a common culture can be transformed

into the political demand for the creation of a state; how is it possible to make this transition?
A theory of nationalism has to deal with questions such as: how does nationalism use and
legitimise the use of violence in its quest for the creation of a state?

An important feature of nationalism is its to bring together people from different

social and cultural levels. Nationalism is not merely an invention of the ruling classes to
maintain the unconditional loyalty of the masses but also making believe that they
much in common that is more important than what separates them. This is one basic
factors in trying to understand the persistence of
 11.3 DISTINCTION BETWEEN NATIONALISM AND RELATED

I TERMS
In order to examine the political character of nationalism, a basic conceptual distinction has to
7
be made between nation, state, nation-state and nationalism. The term 'state is a legal institution
and usually refers to 'a human community that claims the monopoly of the use of
physical force within a given territory'. On the other hand, 'nation' is a human group conscious
of forming a community, sharing a common culture, attached to clearly demarcated territory,
having a common past and a common project for the future and claiming the right to rule itself.
A nation includes dimensions: psychological (consciousness of forming group),
cultural, territorial,political and historical. By the term 'nation-state', is meant the 'formation
of a kind of state which has the monopoly of legitimate use of force and which seeks to unite

I
its people by means of homogenisation creating a common culture, symbols, values, traditions
and myth of origin' . Nationalism is a sentiment of belonging to a community whose members
with a set of and ways of and have the will to decide upon
their common political destiny.

11.4 OF AND FEATURES OF

NATIONAL IDENTITY

The rise of nationalism was preceded by a rise in the national consciousnessand differentiation
of nationalities which took place between and centuries. Hayes contributes seven
factorsto the rise of national consciousness: linguistic and literary, political, commercial, economic,
ecclesiastical, religious, and cultural. Nations and nationalism are modem phenomena and nations
can be defined only in terms of the age of nationalism. According to Gellner, nationalism is the
result of some specific aspects of modernisation. It is the phenomenon connected with the
emergence of industrial society. Giddens relates nations and nationalism to the emergence of
modem state and locates it in the late century. Historically, kinship represented the first sign
of formation of larger groups attached to a concrete territory. Through the creation of markets,
the intensification of trade, the fightingof wars, the slow but progressive amplificationof state's
scope, there emerged the formation of a community conscious of itself which differed
others. It is at this stage that one can talk of emergence of nations. Thus the principal factors
responsible for the rise of nationalism can be enumerated as follows:

the individualistic climate of opinion that characterised renaissance and reformation

collapse of universal authority of the church

the desire of rising commercial classes for uniform trade regulations, abolition of feudal
obstacles to trade and for creating conditions under which trade could be carried-on
and profitably

iv) the desire for peace, order and security in an age marked by bloodshed, violence and
intolerance

v) personal ambitions of monarchs who allied themselves with rising commercial class in
 vi) the doctrine of territorial sovereignty, which offered the national kinds the most convenient
theoretical weapon with which to combat the claims of rival feudal or religious
The idea of one unified legal system affording order, consistency and certainty in governing
of all social relations within a given national area made a very strong appeal.
..
According to three factors ,can be ascribed to the rise of nationalism: Economic,
Military and Cultural. After the renaissance and reformation, the embodiment of universal laws
by the state regarding administration and taxation helped in the establishment of national markets,
provided unified markets for the expansion of national industry and in the conquest of foreign
markets. he creation of national unified economy helped in the development of a welfare state
in the 20 century. Secondly, in the military competition among the states, the states based upon
common nationality proved better because of the resources of national economy. Also they could
rely on the allegiance of unified national army. Thirdly, the nation-state was able to satisfy the
cultural - religious, ethnic, linguistic - demands of the people. Thus national consciousness
helped in consolidating the position of states and meeting the internal as well as external
challenges.

characteristics of National

the political aspect of nationalism as a modem phenomenon rising with the

state, the big question is what creates a national identity. In other words, along with certain
rational developments, there are less rational but not less important areas concerned with
creating a feeling and emotion. According to Guibernau, broadly speaking, there are three
factors which helped in the creation of a national identity: ij development of printing and creation
of vernacular languages ii) relationship between national identity and culture, and iii) common
symbols and rituals. Let us examine these factors in detail.

The development of vernacular languages after the invention of printing press in played
a decisive role in creating a sense of belonging to a community. National consciousness is
derived shared values, traditions and memories within a particular culture which is thought
and spoken in a particular language. Though vernacular is not an indispensable basis for the
creation of national consciousness, yet it does facilitates that creation. Where nation and state
were coextensive, education and the generalisation of literacy not only reinforced the possibility
of communication among the people but also helped in the development of a strong sense of
community. The development of English, French and German languages and education based
upon school system led to the creation of a strong national consciousness. When the state
manages to impose a culture'and language, it is 'nationalism which engenders nations.' If the
state is successful,it manages to develop, apart political, a combination of several relationships
such as economic, territorial, religious, linguistic and cultural. It is this state which creates a
nation.

Secondly, the key question with regard to national identity is - who am I? Identity is an
interpretation of the self that establishes what' and where a person is both socially and
psychologically. Identity exists in societies which define and them. In the current era,
the nation represents one of these communities. National identity is its product. The defining
criteria of identity are: continuity over time and differentiation. While continuity lies in the

I
historical roots, differentiation stems from the consciousness of forming a community with a

129
shared culture, attached to concrete territory which distinguish between members and 'strangers'.
This identity fulfils three functions: it helps in making choices such as right to decide about
their common political identity ii) it makes the relationship possible with others because nation
is a common pool in which individualswith a common culture live and work together, and
national identity gives strength and resilience to individuals to with an entity which
transcends them. Now this identity is created through the development of common culture
values, beliefs, customs, conventions, habits and practices that are transmitted to the new
members who receive the culture of a particular community. The process of identification with
the elements of a specific culture implies a strong emotional investment. From the point of view
of nationalism, a common culture favours the creation of solidarity bond among the members
of a given community and allows them to imagine the community they belong to as separate and
distinct from others.

Thirdly, in the creation of national identity, a powerful role is also played by symbolsand rituals.
Nation is a community which has similarities within itself and differences from others. The
consciousness of forming a community is created through the use of symbols and repetition of
rituals that give strength to the individual members of the community By favouring occasions
in which they feel united and by displaying symbols that represent its unity, a nation establishes
the distinction from others. For example, a soldier who for his flag dies so because he identifies
flag with his country. Also symbols like flag have the power to evoke particular memories or
feelings. This helps in the ability of nationalism to bind together people from different cultural
levels and social backgrounds. Symbols mask the difference and highlight commonality, creating
a sense of group. And last but not the least, individuals who share the same culture and feel
attached to a concrete land have the experience of a common past and a project for the future,
need to create occasions in that unites them is emphasised. In these moments, the
'individual forgets about himself and the sentiment of belonging to a group occupies the prime
position. Through rituals, individuals are able to feel an emotion of unusual intensity that springs
from their identification with the entity - the nation - which is above them and of which they
are a part.

Thus the force of nationalism springs not only from the rational thought alone but also from
irrational power of emotions that stems fiom the feeling of belonging to a particular group. This
double face of nationalism results from the way in which these emotions are either transformed
into a peaceful and democratic movement seeking the recognition and development of one's
nation above others and eradicate the differences.

11.5 APPROACHES TO THE STUDY OF NATIONALISM

During the last 300 years, nationalism has gone through different phases. Rising as a cultural
and humanitarian concept, it has been used and misused by different ideologies Liberalism,
Imperialism,Marxism, Fascism etc. It was a potent weapon in the hands of ex-colonial countries
in their struggle for national Nationalism has been approached fiom a wide variety
of perspectives ranging from liberal-rational to fascist-irrational. The main approaches are as
follows:
Liberal Approach to Nationalism
I) Humanitarian
Expansionist
 Marxist approach to Nationalism

Integral - Fascist Approach to Nationalism

Anti-imperialist approach to Nationalism

Let us study these approaches in detail.

11.5.1 Liberal Humanitarian Approach to Nationalism

It was the earliest kind of formal nationalism and is found in the writings of Bolinbroke,
Rousseau, Herder, Fichte, etc. According to Herder, mankind is divided by nature and
by reason into separate nationalities and it is through cultivation of the particular genius of the
nationality that both the individual and humanity as a whole make progress towards perfection.
Each national organism has its own peculiar individuality, a gift of nature and it is the duty of
the individuals who are a part of this organism to cultivate that particular genius. Nationalities
are distinguished from one another by historical traditions, by the possession of their own
language, literature, system of education, customs and in a well developed nationality by the
possession of 'national soul'. Herder emphasised the cultural part of nationalism, his exposition
of what basically must distinguish one nationality from another include factors such as geography,
climate, historical traditions, language, literature, education and manners. Similarly,
concept of 'people' meant a people who share a common language and historical tradition,
would have the means and inclination to assert the principle of popular sovereignty and to ensure
the operation of political democracy. It is the national institutions which form the genius, the
character, the taste, of a people which make one and not another, which inspire the
ardent love of the country founded on habits impossible to trace back to their sources.

But what is important to note here is that this sort of nationalism did not preach superiority of
one nation over the other and this nationalism was apolitical. 'The human race', Herder wrote,
'is one whole, we work and suffer, sow and harvest each for all'. The happiness of one nation
cannot be forced upon another; each must seek and find its own happiness in its own way.
Above all nations stand the ideal of humanity as a goal and guiding principle, a potentiality to
be developed and cultivated. He opposed imperialism and war of conquest for the purpose of
nationality. It is irrational despotism that seeks to bring peoples of different nationalities under
one rule. As a liberal and a nationalist, Herder welcomed the French Revolution and saw in it
the fruition of enlightenment.

Similarly, Fichte also believed that the individual best serves mankind through service to the
nation and cultivation of the particular genius of the nation. Like Herder, he also believed that
wherever a separate language is found, a separate nation exists. 'The first, original and truly
natural boundaries of states are beyond doubt their internal boundaries. Those who speak the
same language are joined to each other by a multitude of invisible bonds by nature itself, long
before any human art beings, they understand each other and have the power to continue to
make themselves understood more and more clearly.' After the Napoleonic conquest of
his views on nationalism were couched in highly chauvinistic language, the language national
patriots of all countries have used when they have sought to engender resistance to foreign rule.
It was out of such appeal to unity that the German national state finally emerged. In Fichte,
State, he argued on behalf of economic nationalism. Unless a nation becomes economically self-
sufficient, it could not survive as a political entity: International free trade, Fichte believed, led
to imperialism and war rather than promoting unity nations, it sowed the seeds of discord
and rivalry. Let each state strive for economic and one of the basic causes of
war will be removed.

Another representative of liberal humanitarian nationalism was Mazzini. He not only

stirred the passions of the Italian people on behalf of national unity and independence from
foreign rule but stimulated similar nationalistic movements throughout Europe. Like Herder and
Fichte, Mazzini declared that every people have its special mission and that mission constitutes
its nationality. This special is only a particular fulfillment of the general mission of
humanity. As he wrote, 'Humanity is the association of nationalities, the alliance of peoples in
order to work out their missions in peace and love; the organisation of free and equal peoples
that shall advance without hindrance and impediment... towards the progressive development of
one line ofthought of God, the line inscribed by him upon the cradle, the past life, the national
idiom, and the physiognomy of each. The Pact of Humanity cannot be signed by individuals, but
only by free and equal people, possessing a name, a banner and the consciousness of a distinct
individual existence'. Mazzini believed that the nation-state was the medium and agency through
which history manifests itself in its progressive development towards greater human freedom.
Through association in nations, individuals are able to fulfill their destiny in a way that would be
impossible for them as isolated individuals. Over and above individuals, comprising them in their
totality is Humanity and humanity manifests itself most clearly in nationalities. But instead of
rights, Mazzini emphasised on duties. A man has an obligation to himself, to his family, to his
community and whatever rights he may be said to have are an outgrowth and reflection of these
obligations. The highest obligation of a man has to serve Humanity for only by truly serving
humanity can he truly serve himself and his country. Only by forming national states can
nationalities serve humanity. But over and above loyalty to the nation Mazzini placed loyalty to
Humanity. Although Mazzini favoured wars of liberation that would result in the
of unity and independence for nationalities, he looked forward, after the restoration of the map
7
of Europe to its 'natural national boundaries, to a world dedicated to universal and perpetual
peace and unity.

In short, this approach laid stress on the humanitarian and cultural aspect of nationalism, the
natural right of man to belong to a nationalityand was opposed to the domination nation
over the other.

11.5.2 Expansionist Approach

Contrary to the vision of thinkers like Mazzini that the war of liberation would result in the
achievement of unity and independencefor the nationalities, the victories in the liberal wars
brought about the very evils which they were supposed to destroy. Rather they the
forerunnersand pioneers of wars more destructive and extensive than before. National unification
and democracy intensified international antagonisms and the broad mass of peoples active
participants in them. After the industrial revolution had spread to a number of European
countries and the American continent. The unified nations now had the cohesion and emotional
impetus necessary for policies of conquest - whethercolonial or otherwise. International disputes
now became controversies between nations where the interests of the peoples themselves
determining part. The triumph of nationalism and democracy strengthened the sovereignty of the
state and a stepping stone for national expansion beyond its frontiers. This led to a in the
theoretical justification of nationalism liberal, humanitarian to 'scientific' and biological one.
Nationalism was discovered by some writers to have a biological basis and imperialism was
discovered to be but a working out of the evolutionary principle of the struggle for existence and
the survival of the fittest. With this change, a scientific justification could be given to imperialist
expansion. Since it involved strife between nations, it could be compared to competition between
species for survival. For some writers, it was 'natural' and to some, it was essential to human
progress for strong nations to struggle for aggrandizement, and for the superior 'races' to
prevail. Given this biological urge on the part of the healthy 'races' and the presence of
'backward races', the logic of nationalism changing into imperialism became inescapable.
could be regarded as entirely consistent with the theory of subjugation and annexation
of weaker nationalities and backward peoples by states claiming statehood on the basis of
nationality. This approach to nationalism found expression in the writings
of Ludwig Gump lowicz, J.R. J.A. Cramb. Burgess, Treitschke etc. Let us study
their views in detail.

According to Gump lowize, the 'most natural tendency of state is incessant increase of power
and territory'. National expansion is an expression of the very being of a state, it is the inevitable
tendency that rulers and people are powerless to resist'. So necessary and so strong is this
tendency to foreign conquest that no state can escape it; whatever their size, they will attempt
to expand in territory and power and they will cease to do so only when they cease to exist.
Similarly, the great defender of British imperialism, J.R. urged his fellow countrymen to
become conscious of their destiny to undertake their imperial responsibilities with deliberation.
He used the word 'destiny' to describe the British imperialistic 'mission' much in the same way
that the phrase 'manifest destiny' was used in the United States during the 19th century to
justify the Westward expansion and by some to cover even more ambitiousterritorial aspirations.
Another English historian, J.A. Cramb offered an extreme form of British imperialism. For him,
the British were a race endowed with the genius for empire and such a race is compelled to
dare, to suffer all, to sacrifice all for the fulfillment of its appointed task. 'The civil, the feudal
or the oligarchic state passes into the national, the national into the imperial, by slow or
gradations, but irresistibly, as by a fixed law of nature'. In United States, Burgess talked about
the 'mission of the Teutonic nations of conducting the political civilisation of the world'. The
backward peoples of the world must be taught by conquest and the rulership of the Teutonic
nations how to live. It was declared that the combination of small states into larger political
aggregates must continue until the entire semi-civilised barbarian and of the
world are brought under the protection of the larger civilised nations.

Imperialism and war as an expression of nationalism found forceful expression in the writings
of Treitschke. He believed that state rather than being a means to an end was a self-sufficient
end in itself. The state must seek its own goal within itself and no individual has the right to
regard the state as a servant of his own aims but is bound by moral duty and physical necessity
to subordinate himself to it. He regarded war as 'the form of litigation by which states must
make their claims valid' and it is a drastic though beneficial 'remedy for the ailing nation'. War
is a test whereby the weak and cowardly are recognised and 'perish justly'. Small states have
a duty to grow larger for such growth' is a sign of the moral stamina of a people'. It is essential
to the of the state and to the belief in its own future that it should seek to grow in size.
 If Germany was to achieve the status of first rate power among the nations of the
Western world, she must acquire overseas territory.

Thus nationalism which was formerly justified as a means of and extendingthe cultural
bond among homogeneous group, became an end in itself and a means of imperialistexpansion.
It became a potent weapon in the hands of industrialised countries of Europe and America to
conquer the under-developed lands of Asia, and Latin America.

11.5.3 Marxist Approach

The idea of nationalism and the nation-state had a different connotation in Marxism. Marx
declared that the societies were divided not on nationalities but on class basis. The purpose of
the state is the protection of vested interests of the dominant class and as such the state does
not represent the nationality but the class interest. Writing about his own times, Marx emphasised
that although the capitalist-liberal state talks of national interest, industrialisation has created a
working class which has a universal interest irrespective of nationality, as a of which the
concept of nationality is almost dead in industrialised countries. Extreme nationalism is an
ideological means which helps in'the class domination. It is a fiction created by the bourgeois
class and is being used by it just as it used religion, ethics, democracy, science, art or
literature. He said that the working class has no nation; it has universal class interest. The
salvation of the working class laid in the development of productive forces on a world scale
which was not possible in the narrow sphere of nation state. Hence, theoretically, Marx and
gave the idea of abolition of nationalities which, according to them, was the creation of
middle class ideology.

In view, nationalism is an expression of bourgeois interests. As he wrote, 'the bourgeois

conveniently assumed that the nation consists only of capitalists. The country was, therefore,
theirs'. He argued that the bourgeois as a class had a common interest and 'this community of
interest which is directed against the proletariat inside the country and is directed against the
bourgeois of other nations outside the country. This, the bourgeois calls his nationality.'

In German Ideology, Marx refers to the proletariat as a class unlike any other. A class which
no longer counts as a class in the society, is not as a class, and is in itself the
expression dissolution all classes' and nationalities within the present society'. In the
modem capitalist society, the more proletariat spends his life working,the more he is impoverished.
Marx denounced this situation and thought that the proletariat all over the world would be able
to unite and fight. In The Communist Manifesto, he writes, 'the working men have no
country...national differences and antagonism between people are daily more and more
vanishing...The nationality of the worker is neither French, English nor German, it is labour, free
slavery. His government is neither French, English nor German, it is factory air, the land belongs
to him is neither German, English nor French but lies a few feet below the ground'. Similarly,
echoed Marx that the working class should think in terms. 'National one
sidedness and narrow-mindedness becomes more and more impossible'.

Writing about their organisation the Communist International, declared 'the International
recognises no country; it desires to unite, not dissolve'. It is opposed to the nationality
because it tends to separate people from people and used by tyrants to create prejudices and
But 1848 seemed to herald a major modification of and Engels's original stand on nationalism
in that they supported the national cause of the historic or great nations such as Hungary and
Poland and Germany all of which sought to establish large stable national states. Also Marx felt
that the liberation of the oppressed nations will help in overpoweringthe national division and
help in the consolidation of the working class of both nations. The national liberation movement
will also help in weakening the political, economic, military and ideological power of the ruling
class and will inculcate a revolutionary ideology in the working class of the oppressed nation.
introduced the concept of 'non-historic nations'. According to him, there were certain
great historic nations in Europe like Italy, Poland, Hungary, Germany and the idea of unity was
justified but there were certain minor nations with no historical importance and legacy like
Romania, Czechs and Slovaks. The failure of democratic revolution in Europe was largely due
to the counter-revolutionaryrole of nations. Before 1917, the radical in Europe largely
endorsed the views of Marx and and opposed the national separation in the name of
proletarian internationalism. But some of the specific questions on the Marxist view of nationalism
have been solved by history. In 1890, when Germany attacked France, Marx appealed to the
working class of Germany that they should not.support Bismarck but rather revolt against him.
However, the working class supported Bismarck. Such appeals were repeated in the First and
Second World Wars but the working class did not agree to not to enter the war and neither did
the war stop.

The national question and the question of nationalitiescame to the forefront the Russian
Revolution because in Russia there were a number of nationalities. Lenin understood clearly the
dialectical relationship between internationalism and the right of self-determination of nationalities.
He felt that only the right to secede will make possible the voluntary union and cooperation and
the long term between the nations. Similarly,only the recognition by the workers' movement
in the oppressed nations about the right of the oppressed nations to self-determination help
eliminate the hostility and suspicion of the oppressed and unite the proletariat of both nations in
the international struggle against the bourgeoisie. Lenin also grasped the relationshipbetween
national democratic struggles and the socialist revolution and showed that the popular masses
of the oppressed nations were the allies of the conscious proletariat. On the other hand,
solution to the problem of nationalities was realistic but away from the Marxist tradition. He
gave autonomy to different nationalities within the Soviet state. Each nationality could set up a
state legislature and develop its language and culture. They were given equal status at the
central level. But gradually, all the nationalities were absorbed by CPSU. The important point,
however, is that along with class, the nationalitieswere recognised. policy of 'Socialism .
in one county' intended to make Russia spearhead of the world revolution and more and more
of it became associated with the extension of Russian national interest. During the Second World
War, the national sentiment was given a free hand. The heroes of Czarist Russia became the
heroes of the communist of the others in the national interest: A natural result of the
war was the awakening of national consciousness in all the communist countries. Hence the
communist party of a nation had to oppose the coinmunist party of the other in the national
interest and in the context of the idea of international proletarian revolution, became dead. The
among the communist parties of Greece, Bulgaria and Yugoslavia,the differences between
the former Soviet Union and China are clear examples. In Asia, modem nationalism and Marxist
socialism came to the forefront almost simultaneously. More recently, the disintegration of Soviet
Union and Yugoslavia has proved that the ethnic, religious and other identities are more dominant
than the 'class loyalties'. The bloodshed in Croatia, armed clashes between Russia and local
nationalists in Georgia and Moldavia proved beyond point that the national question is very
It is possible to find some similaritiesbetween nationalismand Marxism that have contributed
to the union of these two forms of ideology in different countriesespecially Marx. According
to Smith, both nationalism and Marxism are 'salvation movements'. Both describe the present
situation as oppressive and want to change it. While Marxism wants a change through revolution,
nationalism wants to restore the lost identityof the individual. Whereas for Marxism, the enemy
is the bourgeoisclass,for nationalism, it can be an alien tyrant or a colonial rule. Both find their
proper arena of struggle in the modern nation-state. Both rely on mass movements to
their goal. During the anti-colonial struggles, there was a fusion of Marxism and nationalism in
many countries. But whereas nationalism gives preference to culture, Marxism traces back
every phenomenon to economic roots. Whereas Marxism locates its enemy in capitalism
irrespective of his nationality,for the nationaliststhe enemies are those who the purity
of the nation. And finally, while Marx accepted the past in order to transcend it, nationalism
seeks inspiration the past in order to link it with the present and restore the original features
of the national character.

11.5.4 Integral (Fascist) Approach

In the 19th century, nationalism contributed to the liberation and emancipation movements. At
that time it was a progressive doctrine inseparably connected with the democratic universalistic
values inherited the French Revolution. However, in the century,this liberal nationalism
was replaced by what is known as integral nationalism. This form of nationalism appeared in
the writings of Maurice Barres, Charles Maurras, Aurthur de Gonineau, H.S. Chamberlain etc.
the version of integral nationalism found practical embodiment which was imitated
and extended on a most ruthless fashion by Hitler and Nazi Germany. It was Maurass who first
used this term and defined integral nationalism as 'the exclusive pursuit o f national policies, the
absolute maintenance of national integrity and the steady increase in national power'. As a
doctrine, this form of nationalism stressed that the individual for the state, serves the state
and glorifies the state. It gave an organic concept of state, rejected political democracy and
favoured aggressive internationalism as a positive good. conceived nation as an end and
exalted militarism and imperialism. It demanded absolute loyalty to the nation and exalted
national interest above those of individual and even humanity.

One of the earlier advocates of 'integral nationalism' was Maurice Barres who believed that
French could be promoted by encouraging regionalism, the French language
by purging it of foreign words and encouraging the veneration of French military heroes like
Napoleon. According to him, a man thinks those thoughts, which he must think as the member
of a particular race or nationality. Blood and soil the twin foundations of nationalism and the
determining elements of life, both individual and social. These ideas were extended by another
Frenchman Charles Maurass. He defined a true nationalist as one who 'places his country
above everything; he therefore conceives, treats and resolves all pending questions in their
relation to the national interest. Like Barres, he also argued for the veneration of the dead as
'the most active living' and declared that it is from the dead that the livings derive the
only initiative they can know. Not only did he cultivate the cult of 'blood' but encouraged the
'cult of the sacred soil'. But as Hayes writes, throughout the writings of Charles Maurras, his
integral nationalism appeared as a breeder of hatred. He tirelessly preached hatred of 'alien'
influence within France such as Jewish, Protestant, liberal, communist; he ceaselessly directs
tirades against foreigners: German, Englishmen, American, and Russians etc. He favoured a
In the version of Mussolini and Italian Fascism, integral nationalism found concrete expression.
Through the writings of Renedetoo Giovanni Gentile, Globerti nationalism was
gradually divorced from liberalism and transformed into a cult of 'sacred Egoism'

Fascism was an 'anti' movement - anti-liberal, anti-parliamentary, anti-Semitism, anti-communist,

partially anti-capitalist, anti-bourgeoism, anti-clericalism. All these positions combined with
exacerbating nationalist sentiments led to pan-nationalist ideas which challenged the existing
states and accounted for much of the aggressive expansionist foreign policy of the fascist
regimes. According to Mussolini, the foundation of Fascism was the conception of state, its
character, its duty and its aim. Apart from the guardian of the people, the state was seen in
absolute terms, as custodian and transmitter of the spirit of the people. It is the state which
educates its citizens in civic virtue, gives them consciousnessof their mission and moulds them
into unity. It leads men primitive tribal life to that highest expression of human power which
is Empire. For Fascism, the growth of empire, that is to say, the expansion of the nation is an
essential manifestation of vitality, and its opposite is a sign of decadence. War was exalted as
a good end and the purpose of war was total annihilation of the defeated nation than rehabilitation.
Thus in Fascism, nationalism became completely degenerate and nihilistic.

Closely associated with integral was the doctrine of racial superiority. It believed that
the key to the understanding of history lies in the differences in quality and aptitude among the
human races, that mankind consists of separate races distinguished by special physical, emotional
and spiritual characteristics. For example, dividing the mankind into three principal races - the
white, yellow and black - Gobineau ascribed marked superiority of the White or the Aryan race
which is by nature 'a race of rulers'. As a doctrine, racism was the denial of political, civil and
social rights and hatred of the 'different'. Though liberal nationalism drew a distinction between
'us' and but in its fascist form, nationalism took to its extreme form where the existence
of the 'other' was perceived as someone inferior as well as potential of factual enemy. In this
view, even the existence of the other was seen as a threat to one's life. The 'other' must
therefore be destroyed in order to protect one's own distinct existence. Friends and foes are in
the form of collectivities. The conflict between them must itself inevitably be a total one in which
the foe must be annihilated. It is a matter of fixing boundaries but rather an attempt to
eradicate all those that are different, whatever their ideas or attitudes. This was the case when
racism was incorporated into the nationalistic discourse. For example, Nazism defended the
creation of Greater Germany. The extermination of those portrayed as the cause of German
problems was justified by their racial inferiority. The other's existence was perceived as
posing a threat to Aryan excellence. Contamination had to be avoided at any price.

In short, both Fascism and Nazism used nationalism as myth. The important consideration was
not whether an idea is true or not but whether it can be made to appear true to the mass of
people. Mussolini created the myth of the nation - 'our myth is the Nation, our myth is the
greatness of the Nation and to this myth, to this grandeur, that we wish to translate into a
complete reality, we subordinateall the rest'. German National socialism resorted to the myth
. of race. 'Today a new faith is awakening: the of blood, the belief that it is by the blood
that the divine mission of man is to be defended; the belief, based on the clearest knowledge,
that Nordic blood represents that mystery which has overcome and replaced the
sacraments'. This was a form of nationalism nourished not on love but on hate; it inculcated fear
 nationalism. It was a 'nationalism that theoretically could tolerate no nationalism but that of one

I
nation'.

11.5.5 Anti Colonial Approach

In the 20th century, the period between the two world wars, the Russian revolution and the rise
of Fascism were important landmarks in the spread of nationalist ideas Europe to the
European lands of Asia, Africa and Latin America. Collectively, they set in motion the process
of national liberation movements, as a result of which many countries got independence
the imperialist powers of Europe. Such revolutionary changes played a vital role in developing
a-new form of nationalism. New nations like china, Pakistan, Egypt, Vietnam grew on the
world scene which gave a new meaning to the concept of nationalism. The circumstances which
gave birth to these nations were quite different from those of the West. These were the
countries which were subjugated by imperialist countries like England, France, Spain, Holland
etc. and their economies had been exploited. Imperialist countriesconsidered them their private
property whom they sold and pilfered. They destroyed their independence and preserved puppet
governments which were too weak to do any harm to imperialism.

A new form of nationalism and a new meaning of concept was born in countries like India,
China and Arab lands. Though the new concept of nationalism which became the basis of new
states derived much of its ideology and political theory from the West, yet it adopted the theory
to its own historical experiences, its particular circumstances and to its own revolt against
imperialism. The basis new was that it began with an instinctive and xenophobic
hatred for imperialism, a hatred of its representatives, its nationals and anyone affiliated with
them. It was a simple hatred against those who had occupied their lands by force, exploited their
riches by force, crushed their governments, enslaved their people and who did not hesitate to
destroy plunder and steal. This hatred was expressed violently in killings, destruction and
such as Boxer Rebellion as well as in peaceful, non violent forms in under
Gandhi. These states were conscious of imperialism, aimed at its destruction and destruction of
those accompanying evils such as conquests, oppression, enslavement, stifling of liberty,exploitation
of riches and sowing of racial, regional, communal and class distinctions. At the same time,
nationalism was also a creative force which aimed at building a nation based upon the principles
of liberty, independence, economic justice and national unity. It viewed national unity as a
creative force which could stimulate the people to contribute their share in the national
reconstruction. unity meant two things: i) unity of geographical parts and unity in the
diversity of religion, class, caste, communal elements. These states pledged to work for the
welfare of all classes, castes and groups because all of them participated and contributed their
lot in the struggle for freedom. From international point of view, these nation states opposed
military basis, undue alien interference into the affairs of other states, apartheid and believed in
non-alignment and international cooperation.

A peculiar feature of anti-colonial nationalism was that in most cases a nation preceded the
emergence of the state. Here a difference can be made between the initial form of nationalism
as a movement directed against the colonial rulers and engaged in the struggle for independence,
and nationalism's subsequent transformation into a political discourse employed by new leaders
in their attempt to construct a nation capable of sustaining the legitimacy of the state they
inherited from the colonial era. After gaining independence, these colonial states established new

138 .
 drew their borders, built up their capital cities and established a central administration and .
institutions to suit their economic needs. As a result, each colony was a collection of
peoples. Old states of these were brought together within the same boundaries.
All these states were a mosaic of different ethnic communities and tribes. Thus the artificial and
imposed character of the states in such territories accounted for most of the troubles after
obtaining independence. The major problem faced by these states has been their fragility. The
newly created nation states initiated a struggle to replace the pre-national ties with a feeling of
national identity and loyalty. But in many cases, the euphoria accompanying the celebration of
freedom soon turned sour. The reasons for this stem from the incapacity of the new states to
eliminate economic backwardness and the of creating a coherent civil society out of
a population as heterogeneous in itself as in relation to the state. Many of them, unable to sustain
the claims of the people, turned towards USA or USSR. But this meant becoming dependent.

Also independence liberated ethnic nationalism within the emergent state nationalisms and in
some cases - like India, Pakistan, Malaysia, Indonesia, Nigeria etc - threatened anti-colonialism
and nationalism whose objective was the conservation of the state and the replacement of the
colonial rulers. While Muslims called for a separate nation state challenging the integrity of the
Indian state, caste, class, ethnic origin, religion, language formed separate layers of identity that
added to the complexity of creating a single nation out of inherited arbitrarily designed state.
After independence, enormous problems were faced to preserve the nationality. The socio-
political environment elevated some leaders like Gandhi, Nehru, Sukamo, and Nasser to the .
category of prophet liberators. Yet, the vast gap between the Western educated elites and the
bulk of a illiterate population increased after independence. Most of them did not change
the structure of the state and retained privileges. fragility of their governments
led to an increasing hostility as well as movements seeking independence of ethnic minorities
within established states. Independence brought civil war in Sudan, Zaire, Chad, Nigeria, Kenya,
Ghana, Ceylon and a rift between Eastern and Western wings of Pakistan.

The major task confronted by the nationalist intellectuals has been to create a nation to legitimise
the state. But given the heterogeneouscharacterof their societies, conflict is unavoidable which
stems from two sources : the difference arising among the ethnic groups included in the most
arbitrarily created states inherited from the colonial rulers and ii) the wide gap between a
affluent elite and a large number of people living in conditions of poverty. In the first case,
nationalism is employed as a weapon to ignite old antagonism and disputes, and in the case of
second, it could be used to promote alternative image of the nation or channeled blame on the
west for all the troubles.

11.6 'NATIONS WITHOUT STATE' AND 'STATES WITHOUT

NATION'

As a political principle, nationalism holds that the nation and the state should be When
the nation and the state are co-extensive, the label is rarely used. It is assumed that all parties
and groups are nationalists because the nation they represent is already transformed into a state.
Here nationalism serves as a unifying factor. However, there are many nations in the world
which are without a state and there are and have been states without a nation. For a proper
understanding of nationalism, it is also important to understand how the nationalist discourse is
articulated in these states.

Nationalism in 'nations without a state' present substantially different political scenarios depending
the specific character nation-states such nations are included. At least
four situationscan be distinguished:

A nation state may acknowledgethe 'cultural differences' of its minorities, without allowing
more than the cultivation and promotion of their own culture and maintenanceof some deep
rooted elements of traditions. For example, Scotland and Wales although equal
partners with England within Britain, are forced to go down to London to solve their
domestic problems.

A certain degree of autonomy within the state is another option such as given to Catalonia
and the Basque country the Autonomous Community System created in Spain
France's dictatorship.

A nation can be integrated within a federation which permits high degree of self-determination
for nations without a state. For example Quebec in the Canadian political system has
benefited from wide political powers to decide about their social, economic and political life
without actually becoming independent.

There are certain nations which completely lack recognition from the state which contains
them. In such cases, the state itself in formulating policies aiming at eliminating the
differences within its territory. Violence in the form of military control of national minorities
is one option. Palestinians living in Israel, Tibetans in China etc are clear examples of this
situation.

On the other hand, the term 'states without a nation' or 'state-nation' is to a situation
in which a state is arbitrarily designed ignoring the cultural and linguistic identities groups
falling within its boundaries. A state-nation involves the creation of a state apparatus which
controls the legitimate use of the means of violence within its territory, holds internal external
sovereignty and receives international recognition of its status. The notion of the states without .
nation is applied in the case of ex-colonial countries of Asia and Africa where in most cases
there is no sense in which a nation preceded the emergence of the state. Here a difference can ,

be made between the initial form of nationalism as a movement directed against the colonial rule
and engaged in the struggle for independence,and nationalism's subsequent transformation into
a political discourse employed by new leaders to construct a nation capable of sustaining the
legitimacy of the state inherited from the colonial masters. As has been discussed above, a major
problem after independence has been that of 'nation building' transformation of the
. .
national ethnic, tribal loyalties into a feeling of national identity. Here the dichotomy between
tradition and modernity led to a series of gaps developing between diverse groups integrated into
the state. The economic backwardness and the heterogeneous nature of these states accounted
for their failure to integrate the diverse ethnic groups and tribes into a national Hence
the state exists but it is yet to reach the stage of a unified nation-state.
11.7 AND FUTURE OF
An important question that remains answered is what is the relation between nationalism
and the present wave of globalisation I) whether globalisation is a threat to nationalism or
ii) whether globalisation is producing a new national identity or iii) has it started a backlash in
the form of strengthening the common traditional cultures.

There is a global culture prevalent today which has five distinct dimensions. They are
i) ethnoscapes which means constant flow of people such as immigrants, guest workers, exiles,
refugees etc. across the world ii) technoscapes which means flow of machinery produced by
multinationals finance which is rapid flow of in the marketsand stock exchanges
across the world. iv) ideoscapes which means flow of images associated with state and political
ideologies such as democracy, freedom, welfare, rights, etc. and which is flow
of information through newspapers, images and magazines, television, films etc. The intensity
and rapidity of this global culture is trying to transform the world into a singular place where
process of cultural integration and disintegration take place. The crucial question is whether we
are moving towards a common culture or whether globalisation will strengthen a particular
culture. According to although as a consequence of globalisation cultures tend to
overlap and mingle, we are witnessing a process by which only very few cultures can be
elevated to the category of 'global culture' while most cultures find themselves enmeshed in a
global struggle for their self-determination. Theoretically, global identity has two weaknesses:
i) there is no continuity overtime there is no common past to evoke as a sense of solidarity
and ii) there is no differentiation from others (as in the case of national culture). Global culture
has to create a sense of of all peoples which is not possible because of the lack of
a 'global' language. The great success of stems from the capacity to appeal to a
socially and politically diversified population and them. The concept of global identity
is far removed from acquiring such capacity and stand as a alternative to the passionately
felt national identities. On the other hand, the present revival of ethnicity responds to the need
for identity but an identity of a local character. At the heart of modern societies lies a rapid
multiplication of contacts and a constant flow of information, both of which destroy the
homogeneity of individual cultures. Globalisation is pervasive and nobody can escape its
consequences. According to Lemucci, highly differentiated relations typical of complex societies
are unable to provide forms of membershipand identification to meet individuals's need for
realisation, communicative interaction and recognition. In this context, nationalism appears as a
reaction to two intrinsic constituents of modernity that are linked to globalisation: radical doubt
and fragmentation. In conditions of modernity and cross current of different cultures, we have
reached a stage where nothing can be taken for granted. Thus in a world of doubt and
fragmentation, tradition acquires new importance. Nationalism relies heavily upon tradition in so
far as it has common memories as one of its central features. Nationalism entails cultural
resistance and challenges modern societies by vindicating 'identity politics' the claim for
cultural difference based upon ethnicity. This is particularly relevant for the nations without a
state. Identity politics involves a progressive element in so far as it stands for the different, the

In view of the above, we can conclude that the future of nationalism is bright. of
globalisation and the quest for global culture, the proliferation of struggles for self-
determination in several parts of the world indicate that even the democratic nature of
states and granting sufficient autgnomy to the minorities within a nation-state has not solved the
problem and the use of force still remains the feature in the definition of nationalism. The
role of nationalism as a mass movement has played a crucial role in the conscription of large
armies and the waging of war. Currently, nationalism appeals to a wide ranging sectors of
population and stands as a dynamic agent that relies on violence as well as promotes peaceful
mass mobilisation. The call for independence in the Baltic republics and the disintegration of the
former Soviet Union stand as examples of the force of nationalism.

In the context of globalisation, the reluctance to give away sovereignty and loss of control over
domestic matters will increase the presence of nationalism in the nation-states' political discourse.
Here a growth of contradictory forces can be seen: On the one hand, to participate in international
forums and institutions and the search for the establishment of common policies with other
of the world community, and on the other, to protect the interests of the nation-state.
For example, the European Union has not reduced the preservation of the integrity and identity
of the nation-state. The European Union is likely to develop a new kind of nationalism. This will
not erase local identity but such nationalism will be invoked whenever common action is needed
ih the economic, social or political areas to fight a common enemy or defend the property of
the Union. This could be the super -nationalism. But the critical issues here will be how
to frame a specifically identity and which group will be considered as 'outsiders'

Contemporary uses tradition in the service of modernity. According to Touraine, the

nation is a 'non-modern actor that creates modernity'. Doubts and fragmentation are eminent
in modernity because are unexpected. The absence of a single sanctioned method
of knowledge reflected a certain kind of fragmentation that differs from the one present in our
time. The return to tradition emphasises the value of continuity in a context where constant
change and adoption to new social, political and technological environments determine the day-
to-day life of the individuals. The concept of nation is rooted in pre-modern times and the
perception of culture and language as products of the evolvement of a community over a period
of time will retain their strong power to attract the individuals. Tradition will continue to be
involved as a principle only in so far as it is constantly actualised. The new
elements brought about by modernity will be incorporated into and mixed with the traditional
forms of life.

Globalisation unleashes a pressing demand for identity among those individuals who regard the
totality of inherited ideas, beliefs, values and knowledge that constitute the shared basis of their
lives as threatened by the expansion of alien cultures endowed with greater resources. In many
cases, nationalism emerges as a response to progressive homogenisation and represents a
struggle to defend identity politics. Though the process of globalisation is intensifying, there is
no global identity which would suit to fulfill the needs of an otherwise diverse population. Thus
nationalism will survive the wave of globalisation.

11.8 SUMMARY
The above discussion on nationalism can be up as follows:

Nationalism is a sentiment that has to do with attachment to a homeland, a common

language, ideals, values and traditions, identification of a group with symbols such as flags,
songs etc which make it 'different' from others. The attachment creates an identity and the
appeal to that identity a past and the power to mobilise the people.

142
 A theory of nationalism has to deal with questions such as: how does nationalism legitimise
the use of violence in the quest for the creation of a state, what is the role of national
ideology, what is the role of leaders in the national movements and how far can they
contribute to the propagation of symbols and ideals,

One of the most distinctive features of nationalism is the capacity to bring together people
from different social and cultural levels. It is the invention of the ruling classes to maintain
the unconditional loyalty of the masses and make them believe that they have much in
common than what'separates them. This is one of the basic factors to consider in trying
to understand the persistence of nationalism.

Nationalism is a phenomenon which emerged the American and French revolutions.

The early liberal writers emphasised upon the humanitarian aspect of nationalism and laid
stress upon the socio-cultural aspects of nationalism such as common language, literature,
religion, traditions, habits, symbols etc. As industrial revolution matured, humanitarian
nationalism turned into imperial-expansionist nationalism. Marxism approached nationalism
from the point of view of historical materialism and branded it as an ideology of bourgeois
th
capitalism. During 20 century, Fascism associated nationalism with racial superiority and
annihilation of non-Aryan races. In the hands of ex-colonial countries of Asia and Africa,
nationalism became a potent weapon in their struggle for national liberation. While the
beneficial side of nationalism is laudable, it had a noxious character in the form of Fascism.

11.9 EXERCISES

1) Define the concept of Nationalism and distinguish nationalism from state, nation and
state.

2) Explain the different approaches to the study of Nationalism.

3) Critically examine the nation and state in the contemporary political scenario.

4) Evaluate nationalism in the context of contemporary wave of globalisation.

143
 UNIT 12 FORMS OF NATIONALISM

Structure
12.1 Introduction
12.2 Nations and Nationalism
12.2.1 Ancient and Modem Concept of Nationalism
12.2.2 Characteristics of Nation
12.3 Nationalism: Forms
12.3.1 European Nationalism
12.3.2 Non-European Nationalism
12.3.3 Nationalism as Difference
12.4 Nationalisms: Civic and Ethnic
12.5 Summary
12.6 Exercises

12.1 INTRODUCTION
Nationalism has arguably been the most powerful of historical forces that has shaped the self-
definition of individuals. It has also been a complex phenomenon uniformity in terms of
historical experiences or universality of conceptualisation. However, there are different forms of
nationalism, the differences accruing from the specific historical conditions and the special social
structure of any given country. In this unit, we shall look at the forms of nationalism as they
have emerged in specific historical contexts; identifjl the socio-economic and political forces
within which specific forms have emerged; and the broad framework of relationships within
which nationalisms can be understood and explained. ,

12.2 NATIONS AND NATIONALISM

You have already seen in the last unit that Nationalism, generally understood, refers to the self-
definition and self-consciousness of 'a people' as a unified entity. It concerns itself with the
manner in which people see themselves or identify as one as an ethnic community) and
the precise purposes towards which this is directed self-determination). An
expression of or interconnections among people, as well as recognition by others of
this solidarity, is integral to nationalism. There are different ways in which this solidarity is
conceived and articulated. While scholars of nationalism have differed on their delineation of
what binds people together as a social solidarity, their ethnic roots or their desire for self-
determination, by and large, they agree that nationalism involves (a) some level of integration
among members of a nation an idea of the whole (nation) or the collective identity (c) a
degree of understandingof the nature of membership in the whole and its relationship with other
similar wholes (or nations).

In other words, nationalism involves the self-definition by a people that they constitute a nation,
. the consciousnessthat there is something about them as a that makes them different

144
other nations, and that there is a larger imperative from which the as
derives. While social solidarity, collective identityand a sense of individual self and its relationship
with the whole are essential conditions for a people to call itself a nation and be recognised as
such, the manner in which is brought about and a collective identity articulated,
is of primary importance for understanding nationalism. The way social solidarity, collective
identity and questions of political legitimacy are interrelated, play a crucial role both in the
production of nationalist self-understandingsand the recognition of nationalist claims by others.
It is here that Benedict Anderson's description of nations as 'imagined communities' becomes
conceptual tool for understanding nationalism and its forms. Anderson proposes that
all communities larger than primordial villages of face-to-face contact and perhaps even these
are imagined (Benedict Anderson, Imagined Communities: on the Origin and
Spread of Nationalism, Verso, London, 1983,1991). Communities, including nations, may then
be distinguished or compared, not on the basis of their being false or genuine, or being natural,
real or imagined, but by the style or manner in which they are imagined. There may be
different ways of distinguishing communities, such as their scale, extent of administrative
organisation, degree of internal equality, and so forth. But the distinctive form of imagining
collective identity and social solidarity that is associated with nationalism is our primary concern
in this unit.

Nationalisms have differed in their content and form, depending on historically contingent situations
and contexts. Anthony D. Smith defines nationalism as 'an ideological movement, for the
attainment and maintenance of self-government and independence on behalf of a group, some
of whose members conceive it to constitute an actual or potential nation like others'. Smith's
definition aims to capture the core content of nationalism, which he sums up in the phrase 'ideal
of independence'. The logical corollaries of such attempts to attain and maintain
independence are:

I) Securing fraternity and equality among co-nationals or citizens by integrating them into a
homogenous unit.

2) Unification in a single nation-state of extra-territorial co-national.

3) Stressing cultural individuality through accentuation of 'national' differentiate.

4) The drive for economic autarchy and self-sustaining growth.

5) Attempts to expand the nation-state to maintain international power and status.

6) Renewing the cultural and social of the nation through sweeping institutional changes,
to maintain international parity.

While the writings of modern nationalists may reveal a wide variety of concerns, in concrete
instances, nationalist movements select their goals from these corollaries, depending on the
circumstances. Thus the ideal of fraternity, the desire for popular sovereignty, the
need for communal regeneration and the notion of finding one's identity through
purification, the search for 'roots', the need to belong, a new sense of human dignity realisable
only in a national state, the ideals of participation and of building the 'new man', the idea that
every nation should have a state for its and every individual attach himself to
the nation-state for self-realisation, the return to the communal Golden Age, the

145
with nature and 'natural man' etc., appear as recurrent and persisting themes. In these set of
ideas and aspirations, Smith identifies three key notions, form the sine qua of modern
nationalism. These are the ideas of (collective) and pluralism, which
together form the modern 'ideal of independence'. The doctrine of autonomy of the individual
is associated with Kant. In its collective form, it'owes, however, to Rousseau and Fichte.
Because of its communal individuality, the group should be free from external interference and
divisiveness to frame its own rules and set up its own institutions, in accordance with
its needs and 'character'. The group is self-determining, because its individuality gives it laws
that are peculiar to it. Only the assembly of all the citizens community acting in concert
can make laws for the community; no section, no individual, and no outsider can legislate.

12.2.1 Ancient and Modern Concept of Nationalism

Before we look at the specific historical forms of nationalisms, it is important to note that despite
variations in the manner in which nationalisms have thought of the 'autonomous collective' or
the nation, the modem understandingof nation is remarkably different from its earlier usages.
In ancient Rome the Latin word meaning 'a group of outsiders', referred to the communities
of foreigners who lived in Rome as aliens and did not have the privilege of Roman citizenship.
Moreover, the term nation had a derogatory connotation, in so far as being a 'national' placed
one below Roman in terms of status. The term nation understood as 'a community of foreigners'
was applied to communities of students in medieval universities. These students rarely belonged
to the place where the university was situated and with their professors, they were identified
with certain intellectual positions. This led to a modified understanding of 'nation' not only and
primarily as a 'community of foreigners', but also, rather, as a 'community of opinion'. The
concept 'nation' no longer connoted a situation of disadvantage, but its application was still very
limited. It was also temporary as a student lost his identity as a nation immediately upon
completion of studies, and discontinuing his association with the University.

The dominant meaning of the word 'nation' as a 'community of opinion' was in yet
another situation: the medieval ecclesiastical councils. These councils represented the various
positions in regard to the organisation of the Christiana and were composed of
representativesof both secular and ecclesiasticalChristian potentates. Referred to as 'nations',
the meaning of the term was modified again and came to mean 'representatives of (cultural and
political) authority' or cultural and political elite. 'National identity' became honorific, but it again
remained temporary and limited to a small group of exceptional individuals. It was in this new
honorific sense, however, that the concept was applied, in the early 16th century, to the people
of England, to be transformed yet again, to be understood as a synonym of the 'people', and
acquiring its modern political meaning as a 'sovereign people' (Liah Greenfeld, 'Etymology,
Definitions, Types' in Encyclopedia of Nationalism, Academic Press, 2001, Pp.251-265.)

This modem meaning of nation as connoting a sovereign people or a community of equals

nation-hood a desirable status. Moreover, the concept also assumed an unprecedented universality.
The concept 'nation' became the overarching identity embracing every member of the 'English
people', each one of whom had a national identity. It must be noted that with the new meaning
and widened scope of nation, a dramatic change occurred in the meaning of 'people' itself.
it came to be associated with the nation, the term people, was generally used to refer
of the two concepts - 'nation' which meant 'elite -and 'people' which meant 'plebs' implied
3

a reconceptualisation of both the concepts. The 'people' as 'nation' acquired immense prestige
and far from being the depoliticised rabble masses, were redefined as an object of loyalty and
the basis ofpolitical solidarity. With the new association, when one talked English, French,
German, or Russian people, one referred to all the constituent members, the free and equal
members constituting the citizenry. This was accompanied by a major transformation in the
social order. Defined as a nation, the community, inclusive classes, had to be imagined as
sovereign, and as a community of equals. was this aspiration for a transformed social solidarity
as the basis for a new form of political camaraderie, which informed nationalism. In its modern
meaning as 'a sovereign people', the word nation came to have yet another connotation, when
applied to other populations and countries which, also lay claims to political, territorial
ethnic qualities to distinguish them as nations. As a result of this association, 'nation' changed
its meaning once again, and came to signify 'a unique' sovereign people'. The new meaning
of the nation, associated as it was with the 'uniqueness' of a sovereign people, came to assume
a particularistic nature. In other words, the structural conditions viz., industrialisation, social
mobility, bourgeois revolution, movements for democratisation, which were associated with the
notion of 'nation as a sovereign people', were relegated by the idea of nation as a sovereign
people, who were also distinguished by particular ethnic characteristics. The new meaning of
the nation, it has been felt by some scholars of nationalism, has transformed profoundly the
nature of nationalism. It may be pointed out that both the connotations of 'nation' exist today,
and reflect two radically different forms of nationalism, with different of national identity
and consciousness,and two radically different types of national collectivities.A discussion of the
two forms will be undertaken in section 12.3 Nationalisms: Civic and Ethnic

12.2.2 Characteristics of Nation

While the manner in which social solidarity and cohesion was thought of differed, and as
mentioned earlier, depended on historically contingent socio-political forces, the following
characteristics of a nation may be seen as constituting a 'pattern of preponderance':

Boundaries of territory or both.

2) the notion that the nation is an integral unit.

3) Sovereignty or at least the aspiration to sovereignty, and thus formal equality with other
nations, usually as an autonomous and putative self-sufficient state.

4) An 'ascending' notion of legitimacy - the idea that government is just only when
supported by popular will or at last when it serves the interests of 'the people' or 'the
nation'.

5) Popular participation in collective affairs - a population mobilised on the basis of national

membership (whether for war or civic activities).

6) Direct membership, in which each individual is understood to be immediately a part of the

nation and in that respect categorically equivalent to other members.

7) Culture, including some combination of language, shared beliefs and values, habitual practices.
8) depth - a notion of the nation as such existing through time, including past and
future generations, and having a history.

9) Common descent or racial characteristics.

10) Special historical or even racial characteristics.

The above characteristics, while the characteristics of a nation, are also features of the
rhetoric of nation or the claims that are commonly made in describing nations. Moreover,
sovereignty, integrity, and social solidarity also inform the aspiration and to constitute
a nation. Notwithstanding the 'pattern of preponderance' identified above, historically
have differed in the manner in which this solidarity was envisaged, and the way in which it was
sought to be achieved. In the following sections we shall examine some of these forms of
nationalism.

12.3 NATIONALISMS: HISTORICAL FORMS

12.3.1 European Nationalism: The Cases of England, France and

Germany

Nationalism has taken diverse forms historically. In all cases, however, there seemed to have
existed a group or groups of people, thrown up by processes of socio-economic change, who
felt constrained by their traditional identity and the definition of social order expressed in it. In
the case for example, the growth of capitalism, industrialisation and urbanisation, led
to the emergence of a middle class, which found itself at odds with the elite. At the
same time, the kind of social relations and economic transactions that capitalism envisaged were
at variance with the traditional hierarchies and idea of reciprocity that informed the traditional
of state and society. The structures of state that subsequently evolved saw a greater
distancing between the spheres of politics, and the social and economic spheres, the latter
characterised by notions of liberty and freedom. The bonds that held such a society together
were a mutual recognition liberty and a sense of allegiance to the state. Thus the
English idea of the nation was individualistic, and throve on notions of individual sovereignty and
allegiance to the state. Ideas freedom and change were, however, not confined to England.

Enlightenment thought, which animated social thought and practice in Europe, triggered movements
for political freedom against the Monarchy in France. The revolutionary struggle for liberty,
equality and fraternity, transformed the basis of the socio-political structure. Ideas of equality
and participation in collective life became the mainstay of the new social solidarity.
nation was marked by a horizontal camaraderie and characterised by what has beeh called a
'daily plebiscite' emphasising its participatory, republican nature. The prominent social forces
that rose in the struggle against dynastic rule were the lesser landowners or gentry, an emergent
national middle and even lower middle class and professional intellectuals as spokesmen. As
distinct from the English individualisticand civic nationalism, French Nationalism along with
exemplified another form of nationalism that emerged in Western Europe namely,
Collectivist Nationalism. The French and German are, however, different in so far as
basis for solidarity. In of the Napoleonic Wars, the Germans built the foundations of
a modern government on the vestiges of medieval rule, cemented by in their past culture.
The table below shows the forms of historical nationalisms:

Historical Types of Nationalism

Individualistic Collectivistic

Civic Ethnic civic Ethnic

I None
case England France Russia

Paradigmatic England, USA France Germany

case

Source: Liah Greenfeld, 'Etymology, Definitions, Types', Encyclopedia Nationalism, Volume

I, Academic Press, 2001, p.261.

In the following paragraphs we shall examine the three model cases of Nationalism in Western

The contours of Nationalism started taking shape in England in the early sixteenth century in
the context of the decimation of the feudal order in the late fifteenth century. Fifteenth century
English society was feudal, and informed by ideas that assumed that inequality was natural,
divinely ordained, and therefore, permanent and unchangeable. The justification of inequality and
hierarchy was sought in the divine plan or the cosmic order. An individual's status in the social
hierarchy was part of the divine order of things, fulfilling its appointed purpose in a larger
providential scheme. There were three major feudal orders or 'estates', viz., the nobility, the
clergy and the toilers, each with a defined and separate role, with restrictions on inter-order
mobility. A massive restructuring of this order was brought about by the War of the Roses that
ended in 1485 and saw the accession of the Tudor dynasty to the English throne. The war
resulted in the decimation of the traditional, feudal aristocracy and created a vacuum at the top
of the social hierarchy, necessitatingsome degree of upward social mobility. The new aristocracy
that replaced the old clergy and nobility were officials, primarily University-trained laymen
who belonged to the gentry and the lower strata. The emergence of aristocracy
transformed the basis of English society. No longer was status dependent on birth. Merit and
ability became significant criteria. Moreover, the growth of capitalism, gave a new respectability
to economic activity for profit rather than for mere subsistence. A new class of merchants
contributed towards redefining social stratification and occupational The new
aristocracy justified this new framework of upward mobility with the help of a new social
that distanced itself from the feudal imagination of divine order and
schema of things. The new consciousness was nationalism, which reflected the changed order
of society wherein every of the 'nation' or the 'people' enjoyed the dignity of the elite,
invested with the right of
I
or the nation collectively was in turn defined as sovereign. It is important to recognise that the
sovereignty of the nation in England was derived from the presumed sovereignties of each
member in the imagined national collectivity and that the nation was defined as a composite
entity which existed only insofar as its members kept the social compact, and had neither .
interests nor will, separate from the interests and wills of these members. English nationalism,
according to Liah Greenfeld, therefore, was essentially individualistic, and also civic in the
sense that national identity was identical with citizenship or voluntary membership in the
community.

France

Much before nationalism emerged in France, there existed a distinct French identity around the
specificity of French Christianity as distinguishedfrom and superior to the Roman, claimed by
the French kings. From the twelfth century onwards, the king was seen as the 'true'
of God on earth, and there was no distinction between religious and political spheres of activity.
In the early modem period, however, a secularisation of French identity occurred, primarily due
to the religious wars in the sixteenth century, which contributed to the French identity assuming
a political form. The idea of the state as the area, over which the king had authority, transformed
French identity from being a good Christian to membership in the community of the king's
subjects. The community of subjects was structured by a chain of relationships, constituted by
a hierarchy of officials, which bound the king's sphere of authority. Over time, the hierarchy of
came to wield authority and evince loyalty in their own sphere of authority. This
emergence of a parallel system of loyalty served to give an identity to the state as a network
of structures distinct from the king and replaced the latter as the object of loyalty in the minds
of the subjects. It must also be pointed out that the primary movers and beneficiaries of this
distancing between the king and the state and the consequent change in the focus of the
subject's loyalty were members of the French aristocracy. Unlike England, where the nobility
enjoyed a degree of autonomy from the king within the feudal set up, the absolutist nature of
the monarchy in France, meant that the aristocracy was dependent on royal power for their
status and wealth. The aristocracy remained opposed to royal absolutism and struggled against
it continually. No longer wishing to see the king and state as one, it insisted on interpreting the
state as the of France - the French people and territory - as a nation. This
interpretation of the French people as nation, was influenced by the English notion of nation, and
into France by French intellectualswhose association with the aristocracy contributed
to the redefinition of the identity of the nobility in France.

I
When the concept 'nation' was first imported into France, it was seen as synonymous with the
nobility and it continued to be identified as such uptil the French Revolution (1789). Even after
1789, the 'nation' referred to people, represented by the elite who through their assumption of
the role of representation affirmed their political power. Unlike England, French nationalism was
collectivistic, authoritarian and based on an inequality between the masses and the representatives
who assumed the role of representing them. At the same time, unlike English nationalism, French
nationalism was civic, membership in the French nation was not dependent on ties of race,
ethnicity etc. It defined itself in terms of an openness of membership based ultimately on
participationas citizens. It is here that some scholars of nationalism see a contradiction between
individual which a civic criterion of implies and the authoritarianism, which
Germany

Unlike English or French German nationalism owed its creation to the dissatisfaction
of middle class intellectuals, rather than the aristocracy. It must be pointed out that the middle
class intellectuals or the 'educated bourgeoisie' enjoyed a higher status despite the fact that most

The primary reason perhaps was the aspirations and promises that the Enlightenment movement
brought in its wake among intellectuals, which led to disillusionment and dissatisfaction as the
increase in the numbers of intellectuals was accompanied by unemploymentand poverty among
them. The fall in status triggered a reaction against Enlightenment, by the 'educated bourgeoisie'.
This intellectual response termed as Romanticism, consisted of diverse strands, characterised
generally by expressions of discontent with the changes that followed the two revolutions,
French and Industrial, and sought to replace the notion of the rational self with the creative self.
Rejecting the notion of a well-ordered rational society embodying progress, Romantic critiques
opened up the possibility of diverse understandings and expressions of relationship of the self
with nature. The Romantics did not formulate a philosophy for a German political system for
a long time until the Napoleonic invasion evinced the articulation of a German fraternity. Thus
unlike the French experience where the rulers were targeted, the Romantics presented the
cause of the rulers as the 'German cause'. Since the representatives of German Enlightenment
were discredited owing to the antagonism against the French, the German national consciousness
was determined by Romantic philosophy. The latter advocated overcoming the self and recognised
communities as the only true selves or individuals. The only true communities were those that
were held together by ties of languages, which in turn were determined by ties of blood or
'race'. Based on these principles, the idea of the nation was conceived as a natural community,
created by race and language. The German nation was thus envisaged, quite like the French
nation, as a collective entity. Unlike the French case, however, it was primarily an ethnic
community, its membership determined by natural ties, which were innate and could not be
acquired. (For details on English, French and German Nationalisms see Liah 'Western
Europe', Encyclopaediaof Nationalism, Volume I , Academic Press, London, pp.883-898)

12.3.2 Nationalisms

So far we havk seen that nationalism requires social solidarity, collective identity and a sense
of the autonomous self and its relationship with the sovereign collective. All these aspects were
evident in the three European experiences in Nationalism we have discussed above. Scholars
of Nationalism like Benedict Anderson have, however, emphasised the notion of nation as a
discursive formation, referring to a way of thinking about social solidarity and collective
identity.

In has come to be seen as one of the most popular conception of the nation to have
emerged in the past years, Benedict Anderson characterises the nation as political
and imagined as both inherently limited and sovereign'. By 'imagined' Anderson
means the fact that 'the of even the smallest nation will never know most of their
fellow-members, meet them, or even hear of them, yet in the minds of each lives the image of
their communion'. This imagining is limited because the process is spatially limited to the
its telos is the nation-state. Finally, says Anderson, 'it is imagined as a community because
regardlessof the actual inequality and exploitation that may prevail in each, the nation is always
conceived as a deep horizontal relationship'.

An important argument by Anderson, with which we are primarily concerned in this section, is
the assertion that once emergent, nationalism assumed a modular form, where it was
available for future mobilisations. Anderson identifies three models that were available for
emulation, viz., (i) Creole nationalism of the Americas where imagined communities were
created by 'pilgrim Creole functionariesand provincial Creole whoseeconomic interests
were pitted against the metropole (ii) Linguistic nationalism of Europe with a strong populist
bent, and based on a national-state(iii) nationalism, or imposition of cultural
homogeneity from the top. The broader point in Anderson's schema is that the three 'modular'
forms were available to the colonial intelligentsia to emulate. While these forms
(print-languages, the idea of the nation) helped shape and define anti-colonial consciousness, it
was the bilingual intelligentsia produced by colonial education that interpreted the modular
experiences for the masses, and also became instrumental in bringing about the demise of
colonial rule.

Colonial rule, it may be noted was a significant historical experience for almost all of the
Americas (in the and centuries) and of Asia and Africa in the and the
centuries. Nationalism in colonial societies tended to be anti-colonial and emerged, according to
Anderson, from the and solidarities of an earlier group of colonial elites. As in the
European experiencesdiscussed above, nationalismstoo, emerged within the specific
context of the balance of social forces and frameworks of political rule. Examining the emergence
of nationalism in Latin America, Anderson points out that the Hispanic (colonial) rule in Latin
America was carried out through an administrative framework that produced a peculiar career
pattern. Spanish America was divided into a variety of administrative units. The top officials in
the administrative framework came from Spain and returned to higher positions in Spain after
serving in the colony. While these officials on the highest rungs of the colonial bureaucracy were
'outsiders' and experienced an upward or vertical mobility in their careers, a large body of
Creole officers who served under them, was subjected to a different career trajectory. The
Creole officers were Spaniards by descent, language and to an extent, culture. They were,
however, locally born, and it was this difference in birth that restricted the career opportunities
available to them. Their career graphs were laterally circumscribed, in the sense that while they
could within the colony birth, they could not, unlike the 'true' Spaniards, move
from one Spanish colony to the other (say Mexico, Chile etc.), or 'return' to Spain. This
distinction between the career patterns of the Spanish and Creole officers generated a sense
of among the Creole elite. At the same time it also encouraged a sense of 'solidarity'
among them and 'identification' with the 'homeland' that is, the (colonised) place of their birth.
The fact that the Creole moved from one place to another in the colony, gave them
knowledge about the land. As educated elite, they were able to transmit their sense of
identificationand solidarity through the print media, providing a cultural basis for national identity
and unification.Anderson feels that all these factors lay behind some of the earliest nationalist
movements in the colonies. The struggles for national liberation were led more often than not
by the privileged elite, people who spoke the same language and shared the same religion
as whose rule they challenged. Jn Anderson's view, it was not in the imperial
but in the that people first came to conceptualise themselves as bearers of distinctive
nationalities. Once its development began, however, the notion of nation entered a cosmopolitan
discourse, ultimately informing European thought and radical politics of the and centuries,
and anti-colonial throughout the world. (For details see Benedict Anderson,
Communities, 1983, and Craig Calhoun, Open University Press, Buckingham,
1997, Chapter 6: Imperialism, Colonialism and the World-System

12.3.3 Nationalism as. Difference

Andersons's demonstration of the origin and spread of nationalism was innovative for showing
that nations were not entirely determined by structural coriditions or sociological factors like
race, religion or language. They were also not, as Gellner would have us believe mere fabrications.
Nations were 'imagined' into existence and this imagination was assisted by several factors, the
predominant one being that of Several scholars have, however, found Anderson's
metaphor of 'modularity' or 'modular forms' of nationalism, misleading and problematic. Craig
Calhoun, for example, rejects Anderson's that there are 'modular forms' that could
be transplanted into new cultural settings without 'basic' or alterations.Similarly,
Chatterjee rejects the argument that the experience of nationalism in Western
Europe, in the Americas, and in Russia had supplied to all subsequent nationalisms a set of
modular forms, from which nationalist elites in Asia and Africa had chosen the ones they liked.
fact, Chatterjee uses Anderson's conception of nation as an community to reject
the argument of modular forms of nationalisms. If nationalisms in the rest of the world have to
chose 'their' imagined communities from certain modular forms already available to them,
'what' asks Chatterjee, 'do they have to imagine'? Claiming that formulation prescribes
the colonisation of anti-colonial resistance and imaginationsof nationalism, Chatterjee posits that
anti-colonial nationalisms were not based on an identity with the 'modular forms of the national
society propagated by the West'. most powerful as well as creative of
nationalist imagination in Asia and Africa were in fact based on a with the modular
forms. his earlier work Nationalist Thought and the Colonial World: A Derivative Discourse,
Chatterjee had read the appearance of in the late colonial world, as part and parcel
of imperial domination and colonial oppression, and a 'derivative discourse', therefore. It blocked
the way for authentic self-generated, autonomous development among communities, which
remained dominated by self-seeking, ultimately collaborationist 'nationalist' politicians, intellectuals,
bureaucratsand capitalists.

12.4 NATIONALISMS: AND ETHNIC

The above discussion makes it clear that despite having some core characteristics, there is in
fact no uniform 'nationalism', nor are there a set of determinate conditions or structures which
would produce one kind of nationalism as distinct from the other. Historically, we have seen,
nationalisms in different forms and have unfolded in different ways. There is,
however, a tendency among social scientists to categorise nationalisms into two broad and
dichotomous categories. The two categories are conceptualised in different sources in oppositional
terms, as 'political vs. cultural', 'Western vs. Eastern' and more recently 'civic vs. ethnic'
nationalisms, reflecting a general divide among scholarson the question of origin and nature of
nationalism. This categorisation is often accompanied with attributions of 'good' nationalism
(patriotism) and 'bad' nationalism (chauvinism) to civic and ethnic nationalisms,
 and discrete, ignoring thereby the commonalitiesthat may exist, and the broader framework of
socio-economic structures of which the two are a part.

The three pairs of dichotomous categories, 'political vs. cultural', vs. Eastern', and
'civic vs. ethnic', focus attention on the same dividing line, but with slightly different emphasis.
While agreeing that all nationalisms cultural andpolitical, the dichotomy political vs. cultural
stresses the relative salience and historical priority of principles of political organisation vs.
preoccupation with language, literature, history, and folklore in various nationalisms. In the
Westem-Eastem dichotomy, the categories 'East' and 'West' are generally cultural, rather than
geographical markers. A 'western' nation is implicitly defined as 'civic', and the 'eastern' nation
as The categories 'civic' and 'ethnic' closely contribute to the 'political' and 'cultural'
types, with a greater emphasis, in the case of 'civic' on the concept and institutionof citizenship,
and an implicit understanding in the of 'ethnic', that perhaps reflects a deeper emphasis on
'natural' or 'biological' forces such as race, 'blood and soil', which form the ultimate reality
underneath nationhood and national identity.
I

I The dividing line reflects the view held popularly and also by some social scientists (notably
Hans Kohn) that nations are the most complete manifestation of the oldest identity of mankind.
This view holds that nations have a long and continuous history reaching well into the
modem period. Almost all nationalists trace the origins of their national identityfar back into the
pre-modem period. Other scholars of nationalism like Ernest and Anthony Smith while
not agreeing that nations are manifestations of natural ties do not deny that 'earlier' ethnic ties
and memories of 'pre-modern ethnic identities and communities' do influence nationalisms.
Jurgen Habermas, writing on the issue of the future of the nation-state, in the context of the
processes leading to a unified Germany, the European Union, the global economy, the nationality
conflicts in Eastern Europe etc., points out that the meaning of the 'nation' has changed from
designatinga pre-political unity of a community with a shared historical destiny, to somethingthat
was supposed to play a constitutive role in defining the political identity of the citizen within a
democratic polity. Thus the manner in which national identity determined citizenship has in fact
been reversed. The nation, in the context of these developments would rather be conceived as
a nation of citizens, which derives its identity not from some common ethnic and cultural
properties, but rather from the practice of citizens, who actively exercised their rights in equal
interest of all. This formulation is reminiscent of Ernest Renan's dictum, 'the existence of a
nation... is a daily plebiscite' using which, Renan was able to counter 1871, the German
Empire's claim to the Alsace by referring to the inhabitants French nationality. Renan could
conceive of the 'nation' as a nation of citizens which derived its identity not from some common
ethnic and cultural properties, but rather civic practices of citizens who actively exercised
their civil rights.

12.5 SUMMARY
The above discussion has shown that there is no 'general', 'uniform' or 'modular' nationalism
that can be applied universally. Historically, different types of nationalism have occurred with
different conceptionsof national collectivitiesand constructions of nationhood. The common
denominator of all these different movements, ideas, policies and projects is the nationalist
discourse. In other words, what unites nationalism is the discourse and rhetoric of nationhood,
which has at its core ideas of self-consciousness and self-determination. Self-consciousness and
self-determination are woven around the notion of 'people' as a unified entity. The idea of the
nation has emerged historically as a category denoting an identity or one-ness and this sense of
one-ness, identity and unity, to a large extent, was contingent on notions of equality which
informed the modem meaning of the nation. The aspiration for nationhood with its emphasis on
sovereignty and equality has been the basis of all nationalisms. The manner in which the
solidarity or the community of equals was thought of, or came into being has been In
all cases, however, nationalism sought to bring forth the idea of the nation as a promise of
liberation existing structures of domination and inequality. Thus English nationalism emerged
in response to the changes which industrialisationand urbanisation brought in, a kind
of social relations and economic transactions which were fettered by and were at odds with the
traditional structures of hierarchy. While the English nation was envisaged as solidarity held
together by mutual respect for individual liberty and a sense of allegiance for the state, the
French revolution threw up the idea of the nation which throve on equality and participation in
collective life. If the basis for solidarity in the French case was the idea of civil participation,
the German case was distinguished by its emphasis on a cultural identity determined by language
and blood ties. The idea of cultural specificity as the basis of a distinctive national identity was
also to be seen in anti-colonial nationalisms, which emphasised their uniqueness as the basis of
sovereignty. Scholars of nationalism often fall into the trap of categorising nationalisms as 'civic
and ethnic', or 'western and eastern', or 'political and cultural', where civic nationalisms are
associated with western forms and associated with positive attributes. While concepts of 'civic'
and 'ethnic' are useful, they do not capture all the significant differences (differences that are
translated into differences in political and social institutionsand patterns) between
historical nationalisms.Moreover, when taken as dichotomous, oppositional and exclusive, they
fail as both descriptive and explanatory categories.

12.6 EXERCISES .

1) At the core of nationalism are ideas of social solidarity and popularsovereignty. Show how
these core ideas manifest themselves in different forms English and French nationalisms. ,
2) Explain how the idea of the 'people' gets constituted in different ways in French and
German nationalisms.

3) What is the relevance of Anderson's notion of nationalism forms? How far do

you think the notion of formscan be sustained by actual experiencesof nationalisms?

4) What according to you are the virtues and limits of categorisation of nationalisms as
civic and ethnic?
UNIT 13 COLONIALISM AND ANTI-COLONIAL
STRUGGLES
Structure
13.1
13.2 Origin and Growth of Colonialism
13.2.1 The Economics of Colonialism
Patterns of Colonialism
Debate on Imperialism
13.2.4 Social Impact of Colonialism
Role of the Middle Class
13.3 Case Studies in Colonialism
13.3.1 Colonialism in America
3.2 Colonial Imperialism in South and Southeast Asia
13.3.3 Anti-colonial Struggles in South and East Asia
Japan and the USA
13.3.5 Colonialism in the Asiatic Empires
13.3.6 Colonialism in Africa
13.4 Patterns of Anti-Colonial Struggle
13.4.1 India as a Model
13.4.2 The Sacred Versus the Secular
13.5 Summary
13.6 Exercises

13.1 INTRODUCTION
Modem historians call the period from the late nineteenth century to the middle of the twentieth
century 'the age of modern imperialism.' The term 'imperialism' was coined by Benjamin
Disraeli in 1872 in the context of the British general election of 1874. Among the critics of
imperialism the most famous names are those of J. A. a British liberal,and V.I.
the Russian Marxist leader of the Bolshevik revolution.

More accurately, the age should be called 'the age of colonial empires.' In the second half of
the nineteenth century Karl and Frederick used the 'colonialism.'
was the first to pick up the term 'imperialism' for criticism from the economic angle and was
followed by a host of political economists and historians in a vigorous debate that has not yet
ended.

Imperialism, in the pure sense, is a political concept signifying power of one country above
others. In the pure sense 'colonialism' is a demographic concept signifyingthe presence of a
population in a foreign country. Of course, when a population lives in a country other than its
own original country on terms of the local population they are usually called 'aliens' or
'immigrants' or 'minorities.' is only when a foreign population dominates the local population
in terms of number or power or both they are usually called 'colonisers.' Of course, that entails
a relation of power and, in social sciences, power over others is considered political power. But
that may not be imperial power unless there is a 'centre' abroad from which that power is
derived. On the other hand, imperial rule needs the presence of personnel of the imperial
even iftemporarily, in the subject country. Both colonialism and imperialism,however,
have strong economic contents.

13.2 THE AND GROWTH OF MODERN COLONIALISM

13.2.1 The Economics of Colonialism

Both colonisation and empire building are ancient practices. Ancient Greece and Rome had both
colonies and empires though empires meant a bigger than colonies. Such colonisation
was backed by the 'home county' that, in turn, derived revenues from the colonies. In the
and the sixteenth centuries began a vigorous colonisation drive of the European powers
in search of land and natural resources like gold. The continents of America and Africa fell
victim to it. Later Asia and Australia came under the spell of the drive. 'In the last half of the
Seventeenth Century,' we are told by the British historian G.M. Trevelyan, 'England's statesmen
and merchants put a high value on her American colonies.' He writes:

'The overseas possessions were valued as fulfilling a twofold purpose. First as supplying
an appropriate outlet for the energetic, the dissident, the oppressed, the debtors, the
criminals, and the failures of old England - a sphere where the energies of men who were
too good or too bad not to be troublesome at home,,might be turned loose to the general
advantage; as yet there no pressing question of a purely economic excess of population
in England. Secondly, the colonies were valued as markets where raw materials could be
bought, and manufactured articles sold, to the advantage of industry and
commerce

the late eighteenth century, however, the thirteen British colonies in North America seceded
from the empire and, though soon they called themselves 'states', they remained colonies all the
same. having annihilated or pushed into 'reservations' their original inhabitants. In the Portuguese
and the Spanish colonies of Latin America the process was more or less the same but there
was some mixture. The growth of what Eric Hobsbawm called 'Creole nationalism' backed by
the United Kingdom and the United States led to their secession from the respective empires
in the first quarter of the nineteenth century.

By the mid-nineteenth century, the United Kingdom emerged as the biggest colonial empire of
the world. The British Crown took over the administrationof India in 1858 the English East
India Company. Soon it granted local autonomy to her white colonies while her financial grip
over their economies remained more or less intact. Netherlands and France had colonial
possessions in South-East Asia and Africa. Even the new state of Belgium acquired a colony
in Africa's Congo. Immense rivalry for colonial possessions in Africa broke out in the last
quarter of the nineteenth century when Germany joined the race. The result, finally, was World
War 1.
13.2.2 Patterns of Cotonisation
In 1865 Marx noted three kinds colonies

1) The Plantation Colonies as in the West

2) The Well-Populated Countries like Mexico and India.

3) The 'Colonies Proper' like Australia.

Towards the end of the nineteenth century added to the list the colonies 'subsidiary to
the stock markets' as in Africa.

Though several British historians have vouched that the flag followed trade, to Marx the early
trade of Europe in general and Britain in particular was a part of the process of primitive
accumulation of industrial capital. The discovery of gold and silver in America, the extirpation,
enslavement and entombment in mines of the aboriginal population, the beginning of conquest
and looting of the East the turning of Africa into a warren for the commercial hunting
of black-skins, signified the rosy dawn of capitalist production. These idyllic proceedings are the
chief moments of primitive accumulation.

The different moments of primitive accumulation distributed themselves, more or less in

chronological order, p over Spain, Portugal, Holland, France and England. In England
at the end of the 17 century, they arrived at a systematical combination, embracing the
colonies, the national debt, the modem mode of taxation, and the protectionist system. These
methods depended in part on brute force, the colonial system. But they all employed the
power of the State, the concentrated and organised force of society, to hasten, hot-house
fashion, the process of transformation of feudal mode of production into the capitalist mode, and
to shorten the transition. Force is the midwife of every old society pregnant with a new one.
It is itself an economic power. Brute force backed by the and economic manoeuvres
against the subordinated countries are the salient features of capitalist colonialism in
view. Quoting from the British Parliamentary proceedings, Marx showed that England did not
actually pay for her imports from India because England paid for it by 'good government'- .He
wrote:

alone has to pay 5 million in tribute for "good government," interest and dividend on
British capital etc., not counting the sum sent home annually by officials as savings their
salaries, or by English merchantsas part of their profit to be invested in England. Every British
colony continually has to make large remittances for the same reason. Most of the banks in
Australia, the West and Canada, have been founded with English capital; and the dividends
-
are payable in England. In the same way, England owns many foreign securities European,
and South American - on which it draws interest. In addition to this it has
interest in foreign railways, canals, mines, etc., with corresponding dividends. Remittance on all
these items is made almost exclusively in products over and above the amount of English
exports. On the other hand what is sent from England to owners of English securities abroad
and for consumption by Englishmen abroad is insignificant in comparison".

By the middle of the nineteenth century colonialism became integrated with what Marx called
'the expanded mode of capitalist production,' through lending and investment abroad. Banks and
stock exchanges were the chief instruments of this strategy. These were the points highlighted
13.2.3 Debate on Imperialism
Colonial imperialism always had two kinds ofjustification. One was that it was 'the white man's
burden' - acivilising mission to the benefit of the backward countries. Another was that it was
unintended - merely forced by circumstances that hindered free trade of the West. In 1961
Robinson and Gallagher brought out the thesis that Britain generally did business with the
European world through collaborators. It was only when such collaborators were not found, or
turned into adversaries that she would annex their 'territories. Further, Britain's African
annexations were primarily to safeguard trade routes to India. Gallagher's Indian student, Anil
Seal, went ahead of this thesis to declare that the annexation of India by Britain had been
primarily for safeguarding her trade route to the East

Serious debate on colonial imperialism had started at the beginning twentieth century with
J. imperialism of benefiting a handful ofcapitalists in England and not
the traders or the common men. In 191 7 held economic imperialism to be the highest state
of that had divided the entire world among the Western hegemons and caused World
War 1. He identified the of monopoly, the union of industrial capital and finance capital,
and export of capital to colonies as the chief features of this stage of capitalism.

In 1919, however, the liberal economist, J.A. Schumpeter, offered a 'sociological theory'
of imperialism denying any necessary connection between capitalism and imperialism. He saw
imperialism as flowing from atavistic, feudalistic mentalities and certain pre-capitalistic social
structures.

Lenin's critics have challenged Lenin mainly on the third point about - namely export
of capital to the colonies. They offer statistics to show bulk of the British foreign
investments were in self-governing (white colonies) and the independent Latin
American countries but not to It was only after World War that, Britain started investing
in Africa for 'development'. In a way, this criticism of Lenin strengthens argument about
colonies being the source of primitive accumulation. But cannot be faulted for ignoring the
aspect of exploitation of raw materials as a major purpose of colonisation. Rather, he gave a
dynamic dimension to this aspect by stressing that it was a continuous need of developed
capitalism. According to him, the more capitalism developed, the strongly the shortage of
raw materials is felt, the more intense the competition and hunt for sources of raw materials
throughout the whole world, the more desperate the struggle for acquisition of colonies.

Exploitation of raw materials and marketing of finished products have been found to be the chief
features of colonial by even the non-Marxist historians. The early political economists
of India like Dadabhai Naoroji, M.G. and R.C. Dutt highlighted this aspect of direct
exploitation of the subject people by the colonial powers causing poverty to the subject people
in India.

It should, on the other hand, be noted that Britain's white colonies,after the American Revolution,
were given of autonomy that the North American colonies had never enjoyed.
Further, a few years after the Revolution, Britain mended her fence with the United
States of America. The Monroe Doctrine of 1812 excluded all other European powers from
competition with Britain and the USA over Latin American soil. Latin America grew into a
virtual colony.
I Social of Colonialism
The major impact of colonialism was unquestionably economic. But it had its social bearing too.
R. Robinson, virtually the founder of 'the Cambridge School' of colonial history, validly insisted
on the role of 'collaborators' in the operation of early trade and colonialism. The operation
naturally affected the social linkages among the subject people and even their demography. In
some colonies the native people were virtually annihilated or cornered. In some places racial
mixing took place and in some - the heavily populated ones - the cultural orientations of the
people were affected. Some of the subject people took to what they found to be a course toward
modernisation and some others responded in a conservative way. In most of the cases, however,
the responses were mixed, partly modernistic in certain spheres and partly conservative in
certain others.

The important point is that the collaborators changed from time to time, an old group becoming
frustrated grew critical and even hostile to the rulers, while new groups are recruited. This
collaboration or opposition to the colonial rule, however, did not flow from modernism or
conservatism as such although the conservatives occasionally protested against some of the
modernist moves of the colonial regimes. early attempts of the West to establish their power
over the Afro-Asian countries were all resisted by the colonial people, the outstanding example
being what the British called 'the Indian mutiny'. The colonial Governments and their historians
saw such 'revolts' as conservative opposition to their progressive, welfare activities. Some
anthropologists have called them 'primary resistance movements'.

13.3 CASE STUDIES IN COLONIALISM

A brief picture of colonialism and anti-colonial struggles over the non-.European continents will
illustrate the points made above.

Colonialism in America

Colonialism began in the American continents with the arrival of Spain and Portugal close on
the heels of Columbus. By the intervention of the Pope to whom both Spain and Portugal paid
their obeisance because of their Catholic faith the world was divided for colonisation with the
hemisphere west from Brazil onward falling to Portugal and the hemisphereeast of Brazil falling
to Spain. Spain occupied Mexico and much of its northern territory now belonging to the USA.
The two countries were followed by the British and the French colonialists. The British colonialists
eventually emerged more successful than the others by considerably displacing the French and
the Spanish or capturing their territories. The thirteen 'New England' colonies, however,
seceded from the empire in 1776. On the other hand Canada emerged as the loyalist colony
north of the USA and was rewarded with substantial autonomy in 1867. To satisfy the unhappy
subjects of French origin Canada was also granted a federal system of government. The French
colonial rule was confined to a few Caribbean islands to raise rich plantations there.

In the early nineteenth century, with the indirect support of Britain and the USA, the Latin
American countries declared independence. In 1812 President Munro of the USA declared that
no European power would be allowed to come back to the continent. Political influence of the
USA and economic influence of Britain reduced the Latin American states into dependencies
of Britain and the USA with unstable political systems frequently headed by dictators. Their
 plantations and mines, particularly oil, came under Anglo-US control through virtual monopoly
over their export trade. It was only World War that revolts against this kind of political
economy took place in Cuba, Chile, Argentina certain other countries. Except in Cuba,
however, none of these revolutions sustained.

13.3.2 Colonial Imperialism in South South-East Asia

By the beginning of the nineteenth century South Asia, including India and Ceylon (Sri Lanka
of today) was under British control. Yet in India this authority was technically exercised by the
English East India Company as tenants of the Mughal ruler. In 1857 that ruler was
overthrown and in 1858 Victoria, Queen of England, took over the territory and government of
British India. About a third the sub-continent, however, was allowed to remain nominally
independent under the native Princes. In 1877 Queen Victoria was proclaimed the Empress of
India and the princely brought under the 'paramountcy' of the British Crown.

Coastal Ceylon (Sri Lanka) was occupied the Dutch in 1796, the inlands in 1815. Between
these years Ceylon was administered as a part of the Madras In 18 15 it was turned
into a Crown Colony. While India was regarded as the Jewel of the Crown by the British,
because of India's vast and various economic resources, Ceylon was developed essentially as
a plantation colony.

I
By 1886 Burma (Myanmar) was annexed to huge benefit of the empire in terms of her forest,
oil and agriculture. Britain tried to annex Afghanistan but was thwarted by Tsarist Russia. A
large part of her territory was, however, annexed to British India in 1902.

Further east the British, the French and the Dutch competed for territories and came to divide
South- East Asia as follows: Malaysia, including Singapore and Hongkong for the British,
Indonesia for the Dutch and Indo-China including Cambodia (Kampuchia of today), Laos and ,
Vietnam for the French. Except for China within Vietnam, the French allowed limited political
autonomy to the dynastic rulers but exercised full economic control over Indo-China. I

13.3.3 Anti-Colonial Struggles in South-East Asia

After a revolt in 1848 Ceylon made peace with the empire. In 193 1 it was granted universal
adult franchise that the British never granted the Indians. Ceylon's progress to independence
was constitutionalist led by its educated elite influenced partly by the Indian National Congress
and partly by the ideology of international socialism.

Burma was treated as a backyard of British India of which it remained a part till 31 March 1937.
It was denied the 'Reforms' of 1919 that had created a diarchy in the other provinces of British
India. Its middle class, based mostly in the fertile Irawaddy Valley, moved for the kind of reforms
at par with those provinces. It was granted some amount of local autonomy after being separated
/
, from British India in 1937.

British did not establish a Crown Colony in what they as 'the Malay Peninsula' as
power was a 'protectorate system' through treaties with the

161
local rulers recognising the 'sovereignty' but taking over their administration. Although most of
its Chinese and Indian settlers had strong links with the Kuomintang, the Communist Party of
China and the Indian National the local Malays became politically active only after
World War following Japanese withdrawal, when the British proposed to set up a Malay
Union.

The French governed most of Indo-China (Cambodia, Laos, and as protectorates.

In 1945 the anti-Japanese resistance forces, led by the Communist Party of Indo-China, declared
the formation of Vietnam as a republic giving start to one of the most notorious civil wars in
history involving the Western powers, particularly the USA.

13.3.4 Japan and the USA

The story of colonialism in south and East Asia will not be complete without reference to the
rise of the Japanese empire at the beginning of the twentieth century. Japan first clashed with
Britain in 1902 and with Tsarist Russia in 1904. She occupied Korea in 1905 and annexed it in
1911. It fought World War I on the Allied side with imperialist ambition over China and the
Pacific region. In 1931 it actually invaded Manchuria. During World War she joined the axis
powers and invaded South-East Asia advancing as far as the eastern borderland of British India.
This helped the growth of nationalist movements in South-East Asia and loosened the control
of the European powers over the region. Even the USA occupied the Philippines in 1898 and
held it till 1946.

13.3.5 Colonialism in the Asiatic Empires

The rest of the Asian continent was, almost wholly, within three empires: China, Tsarist Russia
and Turkey. Here a distinction should be made between colonies and the outlying parts of an
empire. The former are geographically disjoined from the mainland, the latter are not. The
Chinese and the Russian empires and, to a lesser extent, the Turkish Empire were geographically
compact. All of them were, however, subject to territorial aspirations of the European colonial
powers.

From the Opium War of 1840, which the British fought in order to obtain the right of trade'
in Opium in China to the beginning of World War 1 China was forced to sign as many as 17
'unequal treaties' with the Western powers and Japan turning that country into a virtual dependency
of those powers.

Russia was somehow able to resist the Anglo-French designs on her territory and even wrested
an area of influence in Iran from Britain in 1907 though Britain retained a virtual monopoly over
the huge recently discovered oil resources in there. After World War I, the Bolshevik Revolution
transformed this empire into a multi-national federation (which collapsed in 1990).

After World War I, however, the Turkish Empire was shattered and its West Asian possessions
were mandated by the League of Nations to Britain and France. Of these territories Saudi
Arabia was granted independence in 1932. After World War 11 the rest of the Arab countries
were turned into Trust territories and placed under the controls of Britain and France. By the
1950s they were declared independent.
I 13.3.6 Colonialism Africa
Next to Latin America, Africa was the worst sufferer. North of Sahara Egypt was the most
advanced part of the continent. It could not be conquered by any European power though Britain
and, to a lesser extent, France acquired considerable influence and control on that country.
During World War I, in 1914, Britain declared a protectorate over Egypt provoking mass
resentment and demonstrations.The protectoratewas renounced by Britain in 1922 but continued
British pressure on that country led to the signing of an unequal Anglo-Egyptian Treaty in 1936
enabling Britain to occupy the Suez Canal and some other territories. Egypt's neighbours, Sudan
and Ethiopia, were under still greater influence of the colonial powers. Tunisia, Algeria, a part
of Morocco and a huge contiguous territory in central and western Africa fell to the French but
a greater part of the continent went to Britain. Spain, Italy, Belgium and Germany were the other
owners of Africa.
The 'trade' that attracted the West to Africa was initially in slaves. Subsequently, ivory took the
'explorers' deep into the continent. Some missionariesjoined them, got killed by the local people
and facilitated the arrival of the military might of the West in the continent. By the middle of
the nineteenth century, European powers were aware of the diamond, gold and other precious
minerals in Africa. They engaged themselves in hectic diplomatic activities to divide Africa and,
about the end of the nineteenth century, started sharing the territories among themselves. It was
this 'scramble for Africa' that highlighted the character of capitalist imperialism.
I .
13.4 PATTERNS OF ANTI COLONIAL MOVEMENTS
It was the sense of being deprived and exploited that disillusioned the subject peoples. After the
establishmentof the colonial rule the modernist elite took the lead in opposing the colonial rule.
They sought to unite the people on one platform and demanded of the rulers the right to be heard
and be equally treated. Their tone was initially moderate, but later extremist wings grew up out
of frustration. For three decades beginning from the end of the nineteenth century, for instance,
revolutionary nationalist movement (that the British called 'terrorist') was powerful in India.
During and after World War violent strategies were widely followed in the anti-colonial
movements in Asia and Africa.

There remained collaborators of the ruling regimes across the conservative and the modernist
camps as there were both the segments of the native societies. Needless to
mention that the collaborators were the beneficiaries and the opponents were the disillusioned
people at a given time. Nevertheless anti- colonial movements kept in growing, though not
necessarily in similar ways.

13.4.1 India as the Model

The Indian National Congress that sought to unite the Indians on a loyal but critical platform
drew into its fold the elite from sections of the Indian society and even some compassionate
European subjects of the British Its leadership was essentially upper middle class professional,
but it included and was backed by several landlords and adversary of the Raj. At the end of
the nineteenth century emerged an extremist wing a section of which resorting to revolutionary
violence. AfterWorld War I Mohandas Karamchand Gandhi turned the Indian Congress
I Indian National Congress
to this organisation. A very special
the characteristic of this struggle.
steadily so much so that the British had to hand over power
combination mass politics and 'constitutionalism' was

The Indian National Congress was the first organisation of its kind in the entire colonial world.
In several ways it in the other colonies, particularly in South-East Asia. After
World War I, this nationalist trend developed linkages with the socialist world and its ideology
to different degrees. During World War even Japanese imperialism, in its conflict with the
Western powers, came to the aid of the nationalist movements in South-East and South Asia.

In most of Africa, sometime the failure of 'primary resistance,' anti-colonial - movements

began, under the leadership of the modernist elite, after World War I but it became strong
World War

13.4.2 The Sacred Versus the Secular

In the 1880s a religion-based, prdphetic, anti-colonial struggle broke out in Sudan -the Mahdist
(deliverer). In certain other parts of the Muslim world a revival of the puritanic Wahabi
movement took place. The combined effect of these movements was the rise of a
Its anti-West tenor combined with the Muslim resentment on the humiliation of the
Sultan of Turkey, the of the Islamic world, to produce the Khilafat agitation that had
a great impact in India and Afghanistan.

In the Muslim world, however, pan-Islamism had an adversary in In several

Arab countries there was resentment against the Turkish Empire. During World War I this
resentment was encouraged and made use of by the British who found Turkey in the opposite
camp led by Germany. The result was the creation of a number of 'mandated territories' for
, the Arabs under the Anglo-French aegis after World War I. The discovery of oil in West Asia
contributed a great deal towards this arrangement.

It was before World War I, in 1907-08, that a secular nationalist movement grew in Turkey by
the name Young Turk..But the movement was chauvinistic - concerned with the revival
of the imperial glory of Turkey -and fell out with the Arab movements.

In the period between the two world wars, on the other hand, secular nationalist movements
grew within the Turkish Empire. In Turkey itself Kamal Ataturk overthrew the Turkish monarchy.
In Egypt the Wafd Party won elections but was kept out of office by the combined effort of
the Egyptian ruler and his British aides.

Towards the end of the nineteenth century organised black African workers on strike in
several mining centres. Students and, interestingly, Christian church leaders took lead in
a pan-African movement. The first Pan-African Congress met in London in 1919. But Pan-
Africanism remained more an idea than a realisable goal. The National Congress of British West
Africa was founded in 1920. Other organisations like the Central Kikiyu Association in Kenya I
and African National Congress in South Africa followed suit. As the borders of the African
colonies had been arbitrarily drawn and tribal affinities were strong among the local people,
efforts were also made to develop a consciousness. However, it was only after
World War in which African soldiers had taken a great part that such movements became

164
 I

strong and militant. The imperialist powers unleashed racist repression throughout Africa but had
to give in.
,

13.5 SUMMARY
Though primarily colonialism has a geographical and a political connotation, both the systems
were grounded in strong economic motives. Modern colonialism started in the fifteenth century
and came to its climax in the late nineteenth century when imperialism virtually became a creed
of the developed capitalist countries of the West. Its essential purpose was to acquire the natural
resources of the subject countries and to develop them as captive markets for their finished
products. The resulting conflicts produced two world wars.

The subject countries first offered primary resistance to the conquerors. Such resistance was
conservative and, often, imbued with religious emotions but they did not succeed. The
imperial powers often ruled with the assistance of collaborators. But the scope for such
collaboration was limited and the disillusionedelite of the colonies ultimately united to oppose the
ruling powers. Anti-colonial struggles became powerful in Asia World War I and in Africa
after World War By the the process of de-colonisation of the world was completed.

13.6 EXERCISES

I Discuss view of colonialism.

2) Discuss Lenin's of imperialism and its critiques.

3) Analyse the colonial formations in South and South-East Asia and the anti-colonial struggles
in this region.
,

4) Analyse colonialism and anti-colonial struggles in Africa.

5) Discuss the role of religion in anti-colonial struggles.

UNIT 14 NATIONALITY AND SELF-DETERMINATION
Structure
14.1
142 Meanings
, 14.2.1 Nationality Nation
14.2.2 The Example
14.2.3 The British Colonies
14.2.4 The Dutch, French, Portuguese and French Colonies
14.2.5 The Origins of the Nationality Question
14.3 The Historical Roots
14.3.1 People, Nationality and Nation
The Content of Nationality
14.4 The Debate on Self-Determination
14.4.1 The Content of Self-Determination
14.4.2 The Case
14.4.3 Self-Determination versus Secession
14.4.4 Globalisation and the National Question
14.5 Summary
14.6 Exercises

14.1 INTRODUCTION
In the early second half of the nineteenth century, John Stuart Mill argued that Where the
sentiment of nationality exists in any force there is a primafacie case for uniting all the
members of the nationality under the same governmentand a government to themselves apart'
(Representative Government, 1861, pp. thus setting out the agenda for the right to
self-determination of nations. On the other hand, he argued, 'Free institutions are next to
impossible in a country made up of different nationalities'. Mill's case was that such nationalities
should be separated and constituted into separate states in order that they enjoy the full benefit
of representative self-government.

For at least a hundred years since the continental revolution of 1848 the European political scene
was dominated by the nationality question that caused two World Wars. Even in the era of
globalisation today the nationality question is alive.

14.2 MEANINGS
14.2.1 Nationality ,and Nation
The term 'nationality', however, is extremely to define. Doubtless, it comes from the .
word 'nation'. As an abstract noun it means 'nationhood' - the fact of being a nation, for
 example, the nationality of the Poles or the Slavs, or being members of a nation, for example,
my Indian nationality or Tony British nationality (as declared in a Passport). As a
concrete noun it means a small nation or a potential nation, for example; the Scottish nationality
in the United Kingdom. J.S. Mill has spoken Welshman or the Scottish Highlander
choosing to remain members of 'the British nation.' During the period between the two World
Wars the question was asked about the recognition of the Polish nationality. For the Scots
today the question is if they are a nation or a part of the greater identity of the English. Both,
however, evoke a similar political To what extent were the Poles entitled to
political freedom? Or, for that matter, to what extent are the Scots or the northern Irish people
of the United Kingdom entitled to it today?

Political freedom, in turn, is conceived in two ways complete independence with sovereign
status and (2) self-determination, that is, large to control the internal affairs
of the people within the framework of a national state or an empire. It should be noted, however,
that when the second arrangement exists, the top Government gives the arrangement the name
of 'self-government' but the concerned people call it 'self-determination.' The difference between
the two concepts lies in the fact that, self-government is supposed to be a gift of the Central1
Imperial Government while is supposed to have been by the
local people through Further, in self-government, the Central or the Imperial
Government retains the ultimate, if nominal, control over the local government while in self-
determination the local people retain the option to claim a sovereign, independent status.

. In both the cases, however, there is a tendency of the subordinate government to move towards
complete independence.

14.2.2 The lrish Example

The example of Ireland is a case in point. This Catholic-majority region was always unhappy
with its being a part of the United Kingdom dominated by the Protestant-dominated England.
By the end of the nineteenth century migration turned Northern Ireland into a
majority region. In 1922 the United Kingdom granted Southern Ireland self-government and the
name of the Free State. Eamon de Republican Party denounced the arrangement,
won the Irish election in 1936, renamed the country as the Eire, remained neutral during World
War in which United Kingdom was a party and, in 1948, proclaimed the Republic
of Ireland.

14.2.3 The British Colonies

United Kingdom granted her white colonies substantial self-government and, in 1929, called
them 'Dominions'. Britain also came to loosely call her empire the British Commonwealth. In
1917 the Montague-Chelmsford Reforms proposed a certain of devolution of power to
the British lndian provinces in the form of diarchy that was rejected by the major political parties
in British India. In 1929 they demanded 'dominion status' which the Simon refused
to grant. It proposed devolution of more power to Provinces and some power to the Centre
to be administered by the Indian subjects. Hence, the Civil Disobedience Movement of the'
1930s. Indian Independence Act, 1947 granted British India, its partition, the'status
of 'Independent Dominion.' The Constituent of lndia proclaimed lndia as a sovereign
democratic republic but chose to remain a member of the Commonwealth-of Nations, the
renamed British Commonwealth.

14.2.4 The Dutch, French, Portuguese and Belgian Colonies

The Dutch were the first colonialists of Europe. In course of her competition with the other
European colonial powers, however, they lost much of their overseas territories and later became
virtually confined to Indonesia. After World War she lost control over those islands too, though
after a powerful freedom movement there.

Under the Fourth Republican Constitution France called her empire the French Union with very
little autonomy to her 'associate states.' In 1954 Vietnam, Cambodia and Laos withdrew from
the Union resulting in the Indo-China wars. Algeria's demand for freedom led to violent repression
that ended only in the 1960s. Meanwhile, in 1958, the French Union was renamed as the French
Community. But the experiment failed and most of the French possessions became free by the
1960s.

Confronted with a freedom movement in the Congo in 1958-59, Belgium promised her election
and extensive freedom. But serious riots forced her to grant Belgian Congo total freedom in
January 1960. Portugal, on the other hand, itself under a dictatorship. She never tried to ,
grant her colonies self-government and regarded them as her provinces. In 1961, Goa was
liberated by India by force. After the end of dictatorship in Portugal her other colonies were
granted freedom.

Thus, the concept of nationality does not fit well with that of 'self-government.' It fits well with
of 'self-determination.'

14.2.5 Origins of the Nationality Question

The origins of the 'nationality' question lie in the basic arbitrariness State system. Political
power is, by nature, territorial. The borders of a State lie at the frontiers of the power of a
Government. Such power is always relative to historical circumstances and the power of the
neighbouring State. It almost never conforms to the ethno-cultural boundaries of a people. All
modern States usually contain substantial minority groups many of whom are concentrated
geographically. Whenever one or more minority groups grow unhappy with the ruling order they
are likely to demand the right to self-determination, that is, right to be themselves' to be able
to govern their own destiny. Needless to say that this is a political demand rooted in socio-
economic as well as geographical factors. Thus, if a region is far or detached from a heartland
there is likely to be a demand for separation. If there is a great economic disparity between the
regions or the lack of cultural among the regions such demands may grow
powerful. Among the disgruntled people initially this appears in the form of a fellow feeling that
later develops into a solidarity. sense of solidarity is the basis of nationality. Such a feeling
is essentially democratic as it seeks an alternative basis of equality with the hitherto dominant
power.

14.3 THE HISTORICAL ROOTS

14.3.1 People, Nationality and Nation
At this stage a clarification is necessary between the terms 'nation,' 'nationality' and 'people.'
Though these terms have been used interchangeably in popular discourse they grew in different
historical contexts. In the place, the term 'people' is specific than the term 'population.'
'Population' has a generic meaning - an assortment of individuals in a territory. When, in 1789,
the Third Estate of the French legislature declared that 'sovereignty in France belongs to the
French nation' and called itself the National Assembly, it used the term 'nation' in that sense.
It meant the population of France. 'People' has a more identifiable character - a certain
objective commonness, not clearly defined except perhaps in terms of territorial loyalty. It was
in this sense that the Covenant of the League of Nations and the Charter of the United Nations
Organisation took name of 'the people'.

Historically, 'nations' in the modern sense emerged the demise of the divine rights theory
of monarchy that saw States as properties of the dynasties backed by the church. The Protestant
revolution destroyed the supremacy Pope in the political affairs of Europe and started the
decay of what Delisle Burns called 'the medieval unity.' The guiding feeling behind such change
of attitude was anti-imperialist as well as anti-feudal. But it a vacuum in the political
configuration of Europe. Treaty of Westphalia of 1648, for instance, created 300 German
states most of which were Protestant and autonomous of the Pope's control. But they were
hardly more than feudal estates.

And yet the whole of the German population were not united. France in the west and Poland
on east contained substantial German population. In 1772, the year of the first Polish
partition, a romantic Polish-German intellectual, tried to discover German
(peopleness) in language. A century later Germany was united as a result of the
Prussian War of 1870. That it eventually led to the worst kind of national chauvinism is a
different matter.

Since the whole German population was never united, there remained groups of the German
population scattered in the countries giving Hitler the pretext for launching invasion
on the German neighbourhood. The biggest German-speaking unit, Austria, remained out of the
unified Germany because of, among other reasons, religious difference and, in fact, later grew
into an empire. It was Napoleon Bonaparte who had put an end to 'the Holy Roman Empire'
and even created a small independent state of Poland. But Francis the last 'Holy Roman
Emperor' turned himself into the emperor of the Catholic Austria in 1804 and, in 1815, partitioned
Poland for the fourth time. It was within the fold of the Austrian empire that the issue of self-
determination of nations acquired poignancy.

During the continental revolutions of 1848 small nationalities within the Austrian empire first
raised their heads. In 1867 Austria was forced to recognise Hungary's political claims by
reorganising itself as the Austro-Hungarian Empire. However, the Slav nationalities of Eastern
Europe remained restless. During World War Austria was among the Central Powers, with
Germany. When the United States joined the War on the Allied side, its President, Woodrow
Wilson laid out a Fourteen-Point Programme that among other things, promised the right to self-
determination to the nationalities of central Europe, particularly of Austria.

14.3.2 The Content of Nationality

We have noted that, in the a romantic view of 'peopleness' emerged in Germany. It
sought to unite the German people on the basis of language. This trend gathered momentum in
nineteenth century and was acknowledged by J.S. Mill who stressed 'sympathy' as the bond
of nationality. This feeling of nationality, according to Mill. have been generated by 'various
causes' among which he listed (1) the effect of identity of race and descent, (2) common
language, (3) community of religion, (4) geographical limits and (6) 'strongest of all' identity of
political antecedents by which he meant the possession of a national history, and consequent
communityof recollections, collective and humiliation, pleasureand regret, connected with
the same incidents in the past,

By a broad sweep, however, Mill qualified all these factors. 'None of these circumstances,
however, are either indispensable or necessarily sufficient by themselves.' Subsequent political
thinkers and historians in vain have tried to discover a definite basis of nationality or nationhood.
Purely race-based States are impossible to find even in Africa, though Hitler's Germany tried
to build it. Such racial States never existed in the history of civilisation. Though Joseph
famous definition of a nation stressed language and common historical experience, along with
territory, as the main factors of nationhood to the exclusion of religion and though, according to
Hobsbawm, modem nationalism emerged on the ruins of religion, there still are certain States
in the world that are identified with religion: Ireland in Europe and Israel in West Asia besides
a large number of Islamic Republics in Asia including Pakistan. Yet Muslim States in West Asia
failed to unite on basis of religion and Pakistan was split in 1971 on the basis of language.
As far as common history is concerned, E. Renan, a French political thinker, argued that getting
the history wrong is a part process of building a national sentiment too. One interesting
trend among the Third World countries of today is the effort to rewrite history with a view to
consolidating their 'national' unity.

Renan, therefore, concluded that 'a nation is a spiritual whole' surviving on the basis of
a common sentiment. Consequently, attention was shifted from the past to the present and the
future. The concept of 'nation building' popularised by Jawaharlal Nehru comes in handy from
this perspective. It insists on national unity with a view to progress and development. Karl
an American political scientist, argued that the existence of a nation is a 'daily I
meaning that a common intention to live together is the essence of nationality. I

And there lies the rub. Objective circumstances in which a was born
change. Social and economic disparities may grow between sections of the people concerned,
particularly among its elite. Political ambitions among the elite may grow
incongruous with the outlook and interests of the so-called 'national' elite. Differences of regions
and sections are invented. Where such differences already exist in a latent form, they are
magnified. The most cited ground is 'inequality' real or imagined.
While the governing 'national' elite would depict them as imagined, the dissident elite would
always depict them as real. If the governing elite use coercion or state power, there are
rebellions. If such rebellions succeed, new 'national states' come into being, destroying the old
order. Thus 'national self-determination' has become an extremely contentious issue in politics.

14.4 THE DEBATE ON SELF-DETERMINATION

14.4.1 The Content of Self-Determination I

Wilson's promise of the right to self-determination to nationalitieshad three kinds of critics. One
was the straightforward conservative who did not like the breakdown of the territorial system

170
of the old empires. The second group comprised the radical who thought that Wilson's programme
was too limited in scope and confined to only the Austro-Hungarian Empire and did not touch
the traditional empires like the British and the French. It took a blind eye to the entire colonial
world. The third group of critics was the pragmatic one. They thought that the modern states
are too much heterogeneous to allow a neat streamliningof borders along the ethnic lines.

The first two critiques are, of course, partisan. It is the third critique that requires academic
consideration. Lord the British Foreign Secretary and former Governor-General of India
who had partitioned Bengal in 1905, is credited with the comment that right to national self-
determination is a two-edged sword, meaning that it unites as well as divides people.
partition is made of a state territory, dissatisfied will exist and
contiguous states will continuously indulge in irredentism threatening peace.

There is another consideration. Although language is the favourite criterion of nationhood in the
West today, other factors, particularly religion, still sway political opinions. The Irish problem, for
instance, is predominantly religious. The ethnic crisis in Yugoslavia in the 1990s was based on
religious differences too. The Chechen demand for independence Russia is also based on
religion. The picture becomes more complicated when religious groups are found divided on

14.4.2 The Indian Case

It is a well-known fact that the whole of India was never politically united before the British
advent. Even the British were not able to administer the whole of India uniformly, About
thirds of the sub-continent under direct rule and one-third under 562 native states of
different sizes and strengths.

Even British was not administered uniformly. British power started spreading from the
coasts of Bengal, Bombay and Madras. The territory was first organised under 'Presidencies'
- blocs of territories containing peoples of different languages and religions, besides a number
of primitive tribes. New territories, including Burma and Aden, were added to these possessions,
some of them being constituted as separate provinces. 1905 Lord Curzon divided the Bengal
presidency on the basis of religion giving birth to a powerful anti-partition agitation. It was at
this time that the leaders of the Indian national movement adopted language as the basis of
provincialisation of India against religion favoured by the Government. The British left India, in
1947, after partitioning the country on the basis of religion. Pakistan was created as a
majority state. But Pakistan was split in 1971 on the basis of language. Though, in the
there was a separatist demand in the then Madras (now Tamilnadu) state the movement was
contained. Language never posed a threat to the integrity of the Indian state but it has caused
several 'state reorganisations'.

But language has not been the only factor in state reorganisation in India. Assertion of
ethnic identities has caused creation of a number of states and central India. The
creation of Uttaranchal as a state was based purely on regional disparity.

Religious and tribal groups in the border regions of the north-east and the north-west have
occasionally demanded secession from India. Indian opinion in general never approved of the
'two nations' theory of V.D. Savarkar and M.A. Jinnah on the basis of religion. It considers the
1947 partition of British India as an imperialist conspiracy.

The Indian nation is territorial though certain scholars have called it a multi-cultural,
nationality state.

14.4.3 Self-Determination and Secession

Right to self-determinationdoes not mean only national self-determination. It has a much broader
connotation to cover all kinds of subject people. The American Revolution of 1776, for instance,
was an assertion of the right to self-determination; it did not speak of 'national self determination.'
The North American rebels did not yet consider themselves a nation. But 'self-determination',
generically, does mean a certain desire for secession from a larger entity. Even when
psychologically individuals speak of self-determinationthey mean to assert their own entity as
different those of others. When a collectivityof people asserts their right to self-determination
they do the same thing. The secessionists may or may not constitute one single nation. When
the Austrian empire collapsed, Several nationalities, some of them ill defined, emerged. The
process was repeated the disintegration of the socialist states of the USSR and Yugoslavia.
When, however, a distinct sense of nationality gets consolidated among a section of the people
populating a State or an Empire, as Mill stressed, there is a distinct case for
determination.

In any case, right to self-determination a challenge to the larger body to which it belongs.
The nationalist content of this demand gives it an added strength. Consequently, it is opposed
by the 'advocates of order'. By the same token nationalism is disfavoured by the same people.
In the days of globalisation the issue has acquired pungency. The advocates of globalisation
consider national to be essentially retrograde. The advocates of national
sovereignty consider the global order as essentially unequal. They consider right
as the major shield against a global exploitation.

A leaf from history will be of great educative value. Before the Bolshevik Revolution, V.I. Lenin
promised the right to self-determination to the oppressed nationalities of the Tsarist empire of
Russia. After the revolution, however, Lenin opposed it. He reformulated the right to self-
determination as a right to equal status of every nationality within the larger political unit, the
Soviet federation. However,the Soviet State policy could never fully the minority nationalities
and the federation broke down in 1990.

14.4.4 Globalisation and the National Question

According to the Marxists the national question arose with the rise of capitalism in Europe.
himself thought that capitalism would eventually obliterate the national boundaries by its sheer
economic strength. However, Lenin found in nationalism the power to fight imperialism and
welcomed the collaboration of the Marxists with 'the national bourgeoisie' in the colonies. There
was, as a result, an extent of collaboration between the nationalist movements in Asia and
Africa and the international communist movement.

Since the fall of the Soviet Union in 1989, the USA has an unprecedented hegemony
in world affairs and has propounded a new international economic order that envisaged the end
of economic nationalism. Economic nationalism is a strategy adopted by all developing countries
 th
since the 19 century. On the question of global environment the USA adamantly follows
its own economic agenda rejects the of any environmental norm on its freedom.
Yet it insists upon other of the world to conform to economic globalisation. The
developing countries like India feel by the all-encompassing demands of globalisation
on their economies including agriculture, mainstay of their economy. The conflict of interest
has given birth to strong reactions among the developing countries that regard the
programme of globalisation as a design of the economic superpowers.

fear of the developing countries about bondage had given

birth to the programme of self-reliance after attaining independence, whose greatest champion
was Jawaharlal Nehru. In a way the of swadeshi reflects the same
sentiment.

14.5 SUMMARY
Nationality and are inter-connected notions. In the nineteenth century they
were focused in Europe. After World War I the focus shifted to Asia and Africa. Because of
their historically anti-imperialist character, the Marxists supported them. The fall of the Soviet
Union has led to the programme of globalisation that undermines the nationalist economies and
sentiments.

14.6 EXERCISES

I) Discuss the of the factors behind its growth.

2) Analyse concept of self-determination in its historical setting.

3) Evaluate the debate on the question of national self-determination.

4) What do the of globalisation have to do with national

 15 STATE AND CONSTITUTIONALISM
Structure ,

15.1 Introduction
15.2 State Building
15.2.1 The Instrumental Requirements
15.2.2 States in History
15.2.3 The Value of the Almond-Powell Schema
15.3 Constitutionalism
15.3.1 Origins
15.3.2 Meaning of Constitutionalism
15.4 Models of Constitutions
15.4.1 The British Model of Constitutionalism
I 15.4.2 'The US Model

15.4.3 The Continental Systems

15.4.4 The Evolutionary Mode of Constitution Making
15.4.5 The Revolutionary Mode of Constitution Making
15.5 Constitutionalismand State Building
15.5.1 Constitution as a Framework
I
15.5.2 The State and the Civil Society
15.5.3 Rule of Law
15.5.4 Army and Bureaucracy
15.6 Constitution of Rights
15.6.1 The Origins
15.6.2 Nature of Rights
15.7 Summary
15.8 Exercises

15.1 INTRODUCTION
The concepts of 'the nation' and 'the state' grew as parallels in history. 'Nation' indicated a
collectivity of persons who have a certain bond with each other (See Unit 14). 'State' indicated
a structured authority to rule over a people in a certain territory. The two are not necessarily
co-extensive. In 1646, for instance, the Treaty of Westphalia recognised 300 German states.
Today we find only two German-speaking states: Germany and Austria. One of the main
reasons of the division of Austria and Germany is religious. Austria is Germany
Protestant.

Primarily, the state is a territorial concept, but nation is a human phenomenon. Ever since
the formation of the United NationsOrganisation, the composite word 'nation-state' has entered
the political vocabulary of the world. The United Nations' Charter virtually identified the state
with the The national affairs are, however, more complex than the affairs of the state
even though they are interlinked. The role of psychology is more important in the affairs of the
nation than in the affairs of the state. Political science can deal with 'state building' better than
'nation building' even though, in the Third World countries the term 'nation building' is more
popular. 'Nation building' involves not only government, which is the primary focus of
state building, but also economic development and psychological integration of a population.
As Gabriel A. Almond Bingham Powell, Jr. put it:

"While it is an oversimplification to put it in this way, we might view the problem of state building
and its successful confrontation by a political system as essentially a structural problem. That
is to say, what is involved is primarily a matter of the structural differentiation of new roles,
structures and subsystems which penetrate the countryside. building, on the other hand,
emphasises the cultural aspects of political development. It refers to the process whereby people
transfer their commitment and loyalty the smaller tribes, villages, or petty principalities to
a larger central political system. While these two processes of state and nation building are
related, it is important to view them separately. There are many cases in which centralised and
penetrative bureaucracies have been created, while a homogeneous pattern of loyalty and
commitment to the central political institutions has never emerged".

Almond and Powell discussed the concept of state building in the context of the theory of
political development the three other components of which are nation building, participation
and distribution (of welfare). He spelt out the major questions of state building as 'what kind
of bureaucracy one has to create, what kind of rule-making and adjudicative structures, and
what kinds of loads these structures may be made to bear. The shortcoming of this theoretical
schema consisted in its of a continuity between 'a pre-existing, less differentiated
political system' to a 'differentiated,' modern, political system. It does not take into account the
states or 'political systems,' as the 'systems theorists' call them, which come into existence
through revolutionary transformations. Or, perhaps, they consciously keep their eyes closed to
revolutions and choose to start off from a post-revolutionary situation. They still ignore the fact
that a revolution, as well as the pre-revolutionary experiences, may make their own
contribution to the process of state building as is the case with several post-colonised countries

15.2 STATE BUILDING

15.2.1 The Instrumental Requirements

But the task of state building is not a simple one either. 'State building occurs', say Almond and
Powell, 'when the political elite create new structures and organisations designed to "penetrate"
the society in order to regulate behaviour in it and draw a larger volume of resources from it.
State building is commonly associated with significant increases in the regulative and extractive
capabilities of the political system' .It involves the determination of the structure of authority, the
territorial extent of its spread, the extent of popular conformity with the authority and the means
of securing such authority. A crucial test of the authority is the legitimacy that the people accord
it and the feeling of satisfaction among the people with the rule. Government's primary
interest is in securing the obedience of the people to law and order, the interest of the people
lies in the preservation of their rights and promotion of their interest.

15.2.2 States in History

Ancient Greece and Rome began as states. Though the more ancient states of Egypt and
Mesopotamia have been described as empires it is doubtful if their authority was as extensive
as that of the modern empires. However, both Greece and Rome grew into empires and
dissolved in course of time. Almond and Powell comment that 'there are examples, particularly
among the great empires such as Imperial Rome, in which the elite never sought to create a
common national culture of loyalty and commitment, but were content to develop a centralised
and penetrative bureaucracy, while at the same time permitting culturally distinct component
units to survive and retain some autonomy' .

The above comment of Almond and Powell smacks of a cultural totalitarianism that is characteristic
of the US polity where knowledge of the English language is the primary condition of citizenship.
It ignores the empirical reality that any large political unit is bound to allow considerable local
and cultural autonomy in order to obtain an overall territorial loyalty of the people to the state.
After the dissolution of the Roman Empire a number of feudal states grew up in Europe even
though some of them called themselves 'empires.' They were ruled by dynasties wielding
absolute power over their subjects with claim to divine right to rule. The Reformation in late
fifteenth century undermined this divine right theory and the Renaissance brought in a new self-
confidence among people. Thus the concept of a 'national state,' as opposed to that of a
'dynastic state' was bom. The monarch became the symbol of the nation's unity.

15.2.3 The value of the Almond-Powell Schema

The analytical value of the Almond-Powell schema is, however, considerable. According to
these authors the primitive political systemshandled their problems largely in and intermittent
ways, by means of ad or minimal structural differentiation and specialisation. The traditional
political systems were characterised by specialised regulative and extractive structures and by
a symbolic capability intended to create loyalty among its members and identity with the larger
political system. But the problems of participation in the political system and of distribution of
its products were still handled diffusely and intermittently. In the modem stable democracies all
these functions are sufficiently distinct.

Yet they have worked in different ways in different countries. Thus, in Britain in the Tudor
period, state building proper, in the sense of penetration of the state in the civil life and integration
between the two, was achieved. But the process of nation building in the sense of growth of
cultural homogenisation and subsystem autonomy went on till the nineteenth and the twentieth
centuries. It was in the nineteenth and then twentieth centuries that the problem of participation
and distribution of welfare was addressed. This prolonged step-by-step process helped Britain
to follow a rather smooth path of transition.

In Germany these four processes were almost simultaneous and spread over a short period.
While in Tudor Britain the feudal lords lost their estates they were accommodated with power
and influence in the Parliament and the bureaucracy. On the other hand, in Germany, feudalism
was absorbed in the state's bureaucratic and military structure. France lay somewhere in
between these two models. There the feudal absorbed in the royal court and
divested of power as well as their communal roots. A newer aristocracy based on office
controlled state power and closed high offices to the middle class creating a crisis of state
authority, identity, loyalty and participation.The French peasantry was alienated by the burden
'
of taxation, military services and feudal privileges. Hence the instability in revolutionaryFrance.

The contrast posed between the smooth British model on the one hand and ,

model of instability posed by the above analysis on the other rests on the assumption that Britain
had time and the genius to hand the process of political development while the others had
neither. This is a-historical analysis, too abstract to give a clear picture of the French and
German political experience. How does post-Nazi Germany or the Fifth Repubfican France
conduct their politics? Did they start the state-building process anew? How did the United States
of America, for that matter, cope with the problem of state building after

15.3 CONSTITUTIONALISM

15.3.1 Origins

The beginning of the Enlightenment in the seventeenth century that stressed the value of the
individual freedom and set in the process of curtailment of the authority of the monarch. The
political ideology of this trend was reflected in the Social contract Theory that denied the.
monarch any divine right to rule. Instead, the monarch's power was said to have been voluntarily
surrendered by the people on certain conditions. In other words, the ruler's power was not
unconditional. Even though John Hobbes was reputed to be an absolutist, he laid stress on the
sovereign's obligation to protect the life of the people. went by adding 'property'
to this obligation stressing further that 'property' included liberty. More basic, however, was
Locke's assertion of the autonomy of the civil society that had been created by a social contract
prior to the contract between the civil society and the ruler establishing the state. Locke's
sovereign was, therefore, a sovereign with a limited authority. Therefore, he endorsed the
monarchy that had been created by the Glorious Revolution of 1688.

This is the basis of the concept of 'constitutionalism'. It was subsequently developed by the
French political philosopher, Montesquieu, who, expanding the British model of government
established in 1689, gave the scheme of a separation of power that, in turn, influenced the
framing of the world's first written Constitution: the Constitution of the United States of America
and was followed, to different extents, by many other democracies with written Constitutions.

15.3.2 Meaning of Constitutionalism

The literal meaning of 'constitution' is the way a body is constituted and structured. In Political
Science this would mean the way a state and its authority is constituted. When Aristotle wrote
his Politics studying about 150 city states in the Hellenic world, and classified constitutions,
he was using this literal meaning of 'constitution'. Later, a value was added to it. A Constitution
is believed to have the quality of stability and respectability to the extent that the people expect
it to be followed by the members and organs of the Government. This practice of the Government
 following the Constitution is called 'constitutionalism'. This means that the Government cannot
be run by any person's whims.

Constitutionalism, however, is not republicanism, as the name 'constitutional monarchy' would

indicate. Even now in Europe there are dynastic monarchs who have given up their absolute
authority to elected the other hand, republicanism, that means the system headed
by an elected President, does not necessarily indicate constitutional rule. Military leaders in
several countries have proclaimed themselves Presidents and even obtained popular 'support'
by devious means including referenda. They have tampered with the constitutions of their
countries and, thrown them out of the window.

There is also a difference between constitutionalism and democracy at the theoretical level, best
illustrated by the social contract theory of the philosopher of the French Revolution, Rousseau.
Rousseau advocated direct democracy, denied any special status to Government and any limit
to the popular will that he regarded as sovereign. Direct democracy, however, is just impossible
in the mass States of today. A principle of representative government has, therefore, been
universally accepted. Because the representatives have handed over power to rule in future a
Constitution becomes necessary to lay down the limits of their power - 'the rules of the game,'
as they may be called. It is assumed that the makers of a constitution start with a slate
and have no axe to grind. They are unbiased. The Subsequent politicianshave to follow the rules.
That is why most Constitutions of the world make the Constitutions 'rigid,' that is to say, not
alterable by legislative procedure. Where such written-and rigid Constitutions do not
exist certain conventionsand customs are, by national consensus, considered inviolable. The
classic example of the first type is the US Constitution, that of the'second type is the British
Constitution.

15.4 MODELS OF CONSTITUTIONS

15.4.1 British Model of Constitutionalism

An extension of the contradiction between populism and constitutionalism is the rival claims to
legitimacy by an elected legislature and a non-politicaljudiciary. In Britain, the Constitution being
unwritten, sovereignty of the in Parliament is the prevailing principle of government. That
means that the Crown is a part of the Parliament but not a member of any House. The Crown
can address the Houses. No court can review or invalidate an Act of Parliament even though
the British courts interpret Parliamentary enactments quite liberally. There is no concept of strict
separation of power in the British constitutional system.

In the British Constitutional system there is a bicameral legislature the upper chamber -the
House of Lords - is made up of hereditary and nominated Peers and the lower chamber - of
elected representatives of the people. The executive power is vested, nominally, in the monarch
but actually in the Council of Ministers that contains members of both the Houses but is
responsible to the House of Commons. This responsibility- meaning the liability of the Council,
of Ministers to be removed from office if it loses confidence of the House of Commons - is
an insurance against the of the executive. On the other hand, the power of the Council
of Ministers to obtain dissolution of House Commons and seek a fresh election is an
. insurance against the tyranny of the House. An election means a reference to the voters who
are the political sovereign.
 A possible conflict between the the judiciary is sought to be resolved by the
arrangement that the highest court of the country is the House of Lords and the House of Lords
is generally aloof from the humdrum s f the country's politics. This, however, is not strict
separation of power. The power of judicial review that is exercised by the United States of
America's Federal Supreme Court does not belong to the judicial committee of the British House
of Lords. The House of Lords as a whole has the power to delay the passage of a law at the
most.

15.4.2 The US Model

The basic difference between the constitutional systems of Britain and the USA is that, the US
Constitution being written, the constitutional law there has been placed above the ordinary laws,
while in Britain there is no written Constitution and all laws made by the Parliament are of equal
strength. While interpreting the laws in the USA, the Supreme Court places the Constitutional
Law above the ordinary law and overrules any legislation that, in its opinion, conflicts with the
Constitution. This is the basis ofjudicial review. This has given rise to allegations ofjudicial
indifference to public policy, especially in the 1930s. Lately, however, the US judiciary has been
found to be quite sensitive to public policy.

'The nominal and the real executive in the USA is the President, elected indirectly by the people.
The legislative power in the USA is vested in the elected, bi-cameral, Congress. There is no
, responsibility of the executive to the legislature. But the system works on the basis of control
-the concept of 'checks and balances,' as it is called. President has a team of Secretaries
work for him at the head of each administrative department. His choices are of course subject
to ratification of the second chamber of the US Congress-the Senate or the Council of States.
, All laws are enacted by the Congress, but the assent of the President is necessary. The
Congress is also the sole controller of the funds of the Government. The President cannot
address the Congress but he, or his Secretaries, may meet the Congressional committees.
Legislations and Finance Bills are by the Congressional Committees.

The US Constitution is not only written but also An Amendment of the Constitution
requires to be proposed by two-thirds of both the Houses or by a convention called on application
of two-thirds of the State legislatures and ratified by three-fourths of the State legislatures or
State conventions. A does not need the President's assent. The
original US Constitution, however, is skeletal. Over more than two hundred years since its
inception, only 26 Amendments have taken place. Growth of conventions and numerous judicial
decisions have led to its elaboration.

A salient feature of the US Constitution that marks it apart from the British Constitutional
system is its federal character. Britain - the United - is a unitary state,
governed as one unit. Sovereignty, or the governing power, in the United Kingdom is exclusively
vested in the in Parliament. In the United States of America sovereignty is divided
between the Union and the States. The powers the Union are limited by the Constitution. The
residual powers belong to the States. Being the guardian of the Constitution the Federal Supreme
Court is also the guardian of the federal relations. The have their awn courts. Over the
In the Br tish Dominion of Canada a combinationof the model of parliamentary
with a federal territorial structure emerged in 1867. Its key was provincial autonomy.
This model, in a republican form, was adopted by in 1950 a t the same time borrowing
elements from the Constitution of the former Union of Soviet Socialist Republics.

15.4.3 The Continental Systems

In continental Europe three other main of government emerged from the mid-19th century
onward. A collegial executive came into existence in the tiny republic of Switzerland where the
Ministers are elected by means of proportional representation by the legislature but are not
responsible to it. They hold the entire period of life of the legislature. There are
even elements of direct democracy in the forms of initiative, referendum and recall.

Switzerland is also a federation of a special kind. It calls itself a 'confederation' - a designation

that was owned by the USA between 1777 and 1789 when the Federal Constitution came into
existence. The Swiss people consider themselves a multi-religious, multi-lingual nation. Three
major languages - German; French and Italian - and two major religious sects - Catholic and
Protestant - divide the Swiss people into 22 cantons and six half-cantonswhich themselves are
culturally homogeneous. The Swiss cantons enjoy more autonomy than the states of the USA.
Switzerland is the first experiment in multi-cultural nationhood to a greater extent than Canada.
It may be noted that when the first workers' and peasants' state-the Union of Soviet Socialist
Republics was set up, it adopted the Swiss model and called itself a 'multi-national state'.

After World War Germany developed what is called 'the Chancellor system' of Government
where the Chancellor - the equivalent of a Prime Minister, is appointed by the Federal President
with the approval of the Bundestag, the first chamber of the federal legislature. If the Bundestag
does not agree to the President's recommendation, it has to elect a Chancellor. The Bundestag
also cannot move a vote of no confidence against the Chancellor before electing an alternative
Chancellor.

Since the new kind of Constitutions have developed in which the head of the state is
above the Government and is a kind of ultimate guardian of the Constitution. This type first
developed in France when Charles de Gaulle set up the Fifth Republic. It was later taken up
by Sri Lanka (Ceylon). Some military dictators elsewhere have attempted to set up such
Constitutional structures.

15.4.4 The Evolutionary Mode of Constitution Making

The distinction between an unwritten and flexible constitution on the one hand and a written and
rigid constitution on the other can be traced to the history of the countries possessing them. The
British Constitution is the product of an almost unbroken course of development. Only
once in the British history was monarchy violently overthrown - in the civil war of 1648. The
leader of the revolution, Oliver Cromwell, assumed the role of the Lord Protector and issued
an 'Instrument of Government' in 1649 that worked as a temporary Constitution for a few
years. After Oliver Cromweli's death, Richard Cromwell, became the Lord Protector and the
British people realised that they had got only a hereditary dictatorship. They overthrew it and
restored monarchy. But the new Charles had no intention to respect the legislature.
not abolish monarchy. The new monarch, William of Orange, was happy enough to issue the
Declaration of Rights of 1689 that is the basis of constitutional monarchy in Britain. In the
succeeding years two major developments occurred. One was the establishment of the political
leadership of the Council of Ministers and its Cabinet committee and the other was the gradual
expansion of franchise. In 1928 universal adult franchise was established in Britain.

The growth and completion of the cabinet leadership in Britain, paradoxically, grew in a negative
form -that of ministerial responsibility. Technically it means that the Council of Ministers is
collectively responsible to the legislature to which the monarch has surrendered all powers of
govemment. This has an extremely practical significance because all powers of the Government
are exercised by the monarch on the advice of the Council of Ministers. Hence the 'The
King can do no wrong.' The Council of Ministers, in turn, claims to command the confidence
of the legislature. Indeed the legislature can get the Council of Ministers removed by passing
a vote of censure against it. But, so long as the Council of Ministers is in office, it is the leader
and the spokesman of the legislature. No monarch can reject its advice.

The fact that the monarch always abides by the advice of the Council of Ministers and that the
Council of Ministers is responsible to the legislature are the two legs that the constitutional
government in Britain stands on. But these facts do not automatically make Britain a democracy.
Britain's democracy ultimately rests on the people's right to vote. It is this need of democracy
that has made the House of Lords, a hereditary and nominated House of the British Parliament,
virtually powerless.

The point to note here is that British constitutionalism developed and matured into democracy
in course of about seven hundred years from 1215 to 1929. This was a continuous process
- except for the temporary break between 1648 1659. Britain, therefore, never had the
occasion to frame a complete and formal constitution. Therefore, the British constitution is said
to be 'unwritten.' But there are several elements in the British Constitution. Several Acts
of Parliament and judicial decisions have constitutional character. Although they may be amended
or reviewed by Parliamentary Acts, are nevertheless held sacrosanct. The British genius,
of rests in the growth of constitutional conventions. The cabinet system is almost entirely
based on conventions.

15.4.5 The Revolutionary Mode of Constitution Making

Constitutional government in other liberal democracies has the revolutionary course.

Usually after a liberal, anti-authoritarian revolution, people's desire to 'start with a clean slate,'
redesign their political structure by one stroke and sit together in an assembly or a convention
to achieve this objective.

The world's first such gathering was the Philadelphia Constitutional Convention of 1787 that
framed the Constitution of the United States of America. 52 representatives of the 13 North
American states that had become 1776 and set up a confederation in 1777 had originally
met to revise the terms of the Confederation. Ultimately, however, they framed the seven
Articles that came to be known as the Federal Constitution of the United States of America.
It was enforced all the 13 States ratified it. It went through 26 subsequent amendments
and was enriched by conventionsand judicial decisions.
 The second such gathering was the French 'States General' of 1789 that first met at the royal
summons in three 'estates' -the clergy, the feudal nobility and the commonality. The three
estates having been unable to meet together, the Third Estate, with the participation of a major
section of the clergy, constituted itself as the National Assembly and declared that in France
sovereignty rested in the nation. The Declaration of Rights of Man, on 12 August 1789 proclaimed
that 'all men being born equal should have equal rights' It went ahead to draft a constitution
enshrining the principle of constitutional monarchy and yet incorporating the US pattern of
separation of powers. The National Assembly laid down that the Constitution could not be
changed for ten years. The King, Louis VI accepted the Constitution but would not abide by
it. A war with Austria complicated the situation and the leadership of the
Assembly was replaced by the Convention that abolished monarchy. France was thrown into
chaos giving rise to the dictatorship of Napoleon Bonaparte.

Unlike the American Revolution that was purely political,the French Revolution was not only
but also socio-economic. It, however, lacked the leadership that could replace the
ancient regime that it had overthrown. The revolution, therefore, failed.

But a Constitution had been framed. Both the Philadelphia Constitutional Convention and the
French National Assembly had done it by going beyond the terms of reference on which they
had been set up. Both of them were revolutionary. This did not happen in the
Parliament of 1848 Prussia, that had been summoned by the monarch and that had framed a .
constitution for a constitutional monarchy. The monarch refused to accept the Constitution and
the Frankfurt Assembly simply defeat.

15.5 CONSTITUTIONALISM AND STATE BUILDING

15.5.1 Constitution as a Framework

Historically, therefore, the Constitution of a country has defined the contours of state building.
Structurally, it is the framework within which the state and the entire political system operate
by determining the limits of power of the sovereign and the rights of the people. Setting up a
Constitution - not in the descriptive but in the normative one - simultaneously achieves
I
two fundamental objectives: (1) It separates the state and the civil (2) It frees state
authority from the whims of a ruler.

15.5.2 State and the Civil Society

When the state controls the affairs of the civil society the system is totalitarian. In the
primitive societies there is no differentiation political control and social authority. In the
traditional societies too the dynastic ruler, often in league with the clerical and the
feudal subordinates, controls social affairs. Karl observed that it was not before the
eighteenth century that the civil society in Europe became really autonomous. That was the
period of developing capitalism and political liberalism. On the other hand crisis of capitalism in
the period between the two World Wars gave rise to totalitarian communism and fascism in
Europe.
.
I
The other kind of problem concerning the relationship between the state and the civil society
is one of autonomy of the state the civil society. In societies driven by communal and ethnic
extremism sometimes the state becomes subservient to sectional interests. Neutrality of the state
power is an essential condition of its stability. Throughout the middle ages, Europe saw religious
leaders vying with the secular ones for political hegemony. After the Reformation, European
states became involved in bloody religious conflicts. It was in order to detach the state authority
fiom such sectional conflicts that the doctrine of secularism was evolved. The very First
Amendmentto the United States Constitution, in 1791, laid down that the Congress would not
muddle with religiousaffairs.

Religion, however, is not the only divisive force in a society. Race and language are the two
other main causes of discord. The USA has experienced sharp racial conflicts. A number of
constitutional amendments since 1868 have tried to reduce his evil and ordinary legislative and
executive measures have been taken. In India religion and language have caused great strife.
The Constitution of India has adopted secularism as a guidingforce. Part of the Constitution
proclaimed Hindi and English as the official languages of the Union. States are free to adopt
their own official languages for internal use. Members of Parliament are free to speak in any
of the Indian languages mentioned in the Eighth Schedule. Religious and linguistic minoritiesare
free to set up their own educational institutions. Freedom of religion is granted to all citizens.

15.5.3 Rule of Law

The concept of Rule of Law was first developed in the United Kingdom to fight arbitrary
executive power. It encompassed a body of customsand traditions, constituting what are
called 'the common law,' legislationsand judicial decisions. Constitutionalism is actually a sub-
set of the Rule of Law. Its special feature is treating the constitutional law as the highest law
of the land.

Pursuit of the rule of law requires an independent judiciary the members of which are expected
to be persons of legal knowledge and integrity. By way of applying law the judges interpret it
and even expand its scope in the form of 'judge-made laws.' Judicial review, that is, the power
to invalidate an ordinary law on the ground of its conflict with the Constitution, is an offshoot
of the judiciary's power to and apply law. To guarantee the rights of citizens fiom
arbitrary executive action the judiciary applies various 'writs' like habeas corpus and mandamus,

15.5.4 Army and Bureaucracy

A non-political army and a non-partisan bureaucracy are among the highest requirements of
constitutionalism. Members of the armed forces and the bureaucracy are placed under the
nominal authority of the chief executive of the country. They are recruited through public
examination systems of different kinds. They are expected to obey orders of the
within the confines of law. army looks after the defence of the country, the police
forces look the law and order and the bureaucracy administers the policies of the state.
The bureaucracy is the chief link between the state and the people and the chief agent of the
state's development activities.The bureaucracy and the army accountable to the political
executive that, in a democracy, represents the people.
 15.6 CONSTITUTION OF RIGHTS

I 15.6.1 The Origins

The original meaning of the word 'right' is appropriate /correct. The current meaning of right
as entitlement is derived from its association with nature. It is to note that the father
of the theory of constitutional government, John Locke, was also the father of the theory of
natural right. He meant by it the natural of people to certain conditions of
existence. He mentioned the right to life and the right to property, defining property in a wide
sense including liberty.

This posed a contradiction between the power of the Government and the rights of the people.
Rights of the people were assumed to be safe so long as the power of the Government was
limited. This theoretical position marked a radical discontinuity with all the previous notions of
government. The ancient Greeks spoke of justice. It was the responsibility of the Government
to do justice to its people. 'justice' was, therefore, the central concern of Greek political
theory. In the days of the dynastic monarchies this perception persisted but whatever was issued
from the Government, was treated as a royal favour. Locke changed the view altogether.

lndeed every idea has its roots. As early the British aristocracy forced the
King to sign a document, that later came to be known as the conceding their
demands that there would be no detention of subjects without trial and no collection of taxes
without the consent of a Parliament. The King did not respect his commitment. In 1628 the
Parliament submitted to the Crown a Petition of Rights that was not immediately granted. The
Civil War of 1648 resulted in Charles I losing his head. The Glorious Revolution of 1688 was
bloodless. But it resulted in the Declaration of Rights in 1689. Locke built his theory on this
revolution.

But the Declaration of Rights itself was not a victory of the concept of natural rights. It issued
from the Crown. While issuing the Declaration, however, the Crown set for itself certain limits
to its powers. Thus the idea of a limited or 'constitutional' monarchy was born.

It was the American declaration of Independence that asserted the theory of natural rights first.
It spoke of 'a people's' entitlement to the right to 'separate and equal status' by the 'Laws of
Nature and Nature's God'. The declaration said:

"We hold these truths to be self-evident, that all men are created equal, that they are endowed
by their Creator with certain unalienable rights that among these are life, liberty and the pursuit
of happiness. That to secure these rights, governments is instituted among men, deriving their
just powers from the consent governed. That whenever any form of government becomes
destructive of these ends, it is the right of the people to alter or to abolish it, and to institute new
government, laying on such principlesand organising its powers in such
to them shall seem most likely effect their safety and happiness".
The declarationof rights was an assertion of a natural collective right - that of a ruled people
against what they consider to be an oppressive ruler. The original Constitution of the USA
in 1787 and enforced in 1789 did not contain any bill of rights. But there was widespread
apprehension about the powerful federal Government that was set up by the Constitution. The
leaders of the Philadelphia Constitutional Convention that had the Constitution, therefore,
assured the people of their rights being incorporated in the Constitution shortly after
it came into force. In 1791 the first ten amendments to the US Constitution those
rights.

15.6.2 Nature of Rights

The rights that were guaranteed by the first ten amendmentswere 'natural rights' in the sense
that they were drafted in a negative way. They bound the state to respect those rights. But they
were individual,and not collective, rights. Subsequently, in the judgement in the versus
Madison case of 1803, when the US Federal Supreme Court assumed the power of judicial
review, it took upon itself the role of the guardian of the fundamental rights of the US people.

There is, thus, a fundamental assumption of contradiction between the rights of and the
power of the state in the liberal democratic theory. It was first removed in the Constitution of
the 1936, Constitution of the of Soviet SocialistRepublics in which the rights were
formulated in a positive language implying that it was the obligation of the state to provide for
those rights. Constitutional guarantee of the fundamental rights of the citizens, therefore, is a
necessity.

Liberal democratic Constitutions in the West have put a premium on political rights because
these are concerned with the power of the state. The prevailing economic philosophy of liberal
democracy has been -meaning that, left to themselves the people can take care
of their own interests. The state should confine itself to the maintenance of law and order
without discriminating thecitizens. The 1936 Constitution of the Union of Soviet Socialist Republics
put a premium on economic rights, particularly, the right to guaranteed employment on the belief
that, without a decent condition of livelihood, political rights are meaningless. The system,
however, collapsed in 1990.

During the framing of India's Constitution, the Constituent Assembly of India debated the
possibility and desirability of ensuring certain positive fundamental rights. It was, however,
considered not feasible within the liberal democratic framework. Following the Irish model,
therefore, certain Directive Principles of State Policy were laid down with a view to ameliorating
the socio-economic conditions of the Indian citizens.

The shortcoming for a system of positive rights is its essentially voluntaristic There
is no way the state can be sued for failure to implement them. No judicial guarantee can be
given for any positive right for the defaulting state may simply plead inability. There can be only
political judgement of a state's performance. On the other hand, when a negative right is
violated, the state is seen to have transgressed its limit. The court will simply refuse to give
effect to a law or an order of the state that it considers ultra vires and people would be free
to violate such a law or order.

15.7 SUMMARY
In this unit, you have studied that the concepts of 'nation' and 'state' had witnessed a parallel
growth in history, but the two are not necessarily co-extensive. While the state is a territorial
concept, the concept of nation has a human dimension. The state is often identified with the
concept of 'nation'; at the same time the two concepts are interlinked. Nation-building involves
both economicdevelopment and psychological integration of the population. In the state- building,
the determination of the authority, territorial extent of the spread conformity with the authority
are crucial requirements. In this context, constitutionalism is important. The constitutional models
of various countries define the parameters of the state- building. Civil society, Rule of Law,
A m y and Bureaucracy act as accountable institutions in the state- building. Rights are also an
inseparable part of state building, as this ensures justice to the people of the nation, and
guarantees their rights. Rather, the preservation of rights and promotion of interests
of the population constitutes the core of state-building.

15.8 EXERCISES

How do you distinguish between the concepts of 'state building' and 'nation building'? What
are their respective components? I

Discuss the meaning of 'constitutionalism.' Is there any contradiction between the concepts
of 'constitutional government' and 'democracy?'

Discuss the constitutional models of the major Western democracies.

Discuss the evolutionary'and the revolutionary modes of the growth of constitutionalism.

What are the structural implications of their differences?

What is the relevance of constitutionalism to state buildingtoday? I

SUGGESTED READINGS
Ahmed, N. and Norton, P., (eds) Parliamentsin Asia, London: Frank 1999.
Alexis de Democracyin New York: GardenCity,
and Bingham Powell, PoliticsToday: A 7 edn, New
York: Harper Collins, 20
Anderson, Benedict., Imagined Communities: Reflections on the Origin and Spread of
Nationalism, London: Verso, 1991.
Andrews, William G., Constitutionsand Constitutionalism,Delhi: Affiliated East-West Press
Private Ltd, 1971.
Apter David E., Introductionto Political Analysis, New Delhi: Hall of India, 1970.
(ed.) Mappingthe Nation, London: Verso, 1996.
Ball, T. and Dagger, R., Political Ideologies and the Democratic Ideal, New York.:
ins, 1995.
T.S., International Institutions,New Delhi: Bookhive, 1987.
J.-F., The State in the Politics of the Belly, Harlow and New
1993
Magnus. and Development theory in transition: The dependency
and beyond, London: Zed Books,1984.
M. and van de N., Democratic Experiments in Regime in
Comparative Perspective, Cambridgeand New York: Cambridge University Press,1997.
J., Nationalism State, edn, New York: St. 1993.
P., Century Dictatorships: The Ideological One -PartyStates,
Macmillan, 1995.
and Gagnon, A., Comparative Federalism and Federation: Competing
and Directions, Hempstead: Harvester 1993.

Craig., Nationalism, Open University Press,1997.

Chandhoke, Neera., State and New Delhi: Sage
Chaube, of India: First Edition,
New Delhi: People's Publishing House,1973.
N, Politics and Society in Contemporary 3 edn, Boulder, Colorado:
I
Lynne Rienner,1999.
.
 Ronald H., TheoriesofComparative Politics, Boulder, Colorado: Press, 1981.

C. Group Politics, 5 edn, Washington,D.C.:

Quarterly Papers, 1 995.

Jean L., and Andrew Arato. Civil Society and Political Theory, Press,
Mass.,1997.

Dahl, R., Modern edn, Cliffs, Hall, 1991.

Dalton, R. and M., Politics Without Partisans: Political Change in Advanced

Industrial Democracies, Oxford and New York: Oxford University Press, 2000.

Diamond, Developing Democracy: Toward Consolidation, Baltimore: Johns Hopkins

University Press, 1999.

Duchacek, I., in The Blackwell Encyclopaedia of Political

Science, V. Bogdanor, Oxford and Cambridge, Mass: 1991, pp.142-4.

Dunnleavy, Patrick and Brendan Theories of the State, London: Macmillan

Education, 1987.

David., The Political System, New York: Alfred A. ,1981.

R., Political Leadershipin Liberal Democracies, Macmillan, 1995.

Finer, S., Government, Penguin, 1974.

Frank McDonald,and Stephen Dearden., (eds.), Economic Integration, Oxford: Oxford

University Press,1992.

I E., Nations and Nationalism,Oxford: Blackwell, 1983.

I Gibson, J. and Hanson, P., (eds)

Economyof Postcommunist
Below: Local Power and the Political
Aldershot and Brookfield, Vt.: Edward 1996.

Gills, B., and Rocamora, J. and Wilson, R., (eds) Low IntensityDemocracy:Political Power in
the New World Boulder,Colorado and London: Pluto, 1993.

Gough, Katherine (eds) and RevolutioninSouthAsia, New York:

Monthly Review Press, 1973.

I
Liah., 'Encyclopedia of Nationalism Volume 1, London: Academic Press, 2001.
pp.883-898.

Montserrat., Nationalisms - The Nation State and Nationalism in the

London: PolityPress, 1996.
 Harris, and James A Genuine Global Governance: Critical
Reactions, in "Our Global Neighbourhood", Westport, 1999.

Hechter, M., ContainingNationalism,Oxford and New York: Oxford University Press,

David Held., "Democracy, the Nation-state and the Global System" in his "Political Theory
Today", London: Polity Press, 1991.
David Held, Global Transformations Politics, Economics and Culture, London: Polity

I press, 1999.

Held, D., Democracy and the Global Order, Cambridge: Polity, 1995.

I Held, D., Models of Democracy, Cambridge: Cambridge University Press, 1996.

Hettne, Globalism and the New Regionalism, Basingstoke: Macmillan, 1999. .

I Andrew., Political Ideologies, edn, Basingstoke: Macmillan, 1998.

i Andrew., Politics, London: Macmillan, 1997.

Hobsbawm E.J., NationsandNationalismsince1780, Cambridge: CambridgeUniversity Press,

I Howard J.
Press, 1985.
(ed.) NewDirectionsin ComparativePolitics, Boulder,Colorado:

Hutchinson,John. and Anthony DSmith., Nationalism,Oxford Readers: Oxford UniversityPress,

1994.

and Khilnani., CivilSociety, Cambridge: Cambridge University

Ohmae, K., The World, London: Collins, 1995.

Parekh, B., Gandhi Political Philosophy: A Critical Houndmills: Macmillan,

1989.
Putnam, Robert., Making Democracy Work: Civic Traditions in Modern Italy, New Jersey:
Princeton University Press,1993.
Roy C. Macridis, (ed), Comparative Politics, NotesandReadings, 1986.

Sarangi, Prakash., Liberal Theories of the State: Contemporary Perspective, New Delhi:

S., Losing Control? Sovereignty in an Age of Globalisation, New York: Columbia

University Press. 1996.

Smith, A.D., Theories London: Duckworth, 1971.

London: and
Tornquist, Olle., Politics and Development: A critical introduction, New Delhi: sage
publications,1 999.
The Modern New York:Academic Press,]974,1979.
Two Vols.
Walters, R. and Blake, D., The Politics of Global Economic Relations, 4 Englewood
Cliffs, NJ: Hall, 1992.
Peter.,'Transnational actorsand internationalorganizations in global politics' in Baylis,
, The Globalisation of World Politics: An Introduction to
., Oxford:OxfordUniversity Press, 2001.
UNIT 16 ETHNICITY POLITICS AND STATE
Structure
16.1 Introduction
16.2 Ethnicity : Meaning
16.2.1 Characteristics of Ethnic Groups
16.2.2 Ethnicity
16.3 Ethnicity and State
16.4 Assimilation and Integration
16.5 Pluralism
16.5.1 Multiculturalism
16.6 Power Sharing
16.6.1 Federalism
16.6.2 Consociationalism
16.7 Summary
16.8 Exercises

16.1 INTRODUCTION
Almost all states today are marked by diversity and difference-differences of ethnicity,
culture and religion in addition to many individual differences which characterise members
of societies. A large number of these states are confronted with ethnic conflicts, assertion
of ethno-religious identity, movements for recognition, rights of self determination etc.
In view of the fact that the prospect for peace and war, the maintenance of national unity
and the fundamental human rights in many parts of the world and in many ways depend
on the adequate solution of ethnic tensions the way States deal with the question has
become one of the most important political issues in the contemporary world. Of course
each state has its own unique way to deal with or responding to its cultural diversities
yet there are some general approaches which states adopt, or have been suggested by
experts. An understanding of the responses of States and approaches in dealing with
ethnic groups will be useful for the students of comparative politics to analyse the
phenomena in general and specific situations as also to make policy suggestions.

16.2 ETHNICITY: MEANING

Race, ethnicity and cultural identity are complex concepts that are historically, socially
and contextually based. These social relations, according to James, are dynamic; their
meaning changes overtime. Apple refers to them as “place markers” operating in a
complex political and social arena.

Historically, the term “ethnic” derives from the Greek ethnos (ethnikos) which refers to
Heathen nations or peoples not converted to Christianity. It was also used to refer to
races or large groups of people having common traits and customs or to exotic primitive

2
groups. In anthropological literature the term “ethnic group” is generally used to designate
a population which (1) is largely biologically self perpetuating (2) shares fundamental
cultural values, realised in overt unity in cultural forms; (3) makes up a field of
communication and interaction; (4) has a membership which identifies itself, and is
identified by others as constituting a category distinguishable from other categories of
the same order. By ethnic group sociologists generally mean a relatively stable socio-
cultural unit performing an unspecified number of functions, bound together by a language,
often linked to a territory, and derived actually or allegedly from a system of kinship.
In this sense the ethnic community is an extremely old collective reality. International
Encyclopaedia of Social Sciences defines an ethnic group as “a distinct category of the
population in a larger society whose culture is usually different from its own. The
members of such a group are, or feel themselves, or are thought to be, bound together
by common ties of race or nationality or culture.”

In modern political usage the term “ethnic” is generally used as a designation of social
unity based upon common and separate language or dialect, historical living in a defined
area, occupation and mode of life, cultural and social traditions, customs and folklore.
It is also used for social class, racial or national minority groups and also for distinguishing
cultural and social groups in society. There are however differences with regard to
emphasis. Some would include a religious denomination under the rubric, some would
identify a race as an ethnic group, whereas for others the latter is a smaller subdivision
of race, and so on.

There are some for whom an ethnic group is composed of what have been called
“primordial affinities and attachments”. For them it is the identity made up of what
person is born with or acquires at birth. But for some, ethnic groups, though centrally
concerned with cultural matters, symbols and values and with issues of self-definition
are not given entities but are social and political constructions. Paul Brass, for instance
says:

Any group of people dissimilar from other peoples in terms of objective cultural criteria
and containing within its membership, either in principle or in practice, the elements for
a complete division of labour and for reproduction forms an ethnic category. The objective
cultural markers may be a language or dialect, distinctive dress or diet or customs,
religion or race.

Some scholars view characteristics of ethnic groups primarily in alienation or migration

etc. T.K. Oommen opines that the ethnic is a group of people who share a common
history, tradition, language and life-style, but are uprooted from and/for unattached to
a homeland. Some writers in the U.S. have applied the term ethnic groups to immigrant
groups who are distinguished by cultural differences in language and national origin and
who have no distinguishing physical characteristics. Still for others, territorial relationship
is important. Smith, for instance, describes ethnic as a named human population with
shared ancestry, myths, history and culture having association with a specific territory
and a sense of solidarity.

With regard to basic features of ethnic communities there are differences among Marxist
writers also. Y.V. Bromley points out some of these differences among the Soviet

3
scholars. Some regard language and culture as fundamental features, others add to these
territory and ethnic self-consciousness, still others include in addition the peculiarities
of psychological make up ; a fourth group adds common origin and state affiliation and
a fifth group sees the essence of the ethnic communities only in specific psychological
stereotypes. Bromley defines ethnic group as a stable inter-generation totality of people
historically formed in a certain territory, who posses not only common traits, but also
relatively stable peculiarities of mentality, as well as awareness of their unity and
difference from all formulations of similar kind (self-consciousness) registered in the
self-name (ethnoim).

Some of the known definitions of ethnic groups, as mentioned above, make it clear that
there is no agreed meaning of the term “ethnic”. However each of them does refer to
some characteristics.

16.2.1 Characteristics of Ethnic Groups

As seen above among the observers, experts and even in general there is no agreed
meaning of the term ethnic. However various definitions do refer to some characteristics.
A review of the literature by Paul Brass suggests that there are three ways of defining
ethnic groups : in terms of objective attributes; with reference to subjective feelings; and
in relation to behaviour.

An objective definition assumes that though no specific attribute is invariably associated

with all ethnic categories, there must be some distinguishing cultural feature that clearly
separates one group of people from another. The features may be language, territory,
religion, colour, diet, dress or any of them. An objective definition is problematic in that
it is usually extremely difficult to determine the boundaries of ethnic categories in the
manner they suggest. A subjective definition carries with it the inherent difficulty of
answering the basic question of how a group of people initially arrives at subjective
self-consciousness. Behavioural definitions are really forms of objective definition since
they assume that there are specific, concrete ways in which ethnic groups behave or do
not behave, particularly in relation to and in interaction with other groups. Behavioural
definitions merely suggest that there are cultural differences between ethnic groups, and
the critical distinctions reveal themselves only in interaction with other groups. But the
existence of explicit codes of behaviour and interaction is rather more characteristic,
more pervasive and more evident in simple rather than in complex societies in which
people may establish their separateness with reference to specific attributes without
adopting an entirely distinct code of behaviour.

However, it is not the pre-eminence of the subjective over the objective or vice versa
but the linkage between the two, the complementarity of one with the other that facilitates
an understanding of the process of evolution and growth of an ethnic group characterised
by continuity, adoption, or change. Such a composit perspective has been provided by
the syncretistic. Taking a cue from the syncretists, Urmila Phadnis defines an ethnic
group as:

A historically formed aggregate of people having a real or imaginary association

with a specific territory, a shared cluster of beliefs and values connoting its
distinctiveness in relation to similar groups and recognised as such by others.

4
The definition suggests five major traits of an ethnic group: (a) a subjective belief in real
or assumed historical antecedents; (b) a symbolic or real geographical centre; (c) shared
emblems, such as race, language, religion, dress and diet, or a combination of some of
them which, though variegated and flexible, provide the overt basis of ethnic identity;
(d) self-ascribed awareness of distinctiveness and belonging to the group; and (e)
recognition of the group differentiation by others.

What is important is the self-defined and “other-recognised” status. And it is this self-
perception which is common in most of the definitions. Max Weber, for instance,
defined ethnic group as:

Those human groups that entertain a subjective belief in their common descent
because of similarities in physical type of customs or of both, or because of
colonisation and migration in such a way that this belief is important for the
continuation of non-kinship communal relations.

Contemporary writers, both liberal and Marxists, also give significant importance to this
self selection. Shibutani and Kwon, for instance suggest:

An ethnic group consists of people who conceive of themselves as being of a kind. They
are united by emotional bonds and concern with the preservation of their type. With
very few exceptions, they speak the same language, or their speech is at least intelligible
to each other, and share a common cultural heritage. Since those who form such units
are usually endogamous, they tend to look alike. Far more important, however, is their
belief that they are common descent, a belief usually supported by myths of partly
fictitious history.

Similarly, according to Bromley, “an ethnic group in the narrow sense of the word and
in its most general form may be defined…. also by an awareness of their identity and
distinctness from other similar communities. What emerges, therefore, is that an ethnic
group encompasses the attributes of a presumed or fictive sense of relatedness” a kindred
feeling which is perpetrated by myths and memories and reinforced by common
understanding concerning the meaning of set of symbols.

We can therefore have a working definition of an ethnic group as: A group of people
who share a feeling of people-hood based on real or fictional common ancestry, or real
or presumed shared socio-cultural experiences or memories of shared historical past and
focus on one or more symbolic elements of religion, language, dialect, race, tribe or
nationality diffused as the epitome of their people-hood.

In suggesting this definition we believe that while historical continuity is important,

ethnic group formation depends on a mobilisational process in the course of which
various symbols become important. But no particular attribute of ethnicity can assume
stable importance. The various components which figure historically have by no means
been uniformly involved over a period of time. Also ethnic groups are not necessarily
monoliths. These may have vertical and horizontal differentiations in terms of social
categories, occupational and class categories.

5
16.2.2 Ethnicity
From the above it becomes clear that in the present day context those groups which, in
given social context, consciously choose to emphasise their most meaningful primary,
extra familial identity on the basis of religious, racial, cultural, linguistic, national
characteristics, or a combination of any of them, are referred to as ethnic groups. The
number of such ethnic groups – sometimes referred to as peoples or nationalities – is
enormous the world over. How many are there is not easy to determine because there
are very few systematic treatises dealing with these matters. Stavenhagen suggests that
the educated estimates, based mainly on anthropological and linguistic criteria, would
place the number of nations, peoples, or ethnic groups at around five to eight thousand,
the real figure probably being closer to the latter. Our concern here is not with the
number of such groups but with the fact that these groups live in a specific number of
states into which the present world is divided. Accordingly with the entire land surface
(apart from Antarcica) now divided among states nearly all the states contain more than
one ethnic or cultural group within their borders and are thus heterogeneous or plural
societies.

The situation is particularly significant in numerous new states that have achieved
independence since the Second World War i.e. the post-colonial states in Asia, Africa
and the Caribbean. In most of the multi-ethnic states the world over, in recent years,
there has been a resurgence of ethnic and cultural demands and group consciousness
which is generally referred to as rise of ethnicity.

By ethnicity is generally meant that condition where certain members of a society, in

a given social context, choose to emphasise as their most meaningful basis of primary
extra familial identity, certain assumed cultural, national or sematic traits. It implies that
for a group associated around a common history and culture, their inheritance and the
nature of their projects appear as distinguishing feature differentiating this group from
the larger social formation in which this group is encased.

In political terms ethnicity is a sense of ethnic identity, which has been defined by De
Vos as consisting of the subjective, symbolic or emblematic use by a group of people
of any aspect of culture, in order to differentiate themselves from other groups or as
Paul Brass suggests, in order to create internal cohesion and differentiate themselves
from other groups.

Accordingly ethnicity, as Jyotindra Das Gupta, suggests, may be regarded as an enclosing

device which carves out a recogniseable social collectivity based on certain shared
perceptions of distinctive commonness often augmented by diachronic continuity.
While ethnicity implies historical continuity it can best be understood not merely as a
primordial phenomenon in which deeply held identities have to re-emerge, but as a
strategic choice by individuals who, in other circumstances, may choose other group
membership as a means of gaining some power and privilege. Therefore ethnicity may
be viewed as a device as much as a focus for group mobilisation by its leadership
through the selected use of ethnic symbols for socio-cultural and politico-economic

6
purposes. What is critical about an ethnic group is not the particular set of symbolic
objects which distinguish it, but the social uses of these objects; and that ethnic loyalties
reflect and are maintained, by the underlying socio-economic interests of group members.
In crude form ethnicity takes the form of ethnocentrism.
Ethnocentrism is basically a psychological term which denotes prejudicial attitudes
favouring one ethnic group and rejecting other. It can be related to “nationalism” and
“racism” but its focus is strictly on the individual’s relationship with an ethnic group
rather than with a “nation”. Ethnocentrism provides a general and perhaps even universal
bases for a type of behaviour which also underlines nationalism and racism. It is essentially
concerned with an individual’s psychological biases towards his/her ethnic groups, and
against other ethnic groups. Favourable attitudes are projected about the “in group” and
unfavourable ones about the “out group”. The intensity of ethnocentric attitudes and
behaviour varies from the mild and peaceful to the belligerent and megalomaniac. In
general, some form of political translation of the ethnic interests is necessary to move
ethnic groups from a social space to a political space. And in recent decades this process
has been gaining somewhat notorious significance having political and social implications
including that for the stability and structures of governments. The reasons for this kind
of transformation are several. Some of these you will read in the unit on ethnic movements.

16.3 ETHNICITY AND STATE

We have seen above that the overwhelming majority of societies today are multiethnic
and multicultural. Many of these are also in trouble. Some have proven unable to create
or sustain any strong sense of solidarity across ethnonational lines. The members of one
national group are indifferent to the rights and interests of the members of other groups.
This is increased by international migration caused by economic factors. Yet there has
been a tendency in most states to ignore or sidetrack the ethnic issue. Whereas most
states are multiethnic, few acknowledge this fact and even fewer have made constitutional
or other legal provisions for their multiple ethnicity. Even democratic states have argued
that by providing equal rights and opportunities to all the citizens they have respected
cultural specificities of particular ethnics. As Will Kymlicka points out, liberal democratic
states have historically been nation-building states in the following specific sense; they
have encouraged and sometimes forced all the citizens on the territory of the state to
integrate into common public institutions operating in a common language. States have
used various strategies to achieve this goal of linguistic and institutional integration.
Citizenship and naturalisation laws, education laws, language laws, policies regarding
public service employment, military service, national media, and so on. At the same
time in the face ethno-nationalism states have also adopted necessary frame works in
respect of ethnic groups. These strategies generally are summarised into broader categories
of assimilation, pluralism and accommodation.

16.4 ASSIMILATION AND INTEGRATION (MELTING

POT MODEL)
While most states in the world are polyethnic and multinational, they have at one time
or another attempted to create a national identity amongst its citizens, and have tried to

7
undermine any competing national identities, of sort which national minorities often
possess. The nation-state ideology proclaims national unity and the homogeneity as a
supreme value. This value-one-nation-one state-can only be achieved by a process of
policies designed to rapidly assimilate, integrate, or incorporate the non-dominant ethnics
and nationalities into the dominant mould. The idea behind these assimilationsit policies
is that culturally distinct ethnics will simply disappear and melt out in the wider society
– the United Nations. This is, therefore, also known as Melting Pot approach. Melting
Pot, originally coined by the Anglo-Jewish writer Israel Zang – will in his play of the
same name, produced in New York in 1908, the term referred to the manner in which
immigrants who came to the United States at the end of the nineteenth century were
encouraged to think of themselves as Americans, gradually abandoning their cultures of
origin until, as in the action of the melting-pot, they eventually became fully a part of
the bright new alloy. Through a process of assimilation, then, facilitated by the state,
all developed into Americans sharing a single common culture.

Supporters of the policy of assimilation suggest that in a multinational state, the agency
of state needs to follow a policy of absorption and assimilation as a prerequisite for
nation-building. Otherwise, constituent nationalities would demand a major say for the
group in the political system as a whole; or control over a piece of territory within the
country; or they may demand a country of their own with full sovereignty. Some
observers, however, do not suggest absorption in the majority culture. According to
them, since socio-cultural identities are particularistic and, therefore divisive, they must
be eviscerated, if not completely replaced, by forging new identities based on secular,
universal principles. Thus there are two ways suggested by integrationists. One, hegemonic
type which recognises only one primordial identity as legitimate. Here the national
culture is that of the dominant cultural mainstream; other cultures are to be dissolved
in it. Assimilation into the mainstream culture is the authentic measure of nationalism
and patriotism of minorities. The second is uniformity pattern that assumes that older
identities will gradually disappear and a new man (democratic and/or socialist man)
with an overarching political identity will emerge and all citizens would have the same
relationship with the state.

In general the integrationist approach implies the recognition of the individual’s rights,
obligations and privileges with the differentiated corporate entities being given a low
premium and the assimilation of the entire state population into a common identity. But
the experience shows that while individual rights and liberty, equality and fraternity are
very important and represent a major achievement in human history, they by themselves
are not sufficient to deal with ethnic issues. Both theoretical arguments and empirical
evidences support this contention.

In theoretical terms, making the state and nation commensurate with each other reduces
practically to a subject-condition all other nationalities they may be within the boundary.
Accordingly, as Acton points out, to the degree of humanity and civilisation in that
dominant body which claims all the rights of the community, the inferior races are
exterminated, or reduced to servitude, or outlawed, or put in condition of dependence.
In history, there had been attempts at various points to “clean up” the ethnic map by
genocidal measures. In recent past such “clean up” measures were carried out against

8
Jews and Gypsies under Hitler, Crimean Tatars, Volga Germans, and Chechen Igush
under Stalin; both Tutsi and Mutu in Rwanda and Burundi, overseas Chinese in certain
parts of South-east Asia, Kurds in Iraq etc. This has been done also by brutal unilateral
expulsions (Asians from Uganda, Germans from most of East Central Europe etc.)
Population exchanges by agreement or carried out as a result of fear has been another
method of bringing about uniformity in the ethnic map as in the case of Mellenese, from
Turkey and Turks from Greece; Macedonian Bulgars from Greece and Hellenes from
Bulgaria; most Hindus and Sikhs from Pakistan and many Muslims from India;
practically all Jews from the Arabs from the area which became Israel. But what all this
has lead to?

It is also found in history that the creation of relatively homogeneous national cultures
out of diverse ethnic groups by state usually takes centuries and even then leaves
ethnically distinct enclaves, as in modern France and Spain. It has been pointed out that
it required four hundred years for French to become the national language of France
after its adoption as the official language of country in 1539. And even today, language
and dialect differences remain important in the country in such regions as Breton and
Languedic. Even in U.S.A., the complete assimilation leading to the disappearance of
ethnic identities and solidarities, which was much discussed in the earlier part of the
present century, has not in any simple sense taken place.

As for integration through modernisation, it is now a thoroughly discredited proposition.

The experience of proliferating separatist movements seeking autonomous existence has
become commonplace, especially provoked in many instances by galloping modernisation.
In effect, the opposite hypothesis is now held to be true; namely that “modernisation in
multi-ethnic states tends to activate assertions for self-determination. Even after the so-
called socialisation of property relations and attempt to transcend the ethno-nationalistic
aspirations by class solidarity in Marxist oriented socialist states ethnicity prevails”.

Consequently the explicit assimilationist assumption embedded in the idea of the “nation-
sate” is losing currency though it continues to be popular among politicians and
administrators in a number of countries. In western liberal democratic countries ethnic
groups in the last thirty years have successfully challenged the “Anglo Confirmity”
model. Assimilation and the operation of the “melting pot” process are, of course, still
occurring. There is evidence, for example, that the American born children of immigrants
regard English as their first language but, at the same time, they and their parents are
living in increasingly segregated neighbourhoods. A change in orientation to the ideal
of assimilation, however, has taken place. In general, since the 1960s, much liberal
opinion has swung away from the belief that assimilation of minorities is a necessary
process in the building of a nation, towards the view that a pluralistic society is more
desirable.

16.5 PLURALISM
As a result of movements from ethnic groups, increasing concern for human rights and
in view of the consequences some states have faced as a result of imposing majority
values on minorities in many states multi ethnic states, there is emerging a recognition

9
of the danger of the chauvinism of the majority community and the sectarianism of the
minorities. The trend, therefore, is towards recognition of the diversity and accepting the
values of pluralism. Pluralism implies that people have learned to look at the world
from different perspectives that they have learned to accept other cultures, other languages
and other beliefs, and to respect the right to be different. Thus many, since the 1960s,
have moved away from policies seeking to assimilate and to greater or lesser degrees
made room for differences, along the lines of the British Policy of integration as set out
in the so called “Jenkins formula’ (after the British politician, Roy Jenkins). He said,
“I do not think we need in this country a “melting pot” which will turn everybody out
in a common mould, as one of a series of carbon copies of someone’s misplaced vision
of the stereotyped Englishman… I define integration therefore, not as a flattening process
of assimilation but as equal opportunity, coupled with cultural diversity, in an atmosphere
of mutual tolerence.

Pluralism is widely seen by academics and policy makers as a liberal policy enabling
racial and ethnic groups to preserve their own heritage and distinctiveness. Pluralism,
as Paul Brass suggests, is a “system that contains a multiplicity of social, cultural,
economic, and political groups and that does not permit the imposition of the ideas,
values, culture or language of a single group to be imposed upon the others”. The
pluralist perspective thus entails the recognition of corporate sectors along with individual
rights and privileges and envisages for diversity a role in the development of the
personality of the state. This diversity associated with pluralism, according to Roberts
and Clifton, is manifest in three domains: cultural, socio-structural, and psychological.
The basic assumption behind pluralism is that cohesion and coordination of national
efforts can be more feasible in a framework of accommodative responsiveness; that the
diversities are not inconsistent with the convergence of common ideals, interests and
apprehensions, and that even when specific manifestations of the articulation of diversities
are wholly inconsistent with national interests, the existence or continuation of such
sub-national loyalties should not be taken as anti-national. The corollary of this view is
that the raison d’etre of a nation-state disappears if its power structure does not reflect
its multiethnic character.

As regards implementing pluralism in practice, there are various devices that are available
to states. These include the creation of ethnically separated electorates; proportional or
compensatory representation in government; devolution of power to ethnically
homogeneous territorial unit; establishment of veto power and checks and balances on
ethnically relevant governmental decision; introduction of ethnic quotas in bureaucratic
and legislative bodies; provision of compensatory social and economic benefits to low
status minorities; and the creation of constutional or statutory guarantees or ethnic
blindness or evenhandedness in the use of governmental power. All these devices have
their own pros and cons and their utility and effectiveness depends on the specificities
of each case. However, for general understanding, these have two aspects; one relating
to policy formulation, and implementation and the second relating to political structures.
Important in the policy arena are questions with regard to language and education;
allocation or distribution of resources; and group or community rights. In structural
terms an important issue is of share in political power. The most talked about policy in
terms of pluralism these days is that of multiculturalism.

10
16.5.1 Multiculturalism
The term multiculturalism covers different forms of cultural pluralism. Right from the
beginning celebrated by some and rejected by others, multiculturalism has been
controversial because of its real or perceived (in) compatibility with the traditional
notion of national unity: As a discourse, multiculturalism can broadly be understood as
the recognition of co-existence of a plurality of cultures within the nation. The basic
spirit behind it is that immigrants should be free to maintain some of their old customs
regarding food, dress, religion, and to associate with each other to maintain these practices.
Liberal multiculturalism, as a theory of ethnic and cultural identities and their links to
political institutions, which has been developed most elaborately by the Canadian political
philosopher Will Kymlicka, postulates that ethnic identity is the main source of cultural
self-identification and the principal form of political mobilisation in democratic and
multiethnic liberal states. Ethnic identity is the main basis for political solidarity and,
subsequently, the most tenacious political grievance and must be therefore recognised,
i.e. institutionalised on all levels of government: grouping along ethnic cultural lines.
According to Ana Devie, it is an ideological position according to which formal types
of recognition and (especially) access to privileges are predicated on membership on an
already defined cultural group.

The first country to officially adopt such a multiculturalism policy at the national level
was Canada in 1971. But it has since been adopted in many other countries, from
Australia and New Zealand to Sweden, Britain, the Netherlands and elsewhere. It reflected
a concern to make the liberal democracies of the West more sensitive to the existence
of cultural pluralism within the boundaries of the nation state, which had till then been
considered to be culturally homogeneous, extension of liberal principles to those sections
of the society which had been disadvantaged and thereby excluded from the polity. It
is a significant moment in the extension of liberal principles and can be considered a
further development after the civil rights movement of the 1950s and 1960s in the U.S.

In countries like Canada and Australia, Multiculturalism consists of four broad meanings.
First it is a descriptive term which suggests that the country is composed of numerous
cultural groups thus making it a polyethnic society. Secondly, it is an ideology based
on perception about the way the society should be organised. This implies an acceptance
that migrants will want to maintain their language and cultural traditions and that it will
continue across several generations. Thirdly, multiculturalism suggests a principle for
social policies which assumes government responsibilities for removing structural
advantages and implementing policies which ensure equality and access. Fourthly, it
means a set of special institutions which are designed to implement the principle of
participation, access and equity. In short, the policy is based on the premise that the
support of the cultural identities of diverse ethnic groups within, accompanied by exchange
and interaction among them, will facilitate the integration of society as a whole.

This multiculturalism, as Anne Yeatman points out, is likely to intensify rather than to
decrease over time, and the social scale over which social organisation is dispersed is
likely to become increasingly global in character. Multiculturalism in this context refers
simply to the empirical reality that the participants in bounded fields of social organisation

11
are by cultural and linguistic affiliation multi-ethnic, and to what follows from this,
namely the communication within these fields of social organisation has to assume
inter-cultural features with all that this implies for the protocols and procedures of social
organisation. When differences of ethnicity, cultural history, sexuality and gender have
entered the constitution of social movements and dynamics of social change, neither
assimilation nor exclusion can be legitimate processes as far as state response is concerned.
This comes from the policy of multiculturalism.

Multiculturalism is viewed as unproblematic harmony, achieved via the balancing of

individual choices. The basis for this is that to be an equal member of any society, not
only must we have equal rights, but our identities must be given equal value. And as
our ethnic background informs these identities, our cultural heritage cannot be ignored
or scorned without damaging our sense of personal dignity.
Multiculturalism, however, is also facing criticism from some quarters.
Some feel that policies of multiculturalism were threatening the social homogeneity
considered vital for maintaining a stable social and political order. Basically
multiculturalism is seen as divisive because special programmes are funded for migrants.
There also is widespread fear that today’s immigrants will remain ghettoised and that
as a result society will become increasingly balkanised. According to them this approach
risks perpetuating intolerance between ethnic communities and also promoting favouritism
and inequalities. Such consequences would also, according to them, be offensive to the
liberal and egalitarian elements of western culture. It is also suggested that governments
have no place in promoting ethnic diversity, since this is seen to undermine important
liberal pluralist values and to encourage social and political conflict.

There is also criticism from the left deriving critical insights from political economy
arguing that multiculturalism is a state ideology whose function is to lessen the inevitable
class and labour conflicts that arise from the process of capital accumulation. By its
stress on social cohesion, multiculturalism mystifies and obscures accumulation the
underlying structural features of social and economic inequality, and class exploitation
at work. Nevertheless, instead of fostering social cohesion, multiculturalism has often
produced the opposite.

In this context, some also see multiculturalism as the ideal form of ideology of global
capitalism. According to this view, the attitude which forms a kind of empty global
position, treats each local culture the way the coloniser treats colonised people as
‘natives’ who are to be carefully studied and respected. That is to say, the relationship
between traditional imperialist colonialism and global capitalist self-colonisation is exactly
the same as the relationship between Western cultural imperialism and multiculturalism,
in the same way that global capitalism involves the paradox of colonisation without
colonising. Nation-State metropolis, multiculturalism, involves, patronising Euro-centrist
distance and/or respect for local cultures without roots in one’s own particular culture.
In other words, multiculturalism is a disavowed, inverted, self-referential form of racism,
a racism with a distance – it respects the others identity, conceiving the other as a self
enclosed ‘authentic community towards which, the multiculturalism, maintains a distance

12
rendered possibly by his privileged universal position. Some of the commentators
representing the ethnic groups have also felt the multiculturalism as mere tokenism; that
is it only promotes symbolic ethnicity or those aspects of non-anglo ethnic cultures
which did not threaten the anglo-saxon dominated status quo.

Multiculturalism, thus is facing serious challenges, not only from society and extreme
right parties and groups, but also from the luke-warm attitude of governments and
policy makers particularly after September 11, apprehensions and perceived security
concerns. The criticisms, however, are ill founded and have no empirical substance. The
fact, as Will Kymlicka, points out is that none of the policies related to multiculturalism
involve encouraging groups to view themselves as separate and self governing nations.
On the contrary they are intended precisely to make it easier for the members of
immigrant groups to participate within the mainstream institutions of the existing society.
Immigrant groups are demanding increased recognition and visibility within the
mainstream society. In short, these multiculturalism policies involve a revision in terms
of integration.

There are few (if any) examples of immigrant ethnic groups mobilising behind secessionist
movements, or nationalist political parties, or supporting revolutionary movements to
overthrow elected governments. Instead, they have integrated into the existing political
system, just as they have integrated economically and socially, and have contributed
enormously to the economic, political, and cultural life of the larger society. This must
be seen as an impressive achievement. Providing the example of Canada, Kymlicka
suggests that on every major indicator of integration, immigrants integrate more quickly
in Canada today than they did before the adoption of the multiculturalism policy in
1971. They are more likely to naturalise, to vote, to learn an official language, to
inter-marry and have friendships across ethnic lines. If we examine immigrant
multiculturalism in other Western democracies, such as New Zealand or Britain or
Sweden, we would find a similar story. In each case multicultural accommodations
operate within the context of an overarching commitment to linguistic integration, respect
for individual rights, and inter-ethnic co-operation. And these limits are understood and
accepted by immigrant groups. Thus, immigrants ethnic groups integrate more quickly
in those countries which have official multiculturalism policies (like Canada and Australia)
than in countries which do not (like the United States and France). And these immigrants
are not only institutionally integrated, but also active participants in the political process,
strongly committed to protecting the stability for mainstream institutions and to upholding
liberal-democratic values. In short, there is no evidence at all that multiculturalism is
promoting ‘balkanisation’ or ‘cultural and linguistic apartheid’ or ‘partial citizenship.’
On the contrary, the evidence – while still preliminary – shows that multiculturalism is
doing what it set out to do: namely, to promote better and fairer terms of integration for
immigrant groups.

16.6 POWER SHARING

One aspect of ethnicity particularly in cases of ethnic groups concentrated in certain
territories has been that minorities have typically responded to majority nation building
to maintain or rebuild their own societal culture, by engaging in their own competing

13
nation building. For that they raise the question of ‘self –determination’ by which they
generally mean “power to shape their own destiny”. The proposition that every people
should freely determine its own political status and freely pursue its economic, social
and cultural development has been understood in many ways. It may be internal and
external and its components range from simple self government at one extreme to full
self-government at the other. Many observers have suggested and many states accept
that the middle way to keep ethnic groups satisfied without fears of successionism is to
make them share power. Two popular mechanisms of power sharing are federalism and
consociationalism.

16.1.1 Federalism
The words federal, federation, federalism etc. have etymological roots in the Latin term
“foetus”. It means alliance, association, compact, contract, league, treaty, union etc. As
a mechanism of governance federalism divides powers between the central government
and regional sub-units (provinces/states/cantons) where ethnic or national minorities are
regionally concentrated, the boundaries of federal subunits can be drawn so that the
national minority forms a majority in one of the sub-units. Under these circumstances,
federalism can provide extensive self-government for a national minority, guaranteeing
its ability to make decisions in certain areas without being outvoted by larger society.

Thus, federalism means the distribution of powers and responsibilities to appropriate

political levels and types of institutions, both up and down the scale, so as to combine
representation and authority, union and diversity, organisation and freedom.

It is in this context that in reconciling ambivalent demands for unity and diversity in
multiethnic societies federations possess some advantages over either unitary or confederal
system. As a compromise, a federal system by distributing authority between central
and regional governments makes possible complete political unity for certain functions
and regional autonomy for others. Compared to unitary institutions, regional claims
which, if resisted, might provoke harsh resentments representing a greater threat to
national unity, provides some safeguard to regional groups in the protection of their own
special interests, and reduces the risk of the monopoly of power by an autocracy or a
bureaucracy. Compared to confederal institutions or to inter-governmental cooperation,
federal governments enable positive centralised policies, not dependent on unanimous
regional agreement with regard to those functions assigned to the central government
and in addition are more likely to provide a focus for the development of a common
nationality.

The federal idea, then, is above all an idea of a shared sovereignty, responsive to the
needs and will of the people both as individual citizens and as members of ethnic/social
groups. In the words of U.S. Chief Justice Roger B. Taney. The power of the general
(central) government and the state, although both exist and are exercised within the
same territorial limits, are yet separate and distinct sovereignties, acting separately and
independent of each other within their respective spheres.

Historically, the most prominent examples of federalism being used in this way to
accommodate national minorities are Canada and Switzerland. The apparent stability

14
and prosperity of these countries has led other multination countries to adopt federal
systems in the post-war period (e.g. Yugoslavia), or upon decolonisation (e.g. India,
Malaysia, Nigeria). Even though many of these federations are facing serious difficulties,
we are currently witnessing yet another burst of interest in federalism in multination
countries, with some countries in the process of adopting federal arrangements (Belgium,
Spain, Russia).

While it is said that in multiethnic societies in terms of constitutional arrangements need

for autonomy points to some form of federalism in which there is duality of sovereignty
and powers of both government levels, are coordinated; critics have sometimes suggested
that federal institutions, involving divisions of power, legalism, rigidities, and
technicalities, simply create clumsy obstructions in the affairs of the state. Some say
that the result in shared fields often seems to be immobility and indecisiveness; substantial
policy change often seems to require a high degree of consensus or a massive exertion
of political will. Citizens who seek responses and decisions from governments face
complex procedures and must put up with the duplication, uncertainties and delays of
divided jurisdiction. Federalism to such critics seems to be the enemy of policy that is
planned, comprehensive, coherent, uniform and content.

In answer to such criticisms, Daniel J.Elazar says that this view is based on a widely
accepted but erroneous understanding of what constitutes efficiency in government. The
understanding is based on hierarchical thinking about governmental organisation. We
are now coming to realise that such thinking is not only outmoded but simply wrong.
The hierarchies that appear to be so neat on paper do not work in practice. Sometimes
the application of a great deal of coercion gets them to work for a while but we have
seen the results, neither fair nor efficient by any reasonable standard. Elazar further
points that if one begins as a monist, assuming the desirability and feasibility of achieving
one pattern of thought and behaviour for every one, then federalism is indeed inefficient
and even wrong because it enables the perpetuation and even the entrenchment of
differences. If one begins as a pluralist, seeing the world as a heterogeneous place and
properly so, then one must make a different evaluation of federalism as a means to
protect and entrench liberty. Thus, monistic, Jocabin and Marxian views have constantly
rejected federalism as wrong in principle even if they have had to compromise with
reality and accept the temporary existence of pluralism. Federalist views, by contrast,
embrace pluralism and seek means to protect it.

The general understanding today is that federal government presents a practical

constitutional way of winning support for political and economic integration from a
heterogeneous population. Federalism works because it transfers the target of political
mobilisation from the national to the provincial centres: shifts conflicts in homogenous
provinces to inter-ethnic divisions, and gives ethnic groups local autonomy. Thus it
provides the common ground between the centraliser and the provincialist. Whether a
federal system succeeds or fails, however, depends in large part upon the attitudes of
participants, both governments and citizens. It is not simply a question what is provided
in the constitution but what is in practice understood and implemented. Needless to say,
the experiences of limited successes and failures suggest that for an effective resolution
of ethnic issues through federalism it is important that an autonomous region should

15
enjoy effective control over matters which are primarily of local concern, within the
overall framework of the fundamental norms of the state. Of course autonomy is not
equivalent to independence, and autonomous governments should not expect to be
immune from the influence of central government. At the same time, however, the state
must adopt a flexible attitude which will enable the autonomous regions to exercise real
power, precisely when that exercise to power runs, counter to the state’s inherent
preference for centralisation and uniformity.

16.6.2 Consociationalism
While federalism is a reasonably accommodative mechanism to ethnic aspirations, it
does not provide a total solution. The mere fact of federalism is not sufficient for
accommodating national minorities – it all depends on how federal boundaries are
drawn, and how powers are shared. Also federalism can only serve as a mechanism for
self-government if the national minority forms a majority in one of the federal sub-units.
To take care of these aspects another mechanism suggested and being practised by some
states is consociationalism.

Consociationalism or in Arend Lijphart’s phrase consociational democracy is based on

the idea that identity, not interest, is the mainspring of political behaviour, that conflict
of identities is dangerous, and that, therefore, it is better to freeze and accommodate
differences between groups than to permit their resolution through competition. In the
context of the politics of nationalism and ethnicity it provides a model of government
which allows for the peaceful coexistence of more than one nation or ethnic group in
the state on the basis of separation, yet equal partnership rather than domination by one
nation on the other (s). It is thus not only an alternative to the principle of “one nation,
one state” but also to systems of “hegemony and international colonialism.”

Arend Lijphart, who coined the phrase “consociational democracy” starts with outlining
the important charactertistics of culturally plural democratic states where, according to
him one or the other form of consociationalism is in practice such as Switzerland,
Belgium, Lebanon (until the mid 1970s), the Netherlands and Austria. Basic elements
of consociational democracy, include:
1) A “Grand Coalition” in the government of the state, consisting of representatives of
all the segments (i.e. nations, or ethnic groups). This is otherwise known as “elite
accommodation” since it is the leaders (elites) of the segments who come together
at the centre of the state to settle disputes.
2) A proportional representation electoral system, and a proportional system for sharing
public expenditure and public employment amongst the segments according to the
size of each.
3) A “mutual veto” system whereby a segment can veto government decisions in
matters of vital concern to it.
4) Autonomy for each segment, either through a territorial government in a federal or
devolution system, or through institutions (e.g. educational) which confer some self-
government on the segment.

16
One key idea in consociationalism is that the composition of representation in governing
bodies should mirror the ethnic composition of the electorate. By focusing on ethnic
differences as the difference to be represented, and therefore as the important cleavage
in political system, Joane Nagel suggests, other potential sources of conflict become
submerged. Van den Berghe notes, “an essential corollary of ethnic proportionality in
Consociational Democracy is the muting of class conflicts. To the extent that ethnic
sentiments are politicized, class consciousness is lowered”. This observation suggests a
rationale for elite emphasis of ethnicity on politics. It also suggests ethnic differences
as a mechanism for the construction of ethnic differences which is open to challenge.

Barry and Styeiner and Obler have criticised Lijphart for presenting more of a description
of varyingly successful cultural elite cooperation than a theory of stable plural political
accommodation. At theoretical level, Barry’s arguments against the relevance of
consociationalism are: (a) Ethnic divisions are more inflammatory than church-state and
working-class issues. (b) It is more difficult for ethnic group leaders to keep their
followers in line than for leaders of religious and class groups. (c) The interests of
ethnic groups are clearer than those of religious and class groups and, therefore, less
negotiable. (d) Ethnic divisions raise secessionist issues that religion and class do not.
He argues especially both the depth of ethnic feelings and the phenomenon of outbidding,
amply demonstrated in countries with elections dominated by ethnically based political
parties (such as Guyana, Sri Lanka, Northern Irland, and Nigeria) and the occurrence
of “communal massacres” in the Indian subcontinent, Indonesia, Cyprus and Northern
Ireland – both suggest the futility of consociationalism in such situation.

To work consociational system, McGarry and O’leary point out, at least three fundamental
conditions are required to be present. First, the rival ethnic segments must not be
unreservedly committed to immediate or medium-term integration or assimilation of
others into their nation or to the creation of their own nation-state. Nationality conflicts
appear to have an irreducibly zero-sum character. Preventing ethnic communities from
developing full-scale and exclusive national consciousness requires political elites either
to downplay the state’s national identity, which may prove very difficult. Second,
successive generations of political leaders must have the right motivations to engage in
conflict regulation and sustain the consociational system. Their motivations may be self-
interested or high minded, but without them there is no prospect of producing a
consociational arrangement. Third, the political leaders of the relevant ethnic communities
must enjoy some political autonomy themselves, so that they can make compromises
without being accused of treachery. If they lack confidence because they are outbid by
external irredentists or by rival leaders in the capital city – they will not be prepared to
engage in hard bargaining.

16.7 SUMMARY
Modern societies are increasingly confronted with minority groups demanding recognition
of their identity and accommodation of their cultural differences. The groups concerned
with identity are generally known as ethnic. In contemporary political usage the terms
ethnic and minorities are generally used interchangeably to describe groups which share

17
a common language, race, religion or national origin other than that of the dominant
group in a state. In that context the overwhelming majority of societies today are
multiethnic and multicultural.

While ethnic cultural diversity is not a new phenomenon, over the last few decades the
world has been witnessing a marked ethnic and ethno-cultural revival, that is ethnicity.
All over the world there is an increased awareness of individual cultural identity. Around
the world, multination states are concerned with dealing with the issue. However, in
view of ethnic movements becoming militant and some states facing even disintegration,
need for policies to tackle with the phenomena of ethnicity has started receiving serious
attention of societies, states and scholars.

At the international community level it is now expected that not only universal individual
human rights apply to minorities, but also there is a need to respect specific minority
rights as well. Traditionally the policies of the states have been to assimilate diversity
within the unity of the nation. This they have called process of integration, nation
building etc. In a variety of ways governments have been actively encouraging and
pressurising ethnic groups to integrate into common educational, economic and political
institutions operating in the national language. There has now been an acceptance for
pluralism and adoption of policies to respect pluralism both as societal reality and
accommodate minority aspirations through multiculturalism, minority rights, federalism,
consociationalism etc. Of course for many, assimilation in the old sense remains the
ideal.

Ethnicity, ethnic discrimination, accommodation, religious intolerance and tolerance, as

such continue to be important issues of contemporary world. In many cases despite the
provision of non-discrimination and equality in matters of state policies and programmes,
a gap persists between the legal precepts and actual practices. There is however, an
emergence of consensus that in a plural society there must be adequate measures for the
safeguards of the ethno religious minorities, though the nature and extent of safeguards
and mechanisms may differ from society to society and from one context to another.

16.8 EXERCISES
1) What do you understand by Ethnicity? Describe its basic characteristics.
2) Critically evaluate the Policy of Assimilation adopted by some states to integrate
ethnic groups.
3) Assess the policy of Multiculturalism as a means to accommodate Ethnic minorities.
4) Analyse the role of Federalism and Consociationalism in Multiethnic societies.

18
UNIT 17 POLITICS OF COMMUNITY IDENTITIES
Structure
17.1 Introduction
17.2 Definition and Structure of Community Identities
17.2.1 What are Community Identities?
17.2.2 Structure of Community Identities
17.2.3 Features of Identity of Community
17.3 Causes of Identity Consciousness and Conflicts among the Communities
17.4 Methods and Strategies Adopted by the Communities
17.4.1 Cultural Resistance
17.4.2 Armed Struggle
17.5 Conclusion
17.6 Summary
17.7 Exercises

17.1 INTRODUCTION
Recorded human history is the history of struggle for power and resources. For purposes
of waging this struggle, the prerequisites were formation of groups and communities.
Religion, race, caste, tribe, colour etc. emerged as the bases of mobilisation of people
into separate communities. Over a period of time the sustenance of these communities
became a vested interest, hence its identities’ consciousness became its integral part.
Community identities are one of the major dilemmas confronting humanity at a time
when the world is experiencing deeper forms of global interdependence. The very issue
is responsible for the emergence of new forms of war-fare—local wars and proxy wars
in national as well as international arenas. While facing the crisis situation these identities
are also responsible for the autonomist, separatist and secessionist movements which
pose a direct challenge to the existing nation-state system. In other words, there is
hardly a region in the world which is unaffected by this phenomenon of assertions of
community identities.

17.2 DEFINITION AND STRUCTURE OF COMMUNITY

IDENTITIES
17.2.1 What are “Community Identities’?
The notion of community identities is a very complex phenomenon. As Thomas Bender
writes:
A community involves a limited number of people in a somewhat restricted social
space or network held together by shared understandings and a sense of obligation.
Relationships are close, often intimate, and usually face-to-face. Individuals are
bound together by affective or emotional ties rather than by a perception of
individual self-interest. There is a “we-ness” in a community; one is a member.

26
Following Bender’s definition of community one may view that the members of a
specific social entity share common signs and symbols, customs and values, attitudes
and attributes and claim their distinctiveness as a community. Thus we can conclude
that community identities reflect the belongingness of a person to a specific community
and that the social entity has an independent existence and is distinct from the other
communities. Variables like language, dress, food, folklore, festivals, customs, architecture
and other institutions, as Armstrong opines, mark out the boundaries of these communities
and serve as a guard to keep alive their distinctiveness.

17.2.2 Structure of Community Identities

Communities construct their identity around the objective factors such as territorial
locations, a shared historical memory, shared traditions, common rituals and practices
and a common language and a real or perceived common ancestry. These factors evoke
the feelings of belongingness among the community members. However, the structure
of these feelings may be, as Neera Chandhoke argues,” unexpressed, subterranean,
unrealised or unarticulated”. Commenting on the formal and informal structure of identity
of a community, Joshua A. Fishman argues that this is a matter of ‘being’, ‘doing’ and
‘knowing’. First of all, as a matter of ‘being’, there should be a formal existence of a
body of people who share the intergenerational links to their common ancestors and
should evolve around the above given objective factors. Second, as a matter of doing,
identity of a community demands authentic activities and behaviour from its members
for which a community is known in the external sphere. In other words, community
identities demand its members to perform their intra-community obligations and roles.
Third, the issue of knowing refers to identity consciousness which means that members
of a community keep an understanding as to who they are, where they came from and
what they should do in an identifiable situation. In brief, we may say that they know
the difference between insiders and outsiders.

17.2.3 Features of Identity of Community

The features of community identities are given as below:
i) Some of the community identities are natural and cannot be changed. One becomes
member of such communities by having born therein. These kinds of identities are
based on caste, race, ethnic, religious or tribal factors.
ii) It may be possible that the community members have multiple identities, but the
importance of anyone depends on the time and situation. Thus, these are situational
in nature.
iii) Identities are a product of collective consciousness, contact amongst the members
of a community, aloofness and isolation from other communities. Thus these are
relational.
iv) Some of the identities are wholly voluntary and are made by choice of individuals.
To be the member of a specific business community is a matter of individual choice
and decision and may transcend man-made barriers.
Thus, in brief, we may say that community identities are natural, situational, relational
and contextual in nature.

27
17.3 INTRODUCTION
Causes of Identity Consciousness and Conflicts among the Communities

At a time when science and technology have shrunk the world into a global village in
terms of accessibility and interdependence, there also is an upward trend amongst the
people organising on communal lines. They are increasingly becoming conscious of
their cultural roots, their fraternal ties and are organising themselves into communities
which otherwise are considered a primitive form of social organisation. People all over
the world are becoming increasingly conscious of their communal identities. The most
developed Canada, USA and UK, least developed and poor India and Bhutan, old
Russia and new Bangladesh; democratic Belgium and authoritarian Sudan, Marxist
Leninist China and militantly anti-Marxist Turkey, predominantly Buddhist Burma,
Christian Spain, Moslem Iran, Hindu Nepal and Judaic Israel are all afflicted with this
phenomena. There are numerous causes that give rise to the identity consciousness and
identity based conflicts among the various communities in the world. These can be
categorised as under:

i) Colonialism: The process of colonisation, which began with the industrial revolution,
is a key factor that has led to the identity consciousness among the diverse
communities and also to the inter-community conflicts. During the colonial period,
in colonial societies, colonial masters adopted the policy of divide and rule. For this
purpose, they introduced the census system, identified the various ranked and
unranked communities and made it centre of their policy formulation. They appeased
the fractured populations in the military and civil institutions by providing them
jobs on the communal lines. Further, these communities got representation in the
legislative and executive bodies through the quota system. Different communal,
ethnic and casteist brigades were encouraged to maintain their external symbols.
However during the situation of revolt against the colonial empire by one, another
brigade or community was used which created the historical enmities among the
communities. Thus, the whole process has given rise to identity consciousness and
identity conflicts among various communities and also vis-à-vis the state.

ii) The Role of Religious Movements: During 18th and 19th centuries, some religious
movements came into being. The aim of these movements was to protect religion
from the external threat posed by the Christian missionaries and to restore the
declining religious values. For this purpose religious preachers gave the knowledge
of their glorious past to the community members and made efforts to restore that
lost honour and dignity of their community. However, some of these religious
movements became a threat to the communal identity of other communities as they
involved themselves in the process of conversion and started to manipulate and
misinterpret their common inter-communal heritage. Thus, in this situation reaction
was common and natural from the threatened communities. For example, the efforts
of Arya Samaj to treat Sikhism as part of larger Hindu religion, threatened the
identity of the Sikhs as a separate religious community. As such the Singh Sabha
Movement emerged as a crusader of a separate Sikh identity beginning in 1870s.

28
iii) Irrational and Hard Inter-State Borders: Identity consciousness and identity
conflicts are also a product of colonial construction of arbitrary and irrational borders
to suit their convenience. In fact, during the process of colonisation, due to the
territorial quest, the colonial masters changed the external borders of their colonies
arbitrarily, illogically and irrationally through wars, annexations and partitions. This
divided the same community into two or more political units across the international
borders. However, due to the soft border approach of colonial masters, this did not
become an obstacle in the way of community’s daily life. This division of the
communities across the colonial borders in no way posed any threat to the identity
of the community across the border. There was a normal and regular movement of
community members across the borders, despite their division. However, in the
post-colonial era, the new ruling elite adopted the hard borders concept making
interaction across the border impossible thus threatening the solidarity and identity
of the communities divided by the irrational borders. It affected the community life
adversely as fragmented colonial culture came into being due to these hard and
irrational political borders which ignored the psychological affinity and psychological
communal borders which lay elsewhere.

iv) Emergence of Modern Big State and Loss of Autonomy: In the pre-colonial and
colonial periods, various communities had functioned as autonomous political entities
even when they were politically part of various empires and kingdoms. With few
exceptions, the empires and kingdoms did not interfere in their autonomous and
natural communal life. In fact in an informal way they recognised their social and
political distinctiveness in the multi-national empires and showed a great respect for
the intra-communal life. The colonial rulers followed the same policy, by installing
puppet regimes and recognising community rights in the socio-economic and political
field. However, in the post-colonial era, this autonomous status of these communities
came to an abrupt end. In the name of state-formation and to establish its complete
sovereignty in its own territorial framework, the ruling elite started to take over
centralisation of administration. The emergence of the ‘Big State’, with all pervasive
authority to the farthest fringe of the social hierarchy and to the minutest details,
have played havoc to the traditional autonomy these groups enjoyed since times
immemorial. As such group rights were swept under the carpet. The personal laws
of these communities came to be replaced with the new state legal system, which
otherwise was scientific, non-communal and non-historical in nature. Further the
state imposed modern but majority oriented institutions over these communities at
the cost of destruction of their own traditional natural and historical communal
institutions. In such an atmosphere, the autonomous life of the communities came
to an end which created a widespread discontent among the communities especially
among those which are small in size.

v) Fear of Assimilation and Homogenisation: Some of these communities feared

assimilation and homogenisation of their distinct identities by the majority community
both regional as well as national. To counter such a possibility they articulated their
demand for territoriality based on their distinctiveness. For example the Bado
Kacharis, an Indo-Mongoloid community with strong cultural moorings feared, that
they might face the same fate as that of many other plain tribal communities, which

29
 over the years got assimilated into the larger Assamese fold, if their territory was
not clearly demarcated and recognised.

vi) Inferior-Superior Syndrome: In hierarchical societies, which may be partly rooted

in historical relations of a feudal, caste or racial nature and partly shaped by modern
state’s policies are defined by the location of a community in the social hierarchy.
Many times, these social hierarchical relations lead to inferior-superior syndrome.
Members of the inferior communities are dominated, despised, degraded and
discriminated against through social behaviour and also through state policies
dominated by the superior community. The black community identity consciousness
in the United States is the product of white superiority. Such relations affect the
community’s consciousness and form the basis for political action. For example
Black-White relations in South Africa and upper caste-lower caste relations in India,
can be put in this category very well.

vii) Fear of Marginalisation: Another cause of identity consciousness among the

different communities is the fear of marginalisation, because of the domination of
an out group/community over the indigenous people. An out-community is one,
which lacks a historical linkage with the territory they inhabit along with the
indigenous people but become a part of it due to the voluntary migration or state-
sponsored project of demographic engineering. The very policy aims to neutralise
the position of indigenous community and reduce it to a minority in its own territory
viz., Red Indians in North and South Americas, Maoris in New Zealand and
Aborigines in Australia. In this situation, inter-community competition becomes
inevitable because it threatens the interests of the indigenous community. The ‘sons
of the soil’ theory is a direct product of this fear of marginalisation.

viii) Sense of Relative Deprivation and Discrimination: Denial of equality by the

state in economic and political fields also creates a sense of discrimination and
deprivation among the communities. Some communities are discriminated against
in job sector and/or are deprived of their natural rights vis-à-vis the other communities.
They have not got proper representation in national life and governmental institutions.
It is perceived as internal colonialism by the victim community. Minority communities
are always at the risk of deprivation in power, services and resources.

ix) Sense of Powerlessness: This is primarily the direct outcome of the majoritarian-
minoritarian syndrome. It leads to permanent deprivation of the minority communities
from the state power and resources. It is sought to be justified through the democratic
logic. It can be categorised into two sets:
a) In one set, the national majority may be a regional minority which is pitted
against a regional majority but a national minority viz. Hindus constitute a
national majority but are a regional minority in Punjab and Jammu and Kashmir.
b) In the second set, a regional majority may be a national minority which is pitted
against national majority but a regional minority viz. Muslims constitute a
regional majority in Jammu and Kashmir but are a national minority and Sikhs
are a regional majority in the Punjab but are a national minority.

30
In competitive relations power plays a crucial role. Thus struggle for power between
two communities could be seen at national and regional levels. The regional majorities
always seek devolution/decentralisation of powers whereas regional minorities support
centralisation of power and oppose the regional majorities particularly when the regional
minority is a national majority. This sense of powerlessness both, in regional as well as
national levels, promote the cause of community identity consciousness.

x) Flawed Approach at Nation-Formation: The flawed approach at nation-formation

in third world states is also responsible for the emergence of community conflicts.
In fact, in the process of nation-building the ruling elite adopted telescoped and
short cut methods perceiving assimilation and homogenisation as a pre-condition
and by destroying the historically evolved structure of these communities. Resistance
on the part of minorities to this homogenisation project is labelled as a threat to
national unity and integrity, hence anti-national. For this purpose, state, on the
pattern of ‘Civic Nation’, failed to evolve common symbols, ceremonies, festivals
and institutions. In fact the state decided to create a nation, which was based on the
values of a specific dominant/majority community. For this purpose the state adopted
all ceremonies, institutions, symbols and festivals of the dominant/majority
community and declared them as the issue of national pride. On the other hand,
local cultures, histories, languages, institutions and symbols were not only relegated
but efforts were also made to destroy and degenerate them. Thus this flawed approach,
to create a non-historic, non-civic and dominant community oriented nation, at the
cost of historically grown natural nations, was totally rejected by the marginalised
minority communities.

xi) Modernisation: As the process of modernisation unfolds itself it creates conditions

of social mobilisation—both territorial as well as non-territorial. It is in direct
opposition to the rarest ever consensus among sociological theories of modernisation,
liberalism and Marxists that the process of modernisation will lead to assimilation
of the separate communities into a modern cosmopolitan identity. They argued that
as mankind moved from primitive tribal stage of social organisation to complex
industrial and post-industrial structures, the primordial ties of religion, language,
ethnicity, caste, colour, race etc. would gradually lose hold and disappear. Instead
modern means of audio-visual mass media and communication have created parochial
consciousness on unprecedented scale. Modernisation produces alienation which
leads to the strengthening of primordial community based ties. Modernisation has
also produced political and economic competition on an unprecedented scale whereby
elite mobilise the members of their community to have due share in power and
resources in competition with other groups. Modernisation sharpens differentiation,
articulates group identity consciousness, and produces intra-group and inter-group
competition which often degenerates into communal conflict and violence.

xii) Role of Community’s Leadership: In the context of communal identity

consciousness and inter-community conflicts, the role of leadership cannot be
overlooked. Often, it has been seen that when the elite class of a community faces
any threat to its interests from another community, in a bid to mobilise the members
of its community it articulates that the situation is a threat to the existence of the

31
 community. The elite class projects its self-interests as the communal interests and
also gives a call for struggle against the real or perceived threat. For example in
Punjab, Akalis have raised the slogan of “Panth in danger” many times in this
context.

17.4 METHODS AND STRATEGIES ADOPTED BY THE

COMMUNITIES
The communities under real or perceived threat have developed various types of methods
and strategies to protect their identity and interests. Monserrat Guibernau has discussed
the two major strategies which have been used by the communities. They are given
below:

17.4.1 Cultural Resistance

All the communities, struggling against the majorities and biased states, have used
cultural resistance commonly. In the cultural resistance, communities have been using
all sorts of signs and symbols of their identity. The communities have adopted the
strategy of cultural resistance in both private as well as public spheres. This includes
democratic and undemocratic type of actions to get massive support. In the private
sphere, the community members in the family and friends’ circles primarily carry out
resistance. In this case the specific and differentiating characteristics of the community
such as language, history and culture are disseminated to the illiterate and ignorant
members of the community through formal as well as informal channels. But in public
sphere, they resist through the following four types of actions:

a) Symbolic Actions: These types of actions are performed by small groups or even
by single individuals. The main objective of such actions is to break the control of
the oppressive regime over the public space. These actions are performed in the
streets and addressed to all witnesses. Graffiti and flags are often displayed in this
type of actions.

b) Interference Actions: The community members execute these actions during the
course of public events. The aim of such actions is to challenge the regime at its
core and disrupt the symbols, which show that homogeneity has been achieved.
These actions are implied in high degree of risky situations because on such occasions
high security arrangements are in place to prevent any sort of disturbance. Through
these actions community members, not only address those who attend the public
events, but also seek the attention of the international community through international
media and foreign representatives. These actions have proved very useful for the
communities to put the diplomatic pressure on the ruling elite from the international
civil society and international human rights organisations to resolve the problems
of communal tensions in a peaceful and democratic way.

c) Elite Actions: A small-devoted elite class within the community carries out these
actions. As the aim of elite class is the development and maintenance of community
culture and other symbolic values, they work a lot in this direction. They inform the

32
 community members about the identity crises and appeal to them to make the
supreme sacrifice for the community’s interests. For this purpose, community
leadership organises various conferences and seminars. Scholars discuss the problem
through numerous seminars and publish literature, which provide knowledge of the
traditional glory of that community and ask members to work diligently to enhance
the dignity of that community. They also identify and articulate threats to the
identity or interests of the community and suggest the necessary steps and strategy
to counter the same.

d) Solidarity Actions: Solidarity actions are prepared by the community elite to mobilise
the community members to achieve mass participation in the community affairs.
The main purpose of these actions is to show the strength of the community by
focusing upon a particular demand and presenting it as something that cannot be
denied due to the massive support, it receives. For example protests, demonstration
and morchas by the Akali Dal during Punjabi Suba Movement and thereafter for
Anandpur Sahib Resolution by the Akalis to mobilise the Sikh community. However,
these actions take place when a relative attenuation of the oppressive nature of the
regime allows some breaches to make and the population dares them together
challenging the power of the state. Interestingly, these kinds of breaches are allowed
to be made by only those states, which pretend to be democratic before the
international community.

Through cultural resistance, a few communities have succeeded to secure their identity
at a certain level as some states have adopted positive measures to accommodate the
community claims within the constitutional parameters.

17.4.2 Armed Struggle

In most of the cases, where states failed to satisfy the communities through the
constitutional arrangements, the communities resort to aspiring for a separate state of its
own provoking the state to military crackdowns to check the separatist designs of a
community. In such a scenario the hawks in the community gain upper hand by taking
armed struggle. They choose one out of two following options (i.e. target attacks and
total war) to use armed force against the state:

a) Target Attacks: Target attacks are the most common option which is used by the
different communities especially by those who are relatively weak, and do not have
sufficient resources to fight against the state. Through this, communities make
state’s property, territory and institutions target of their attacks. They also target all
those symbols, which are showpieces of the state tyranny and oppression. By this
option, the communities also target the public places regardless of allegiance and
characteristics of possible victims, which create a sense of insecurity among the
people. Political killings, illegal and open firing or bomb blasts in public places,
buses, trains, and aero planes are a common form of these target attacks. Recent
developments in this context have been of resorting to use of human bombs,
highjacking and suicidal attack. These also show the vulnerability and incapacity of
the state to control the use of violence by others on its own territory. The international

33
 media has also raised the issue of community tensions, because of these events.
Further, it has forced the state to create clandestine paramilitary forces, private
armies, death squads and other machineries for the safety of public property and
institutions.

b) Total War: Total war is another option, which is often used by the communities
as a means to employ the force against the state for the acceptance of their demands.
This method is adopted by those communities, which have a strong economic and
military support base, and in the states, which are not in complete effective control
of their territory. In this type of war, irregular armed militia of the community fight
with the professional soldiers of the state and attempt to break away from the state.
The main feature of total wars especially in third world states is that in it communities
use high technology weapons and are also making systematic and planned attacks
on the civilians to weaken the state system. The communities located on the
international borders or having access to sea coast are able to get liberal support
from external powers. The foreign powers are supporting them by providing economic
support, weapons training and planning etc. With the help of external forces these
communities have succeeded in internationalising their demands and put the pressure
on their respective governments. In some cases, communities have succeeded in
replacing their governments. In some cases, they have secured territorial control
over the major parts and have become the de facto rulers of those parts of the state.
For example by the use of military force against the state, LTTE have gained
control of much of Northern and Eastern provinces of Sri Lanka and Abkhazians
over the whole of Abkhazia province in Georgia. In certain cases they have also
succeeded in the territorial disintegration of the state. As a result of this, these
communities have been able to form new nation-states in the world. The total war
has led to a anarchical situation in these states. It has affected the development
process, adversely. Further, this has also created an acute problem of refugees and
state-less citizens, which has affected the foreign policy of different states, on a
large scale. In some cases the states took external help to control the situation. In
situation of civil war, international organisations particularly the United Nations
have also taken some steps to control the situation in the form of peacekeeping
operations. But these efforts are not much effective because communities are not
satisfied with the existing arrangements and thus are fighting for the protection of
their primordial identities and against the discriminatory attitude of the state.

17.5 CONCLUSION
The assertions of community identities and resultant political phenomena have affected
the nature, bases and patterns of politics both at national as well as international planks.
At the national level it has resulted in unprecedented conflict and violence resulting to
death and destruction and uprooting of people leading to internal refugees. It has re-
demarcated internal borders and effected changes therein. It has led to parochialisation
of politics and there is an increasing awareness of group or community rights. At the
international level it has led to the changes in international borders and refugee problem
of unprecedented proportions. Domestic jurisdiction of the member states of the UN
which was assiduously made impregnable under article 2, clause 7 of the UN charter

34
has ceased to be so with UN forces deployed in over 40 nations for peace-keeping,
peace-making and peace-enforcing missions. Minority rights are high on the agenda of
international community. The fragmentation of polities into communities has created a
situation whereby minorities of the world are in a majority. It has challenged the traditional
barriers between domestic and foreign policy and nationalism and internationalism.

17.6 SUMMARY
Community identities are a major dilemma confronting today’s world. These identities
give rise to autonomist, separatist and secessionist movements which pose a direct
challenge to the existing nation-state system. Community identities are natural (by
birth), situational (depend on the time and situation), relational (depending on collective
consciousness or isolation) and contextual (depending on individual decisions) in nature.
Identity consciousness and conflicts have arisen due to colonial policies of divide and
rule, religious movements, construction of arbitrary and irrational borders by colonial
powers to suit their convenience, community leadership portraying situations as a threat
to the community, loss of autonomy of the small communities with rise of a modern
state leading to fear of assimilation, marginalisation and powerlessness. To overcome
these real or perceived threats, communities have developed strategies. This unit discusses
two major strategies—cultural resistance and armed struggle.

The increasing awareness and assertion of community identities has resulted in

unprecedented conflict and violence, re-demarcation of internal borders and has crossed
all national borders.

17.7 EXERCISES
1) Explain how communities construct their identity.
2. Define ‘community identities’. What are the causes of conflicts among various
communities?
3. What are the strategies adopted by communities to confront perceived or real threats
to their interests?

35
UNIT 18 ETHNIC MOVEMENTS
Structure
18.1 Introduction
18.2 Ethnonationalism
18.3 Factors Responsible for Ethnic Movements
18.3.1 Modernisation and Ethnicity
18.3.2 Political Economy
18.3.3 Relative Deprivation
18.3.4 Ethnicity and Resource Competition
18.3.5 Elite-Competition
18.3.6 Internal Colonialism
18.3.7 Cultural Deprivation
18.3.8 External Factors
18.4 Ethnic Movements
18.5 Strategies of Ethnic Movements
18.6 Summary
18.7 Exercises

18.1 INTRODUCTION
The overwhelming majority of societies today are multiethnic and multicultural. Out of
some 190 nation states listed in official sources, 150 such states have four or more
ethnic groups within their boundaries. Most of these are increasingly confronted with
minority groups demanding recognition of their identity and accommodation of their
cultural differences. In a survey of such groups, Ted Gurr in his study in 1993 singled
out 233 minority ethnic groups who are at “risk”. By this he meant groups that, in the
post-World War II period, have either taken political action on behalf of their collective
discrimination or both. Hence they are actually or potentially engaged in inter-ethnic
conflict. Of these 233 groups, only 27, or about 12 percent have no record of political
organisation, protest, rebellion or other form of intercommunal conflict since 1945. Gurr
also pointed out that, out of 127 countries in the world that he examined, 75 percent had
at least one, and many had more, highly politicised minorities. As such ethnic tensions
and movements have become a major source of violent and non-violent conflicts. If
around the world, so many multiethnic states are in trouble, it is obvious that there is
a need to understand the causes behind these movements and their nature and type. Such
an understanding can also help in looking for means and mechanisms for conflict
resolutions. A large number scholars the world over are undeertaking such studies. In
this unit we will have a look at these.

18.2 ETHNONATIONALISM
In the preceding unit you have already studied the meaning of ethnicity. The term has
some thing common with nation. As Walker Cannot writes, in its pristine sense a nation

36
refers to a group of people who believe that they are ancestrally related. It is the group
that can be aroused, stimulated to action, by appeals to common ancestors and to blood-
bond. In this context nationalism, as properly used, does not connote loyalty to the state;
that loyalty is properly termed patriotism. Nationalism connote loyalty to one’s nation,
one’s extended family. One can therefore speak of an English or Welsh nationalism but
not of a British one. Cannor, therefore, suggests that two loyalities represent two different
orders of things, loyalty to state is socio-political in nature, and is based in large part
on rational self-interest. Loyalty to nation is more intuitive than rational, and is predicated
upon a sense of consanguinity – common ancestry. Ethno national movements therefore,
are movements conducted in the name of the ethnic groups which have a sense of being
a national group.

Ethnic groups, which are also considered to be minorities, in states generally are of
three types. National minorities, Immigrant ethnic groups and Refugee groups. The
National minorities consist of the original inhabitants of the State. They might have
been incorporated into a larger state from earlier being self-governing groups at particular
time of history as a result of empire building, creating new states by colonial powers
or through process of integration through understandings or treaties. National minorities
can also be groups having come into existence as a result of founding of new religions
or conversions to a religion that had come from outside and in due course developed
a sense of its separate identity. Immigrant ethnic groups are those who had left their
national community and come to another state as individuals or families in search of
jobs etc. and in due course formed associations of immigrants of same culture or
religion. Refugee groups are similar to immigrant ethnic groups with only difference
that they had come to another state by fear of conditions in their own countries.
Studies have shown that generally it is the first type of ethnic groups which are involved
in ethnonationalism. It is more so with the groups which are concentrated in some part
of the territory of the state, which they consider as their homeland. Most states in the
world are not just multiethnic but multihomelands as well. With the principal exception
of a few immigrant societies such as Argentina, Australia and the United States, the land
masses of the world are divided into ethnic homeland, territories whose names reflect
a particular people. Catalonia, Croatia, England, Finland, Iboland, Ireland, Kurdistan,
Mizoland, Mongolia, Nagaland, Pakitunistan, Poland, Scotland, Swaziland, Sweden,
Tibet, Uzbekistan etc. are examples of homelands of ethnic groups.
To the people who have lent their name to the area, the homeland is much more than
a territory. The emotional attachment is reflected in such widely used descriptions as the
native land, the fatherland, this sacred soil, the ancestral land, this hallowed place, the
motherland, land of our fathers, and not the least the homeland, In the case of a homeland.
territory becomes intermeshed with notions of ancestry and family. The emotional
attachment to the homeland derives from perceptions of it has the cultural earth and,
very often, as the geographic cradle of the ethnonational group. Therefore it is for the
homeland that ethnonational groups demand greater autonomy or full independence.
However, it is not only the concentration of ethnic groups in specific territories that
causes ethnic movements. Territorial concentration provides homeland perception and
an easy manifestation for expression of grievances in nationalist language. Reasons for
the emergence of ethnic movements however are various.

37
18.3 FACTORS RESPONSIBLE FOR ETHNIC
MOVEMENTS
As has already been mentioned above, ethnic consciousness and conflicts are pervasive
around the world. Pakistan, the Soviet Union, Yugoslavia and Chezchoslovakia have
already been disintegrated. From Australian aboriginals to the Welsh, from the Armenians
to the Tamils from the Ainu to the Yanomani, the ethnics around the world are mobilizing
and engaging themselves in political action, sometimes in violent conflict and
confrontation, to establish their identities, to defend their rights and privileges, to present
their grievances and to ensure their survival. In fact many societies which were considered
models of integration before Second World War, have subsequently witnessed a series
of ethnic upheavals. The old paradigm that predicted that factors inherent in modernization
including economic development, urbanization, growing rates of literacy and education
as well as advancements in science and technology, would inevitably lead to the demice
of the role of ethnicity, religion or culture in politics, stands changed.

18.3.1 Modernisation and Ethnicity

In the operational sense, modernisation means the attainment of relatively higher levels
of variables, such as education, per capita income, urbanisation, political participation,
industrial employment, media participation, etc. As already stated, in early modernising
theory, ethnic identity referred to traditional obstacles which were supposed to disappear
in the course of development.

However, the experience of the last decades has shown that these theories of progressive
integration of peoples were seriously flawed. While, to begin with, there was such
developments and modernisation brought in uniformity but in the course of time, it
threw up its own contradictions and divergent elements, of which national minorities
were a principal expression, both in already developed and newly developing societies.

In advanced industrial societies, particularly, modernisation appears to lead to a personality

level void, which is also termed by some as alienation and by others simply as
rootlessness. In part, alienation may arise from the work situation, the impersonalisation
of a bureaucratised, formalised and urbanised existence within the framework of an
excessive centralised state power structure. The modern welfare state, in addition to its
role as protector has taken upon itself the role of a provider for its citizenry. Consequently,
there has been increasing state penetration in the civil society as well as centralisation
of initiatives and resources on the one hand and the rising expectations of the people
from the state on the other. The state has become responsible for the regulation of
practically all aspects of socio-economic life, and the visibility of the state’s regulatory
hand has made it the new focus and arena of operations and distributional conflicts.

This, Antony E. Alcock points out, has two effects. First, the more the governments
have intervened in the lives of their citizens, the more distant from them have they
become, since the less has been their need to heed. The bureaucratic apparatus of the
State stands between the individual citizen and the makers of the decision that govern
his life. His ability to influence those decisions has declined as swiftly as the capability

38
and authority of the government at whose knee he presses his suit. It should not be
surprising that so many people have begun to switch their loyalty from a seemingly
unresponsive national government to institutions which are more accessible or effective,
if these exist, or to call for them if they do not. This includes a return to traditional or
small group values. Of course ethnic identity here per se does not assume antagonistic
or incompatible traits, because it is a product of weakening ties in industrialised, urbanised
areas which has led to a sense of alienation that is self-directed and not other-directed.

In post-colonial societies the early nationalist leadership in its passion for modernisation
and nation-building, glossed over the ethnic differences which had their roots in the
processes of colonial rule, colonial emancipation and national mobilisation. The colonial
period had brought about a high degree of politico-territorial integration through an
efficient, centralised way, coercive machinery of the government. However it also helped
cultural and ethnic groups organise themselves politically. The nationalist movement
also mobilised ethnic groups, both strategically and ideologically. The notion of self-
determination, the prime mover of independence movements in the colonies, derived
from the concept of freedom as much as it did from the conception of nation as a
definable unit of a people with a common political “will” of forming a sovereign state
of their own. The urge and requirements of independence struggles demanded an answer
to the question “independence for whom”. Colonialism, at one stage, provided a solution
to the identity problem. It made available a ready basis for shared identity of various
peoples, the identity of exploited and subjugated people in search of all round self-
expression. But after independence various sectional groups sought due recognition.
Consequently, the post-colonial world order, engineered on the concept of supremacy
of the state, anchored on a superimposed nationalism, legitimised by secular or religious
ideologies and enforced by an extremely powerful bureaucracy is under great strain.

Thus modernisation, both in developed and developing societies, is inter alia a source
of aggravation of aggravating stratificational inequalities, alienation of the individual
and groups. The development of media, transportation, social enrolment and urbanisation
have not necessarily favoured a homogenisation of society. In fact these very elements
that were thought to objectively unify styles of living, have provided ethnic groups with
the means of subjectively recognising of themselves as conscious entities. Walker Connor
points out that the available evidence about the pattern of ethnic dissonance in the
world, at various levels of modernisation, indicates that material increase in social
communication and mobilisation intensifies cultural awareness and exacerbates inter-
ethnic conflict.

Modernisation theory also provides a clue to ethnic assertion in the present day world
in terms of “post-material values” competing with the material interests in the post-
Industrial societies. In this context some observers link the revival of ethnicity in the
modern era with the advance of science and the decline of religion. With the expansion
of the realm of the secular “Scientific State” and the erosion of the religious coloration
of the community people are confronted with the dilemma of rationality versus community
(religiosity), with the consequent necessity of choosing one over the other or somehow
managing a satisfactory integration. Ethnic historicism, in this, has arisen as an attempt
to solve this dilemma. The goal of ethnic historicism, it is suggested, is to revive the

39
ethnic community through a rediscovery and renewal of ethnic communal identity and
a reconstruction of mores and attitudes that had existed at some time in the past.
Particular reference is made to the role of secular intellectuals undergoing an “identity
crisis” who serve as the vanguard of an ethnic historicist revival.

However convincing this point of ethnicity providing a name and an identity in the
lonely crowd in the modern world of rapid social change may be, the fact remains that
no social process takes place in isolation of politico-economic factors. Therefore
modernisation does not explain the phenomenon in its totality. For that we have also to
look into economic and political explanations.

18.3.2 Political Economy

Political Economy has both liberal and Marxist interpretations. However within both
these schools there are differences with regard to emphasis or preference for one or the
other aspect of economic activity. One aspect of this is the factor of regional inequalities.
Several scholars have pointed out that modernisation and industrialisation in large,
multi-ethnic societies tend to proceed unevenly and often, if not always, tried to benefit
some ethnic group or some region of a country more than others. Watson, for instance
writes:

The post-1945 world has experienced it was unevenly distributed, not just socially but
in particular geographically. More broadly, the development or modernisation process
gave rise to spatially differentiated results. Where negative results coincided with a
national minority, the potential for a political movement was very likely to be activated,
it was noted that the grievances articulated by the minority nationalism were often to
do with economic and social disadvantage or exploitation.

In the post-colonial states of the third world, the situation is more complex. The economic
development paradigm had shown its ineffectiveness by the early seventies. Stavenhagen
points out that here the governing elite had modernised rapidly, but the large masses of
the population remained in a state of poverty. In fact, post-colonial capitalist development
produced large scale poverty by breaking up pre-capitalist modes of production and
forms of social organisation, furthering the market economy and one-crop agriculture,
uprooting people from their traditional villages, creating urban squalor and a growing
landless proletariat. As the third world economies became increasingly incorporated
into, and subordinated to, trans-national capitalism, internal polarisation and inequalities
increased between social classes and region. In other words the promisory note of
certainity of satisfying everybody’s desires becomes instrumental in escalating individual
wants and channelling into political processes excessive demands which it cannot expect
to satisfy. Arising out of inequalities and nonfulfilment of aspirations is also the feeling
of relative deprivation, which some observers suggest as a significant cause for ethno-
nationalism.

18.3.3 Relative Deprivation

Ted Robert Gurr in his classical study ‘Why Men Rebel’ refers to relative deprivation
as a gap between the expectations and perceived capabilities of a person vis-à-vis his

40
economic situation, political power and social status in relation to other. He, thus,
emphasises the psychological aspect of agitations which conforms to Lenin’s view that
it is the feeling of being exploited rather than the exploitation itself that makes a person
revolutionary. According to this theory it is not just the poorer regions that develop
nationalism. The rich regions may also be nationalist if they perceive relative deprivation
within the state in economic or political and/or cultural matters. Another aspect, as D.L.
Sheth points out, is that in the process of development some minorities have done better
than the majority. Those who have done well feel that they could do much better if only
their future was not tied with others in the structure of a single state. Those who feel
deprived also seek the same solution: to have their own state so that, once free of their
depriver, they can develop better.

Rothchild, speaking in the same vein maintains that politicised ethnic assertiveness
today appears to be the keenest among those who have been the least successful and
those who have been the most successful in meeting and achieving the norms, standards,
and values of the dominants in their several multi-ethnic states. The former resent at
their failure while the latter are resentful because their economic success is not reflected
in full social and political acceptance. Accordingly “ethno-politics” seeks to address two
sets of contradictions: the structural inequality of regions and groups, despite theoretically
equal development, and the failure of the state to implement the “normative promises”
which is its raisen d’etre. Given the complexity of modern life and the overlapping
groups which demand attention from the existing power structure, ethnicity appears to
be a rational organisational principle readily available to the political elite as well as
those who seek to replace it.

Ethnicity, accordingly represents an effort by the deprived groups (real or perceived) to

use a cultural mode for political and economic advancement or share. However, in many
instances, inequality in terms of power between two ethnic groups need not per se
invoke conflict. The preconditions for such conflict seem to be: (a) a socially mobilised
population; (b) the existence of symbolic past connoting its distinctiveness; (c) the
selection, standardisation and transmission of such symbol pools to the community by
the leadership; and (d) a reference group in relation to whom a sense of relative deprivation
(real or imaginary) is aggregated. In any case, in most of the cases, it is the middle class
which, finding the existing system detrimental to their interests as well as to their
prospects of development, wants to break the “status-quo”. Realising that it cannot be
done by them alone, they emphasise the problems facing the masses and formulate such
religious, ethnic, or regional slogans as may appeal to people of all classes in that
region. Some observers, therefore, think that ethnicity is being used primarily as an
instrument in “resource competition.”

18.3.4 Ethnicity and Resource Competition

Resource competition explanation is based on the belief that ethnic cleavage generally
acts as a façade for deeper socio-economic cleavages. To Rothchild, for instance,
politicised ethnicity is not the expression of some form of primordial attachments, but
rather an instrument in the struggle for power, directly linked to the process of
modernisation. Kellas point out that many examples show material and economic interests

41
at stake in ethnic politics and individuals seeking an advantage, usually by playing up
their ethnicity to secure scarce resources. Glazer and Moyanihan also suggest that one
of the striking characteristics of the present ethno national situation is indeed the extent
to which we find the ethnic groups denied in terms of interest, as an interest group.

Resources can be economic or political. Economic resource competition has dominated

the work of anthropologists employing the ecological model. Sociologists, who borrow
and extend this view have focused on both economic and political resource competition.
Negel, who calls resource competition “cultural materialism”, points out that this theory
also stresses the importance of technology and environment in determining the form and
substance of culture. It is argued that modernisation increases levels of competition for
jobs, housing and other valued resources among ethnic groups and that ethnic conflicts
and social movements based on ethnic (rather than some other) boundaries occur when
ethnic competition increases. Studies using this approach have found that ethnic party
support is much higher in developed, and industrial regions than in underdeveloped
ones. Development leads to a rise rather than a decline in ethnic mobilisation because
it provides resources to ethnic groups in the periphery, increasing their bargaining
position and organisational capacity for action. The literature on the class basis of ethnic
movements is also supportive of this theory, for it shows that movement activists tend
to be more educated, are more well to do, and have higher occupational status than
others among their ethnic groups.

18.3.5 Elite-Competition
Paul Brass says that ethnic identity and modern nationalism arise out of specific types
of interaction between the leaderships of centralising states and elite from non-dominant
ethnic groups, especially but not exclusively on the peripheries of these states. Elite
competition, thus, according to Brass, is the basic dynamic which precipitates ethnic
conflict under specific conditions which arise from the broader political and economic
environment rather than from the cultural values of ethnic groups in question. The
theory is consistent with the assumption that ethnic identity is itself a variable, rather
a final or given disposition. The cultural forms, values, and practices of ethnic groups
become political resources for elite in competition for political power and economic
advantage. They become symbols and referents for the identification of members of the
groups, which are called up in order to create a political identity more easily. Ethnic
communities are created and transformed by particular elite in modernising and in post-
industrial societies undergoing dramatic social change. In pre-industrial societies,
particularly, Brass suggests, the primary issue is not allocation of state resources, but
control of local communities, which is an issue both within ethnic groups and between
ethnic groups and external forces, including other ethnic groups and the state.

Donald Horowitz points out that by appealing to electorates in ethnic terms, by making
ethnic demands on government, and by bolstering the influence of ethnically chauvinist
elements within each group, parties that begin by merely mirroring ethnic divisions help
to deepen and extend them. He, however, also suggests that though the movement for
ethnic or cultural revival may begin at an elite level, it cannot end there. The alienated
intelligentsia may be anxious to rediscover its lost roots, but the very loss of those roots

42
disqualifies it from providing anything more than initial moral and perhaps financial
leadership for this search. For, the western-educated elite is likely to be ignorant of
customary religious practice, deficient in local historical knowledge, unread in local
literature, and perhaps not even fully competent in its own language. In the last analysis,
it is dependent on an indigenous intelligentsia to carry forward the rediscovery process.

18.3.6 Internal Colonialism

The essence of internal colonialism theory (first advanced by Latin American writers
within the broad gamut of dependency) is that the relationship between members of the
dominant or core community within a state and members of the minority or peripheral
communities are characterised by exploitation.

Writing in 1965, Casavoca maintained that internal colonialism corresponds to a structure

of social relations among culturally heterogeneous, distinct groups. A decade later,
taking the case of Ireland as his empirical universe, Michael Hechter maintained that
ethnic groups would be subjected to internal colonialism in their subjugation of the core
region. The main argument behind this contention is that the capital world economy and
imperialist state expansion have led to a differential distribution of state resources and
valued employment opportunities among ethnic groups. For Wallerstein, for instance,
the essence of the modern state is not its relative authority but its role as a distributor
of privileges and differentiation among ethnic groups. Similarly Hechter suggests that
the modern capitalist state is an upholder of a “cultural division of labour” that distributes
valued jobs and economic development unevenly in such a way that the core region of
the country controls the best jobs while the peripheral regions are dependent upon the
core and the ethnic groups that inhabit core regions are confined to the least skilled and
prestigious jobs. Thus, as under colonialism, resources and labour residing in geographical
peripheries were developed and entracted by a culturally alien, technologically and
organisationally superior dominating group, under internal colonialism, regionally
peripheral labour and resources are developed for the enrichment of centre groups and
interest. As a result ethnically distinct and economically disadvantaged peripheral
population mobilises itself in reaction to exploitation. Nagel points out that what we see
here is a culturally distinct group residing in a historically disadvantaged periphery, its
resources dwindling, labouring at the command of the centre. Given the convergence of
ethnicity and economic status in the stratification system, the salience of ethnic distinction
and awareness increases. The internal colonial model, thus, also challenges the
functionalist prediction of an inevitable decline in the salience of ethnicity with the
increase of cultural homogenisation of the population in step with industrialisation and
modernisation. Ethnicity becomes revitalised as a means by which the “periphery” may
break out of the bondage from the internal colonialism.

18.3.7 Cultural Deprivation

According to this view one of the significant inducements to ethnicity comes from the
feeling of insecurity among ethnic minorities of their fear from getting lost in the sea
of majority. This may be either because of the discrimination and oppression by the
majority, the state identifying itself with the majority, or the homogenisation process
arising out of modernisation leading to creation of synthetic state culture.

43
True, it is not easy to trace prejudices and discrimination empirically. In fact, it is
difficult even to define them. Nevertheless observers do accept that in the contemporary
world, the examples of ethnic groups discriminated against or oppressed in varying
degrees are too many. Leo Driedgere points out four types of discrimination by the
majority against minorities: differential treatment; prejudicial treatment, disadvantaging
treatment, and denial of desire. The first two types are attitudinal and the last two
behavioural discrimination.

The apprehensions of minority ethnic groups about loss of their cultural identity arise
from two sources. The first is the dominant majority, generally politically powerful also,
questioning the so-called privileges or rights of minority and attempting to impose its
own religious or cultural values as that of the whole society. It means religious or
cultural values as that of the whole society. It means making the political ideology of
the core group also the basis of nationalism in the state. This belief system naturally
results in strong pressures towards assimilation of the non-dominant groups.

The second arises from the ideology of the modern states to equate the state with the
nation. This modern centralised nation-state, even in formal democracies, thinks of
regions and local units as its subordinates and agents. Any challenge from them is
considered as anti-national and subversive of national unity. In the third world countries,
the regimes, particularly in their zeal for nation-building, pursue policies which penetrate
homogenising pressures. In some cases states refuse to recognise even the limited
traditional rights of minorities to religion, language and culture. This not only leads to
ethnic rivalry and conflict but also creates convulsions within the ethnic groups whereby
the traditional elite finds its authority increasingly challenged. Unfortunately in the
inter-and intra-ethnic rivalry or conflicts the state, rather than acting as an impartial
arbiter, assumes the role of sword arm of the predominant ethnic group. It now appears
that a considerable number of national minorities are no more ready to “go meekly to
their doom”. From the 1960s onwards, as Michael Watson points out, such refusal has
been strongly expressed in party and electoral assertions and at times violent assertion
of political and cultural demands, summed up in the need for self-determination (whether
requiring outright independence or a “home rule” type of autonomy).

The popularity of democracy provides additional impetus to such demands. For the
democratic expectation of self-government is as much opposed to internal colonialism
as it is to colonialism in the empires. Thus as democracy grows in political attractiveness
so also many ethnic groups mobilise themselves politically against the state of which
they are part, if they feel they are discriminated or dominated. It is thus suggested that
there has been a cultural resurgence among ethnic or linguistic groups who bear a loss
of identity due to increased social pressures from dominant modern society. Of late this
view has been accepted by many observers, though not as an exclusive cause. Even
Marxists have started taking note of it.

18.3.8 External Factors

According to some observers the spurt of ethnic conflict all over the world in recent
years owes its sustenance to external involvement and support. It is pointed out that the

44
use of a large number of small and medium weapons by the ethnic groups, the recurring
huge financial requirements for sustenance, and mass-media exposure to their point of
view cannot be explained except in terms of the involvement of external powers.

It is also suggested that because of failure of the often used instrument of foreign policy
the states have resorted to warfare through other means, i.e. support to ethnic groups
against the state or the state against the subnational groups. In a number of cases, since
the ethnic groups may straddle border, foreign intervention is built into the problem
from the start. Ethnic movements may also get support in moral and material forms
from expatriates belonging to the same ethnic group living in various parts of the world.
Apart from expatriates, support may also be provided by other ethnic groups for
ideological reasons, such as support to liberation movements. Whatever may be the
reasons for such a support, it is quite clear that external factor can only provide sustenance
and/or a moral boost to ethnicity. It cannot be in itself the main cause for its origin and
the existence. This arises from within the society and polity and has to be looked into
with reference to specific realities.

18.4 ETHNIC MOVEMENTS

Various explanations discussed above lay emphasis on one or the other reason for
ethnicity becoming a focus for political mobilisation. Most observers accept the fact that
no single theory or model can explain the phenomenon in all its aspects and in all types
of situations. Ethnic mobilisation may have multiple causes. Economic marginality is
certainly one of the root causes, and hence one of the theoretical explanations, of
regional and national conflicts but it is not by itself a sufficient basis for a general
theory of ethnicity or regionalism. Economic factors are, of course, fundamental to
theoretical explanations, but they are many sided and must be considered in their concrete
reality. Historical and political factors are most important, but these must also be
considered as concrete elements of specific historical development and of a specific
political system. Cultural factors can also develop in complex ways, both as a result of
political conflict and of ideological confrontation (linguistic conflicts, for example). But
even these must be considered in terms of their specific reality. Ethnic nationalism is
also a reflection of broader and deeper consensus in modern society, such as disquiet
at standardisation, an intensifying identity crisis, and growing general dissatisfaction
with government and the major parties. Hence, ideologically, ethno-nationalism offers
a combination of older themes related to the community, common inheritance and
culture along with newer ones relating to economic development and democratic control.
Also, it is important to note that motivating forces alone do not give rise to ethnic
movements. The degree to which ethnic groups have a well developed substructure of
various kinds of organisations and associations of their own which encapsulates them
and keeps them externally isolated from their potential opponents is also a necessary
determinant.

During the post-Second World War period, in general, in multi-ethnic societies, one
discerns two simultaneous and ongoing processes of nation-building: (a) the formation
of an inter-ethnic composite of a homogeneous national personality with a secular
outlook through the state apparatus, and (b) the transformation of an ethnic group in a

45
multi-ethnic society to an ethnic community of nations. While the former can be described
as the building of a state-centred nation, the latter can be described as an ethnic nation.
While the former comes somewhat closer to the usually accepted western interpretation
of the term nation state, the latter approximates the usage of the term sub-nation and the
Marxian usage of the term “nation” and “nationality” or ethno-social sub-division. If
development has not meant the inevitable demise of ethnic attachment, perhaps the
reason is that ethnicity is qualitatively different from what it was considered to be. It
appears to be more adaptive and resilient and less tradition-bound than many social
scientists have suggested. That is why ethnic conflict and movements today appear to
be a normal feature of developing as well as advanced industrial societies with varied
consequences for social and political processes.

Western Europe has recently faced renewed militancy by territorial and national minorities
in states that considered such problems as having been solved long ago. Such examples
are the Bretons and Corricans in France, the Scottish and Welsh in Great Britain, the
simmering linguistic conflict between the Flemish and the Wallcons in Belgium, the
conflict in Ulster between the Catholics and the Protestants, the Basque country in
Spain. The Quebec situation in Canada is delicate. In the U.S.A. which used to boast
of being the melting pot of nations, ethnicity has become a major focus for political
action. The large scale inflow of Hispanies, who do not take to the English language,
has started causing worry. Even the pervasive and compelling ideology of socialism
finds itself continually confronted by sub-nationalist demands for home rule. In addition
to what has happened in the U.S.S.R. and East Europe, in China, despite numerous legal
and institutional safeguards, many minority nationalities grudge the cultural and political
domination of the Han majority. In Tibet, for quite some time, the nationalist sentiment
has been openly expressed.

In the Arab world and Western Asia, religious and ethnic minorities (such as the Druese,
the Cophs, the Buluchs, and the Berbers) seek accommodation with the dominant culture;
others strive for self determination (such as Kurds, Saharouis, and Palestinians); still
others seek historical redress for ancient grievances. In Africa, recent history witnessed,
among other ethnic problems, a bloody civil war in Nigeria: massacres and persecution
of one ethnic group by another in Rwanda and Burundi; mass expulsion of Asians from
Uganda and Ghanians from Nigeria; ethnic-political struggles in Mozambique, Zimbabwe,
Zaire, Chad and Angola. There have been disastrous conflicts in the Horn of Africa. The
Latin American countries have failed to solve the internal problems – cultural and
psychological – which by encouraging chauvinistic nationalism have forestalled effective
nation-building. Recent events in South Asia suggest that this region with unique ethnic,
linguistic, religious diversity is rather too much prone to dangerous conflicts.

Thus in every system and regime, ethno-cultural resurgence has put to question the very
basis of nation-state and the concept of nationality. The last three decades of the twentieth
century have particularly been a period during which minority nationalist movements
have multiplied and flourished. It is estimated that more than 75 per cent of on going
major conflicts of today are due to ethnic considerations. As already mentioned, one of
the most important functions of cultural movements is to support ethnic boundary
maintenance or, more properly, boundary reconstruction. Typically, they attempt to

46
repair breaches in boundaries and prevent the loss of group members, especially elite
members. They infuse group identity with a new or revived cultural content that may
command greater allegiance or demarcate the lines between groups more clearly, reducing
the element of individual choice in identity. That cultural movements are employed to
effect, forestall, or reverse boundary changes is, of course, evidence that cultural practices
and institutions are not givens of ethnic identity but may actually follow from it.

18.5 STRATEGIES OF ETHNIC MOVEMENTS

We have seen above that Ethnic movements apart from concern for identity, are political,
economic and cultural manifestations of ethnic solidarity. In many cases ethnic group-
based activities seem to be rational responses on the part of individuals and groups to
contemporary situations encouraged in modern societies. The demands and goals of
ethnic movements differ from situation to situation. These range from simple demands
for protection of language or culture to complete autonomy or separation. Within these
the nature and language of education, the designation of holidays, the development of
cultural programmes and such other policy measures are issues of concern. As mentioned
earlier, particularly in modern systems, where public authority delves into many aspects
of life, culturally distinct groups may well aspire to control that authority in culturally
sensitive areas. These may be demands for establishment of federal systems, or more
powers to states in existing federal systems like being made by some groups in India,
or recognition of special status for state or province as is the case in Quebec, Canada.
In general ethnic demands are of four types:
a) for affirmative discrimination
b) for greater autonomy and unquestioned power
c) autonomy demand related to systematic change, and
d) secession
Similarly various ethnic movements use different techniques to attain their goals
Christopher Hewitt, having conducted a survey of a number of ethnic movements observes
that the strategies generally used are civil war, communal (ethnic) rioting and terrorism.
Civil War is marked by widespread conflict between highly organised and heavily
armed military units. There is either a struggle for control of the state, as in Zanzibar,
or the state fragments and its authority passes to ethnic factions who battle for territory,
as in Cyprus and Lebanon. This type of conflict, threatening a revolutionary transformation
of the pre-existing state, is clearly the most serious kind of ethnic conflict, leading to
very high death rates as well as widespread social disruption and property damage.

Communal rioting is of two types. The first involves clashes between civilian crowds
rather than between organised military units. The violence is spontaneous and the weapons
used are often home-made and primitive. Communal rioting, while it may involve
incursions into the other group’s areas, does not typically involve attempts to gain or
control territory such as occur in civil war situations. Nor is there any serious likelihood
that the government will be overthrown by this kind of violence. In this kind of communal
rioting there is a widespread willingness to attack members of the other community

47
simply because of their ethnic identity. Communal riots of this type occur in communally
sensitive societies though their severity varied considerably.
Another type of communal riot does not involve confrontations between rival crowds,
but rather clashes between soldiers or police and civilians of one ethnic community
together with some looting and property damage. Such confrontations have been
significant in the United States, Israel, and Northern Ireland.
Terrorism is defined as violence carried out by but highly organised groups. It includes
such acts as assassinations, bombings, and small-scale gunbattles. Although such acts
are often committed in association with other kinds of violence, terrorist campaigns of
any significance are not common. The activities of the Irish Republican Army and the
Protestant Loyalist groups have been responsible for the great majority of deaths in
Northern Ireland. Intermittent racial terrorism in the United States has had little social
impact and claimed only a handful of lives. In Canada the separatist “Front de Liberation
du Quebec” was responsible for a handful of kidnappings and bombings. In India
terrorist activities by ethnic movements had been used in North Eastern part of the
country and Jammu and Kashmir. A significant example of use of terrorism is by LTTE
in Sri Lanka.

18.6 SUMMARY
In this unit, we have seen that most countries in the world are populated by several
distinct ethnic groups and a number of them have experienced or are experiencing
ethnic movements of one or the other type. The problems involved in managing group
conflicts in multi-ethnic societies are multifarious and exceedingly complex. The growth
of the ethnic self assertion is in many ways a consequence of these managerial problems
and related developments. In many societies ethnicity has become the main base for
interest demands also. Among the possible causes generating ethnic movements are fear
of loss of identity, economic grievances, political grievances, political mobilisation by
elite etc. The most general complaint is that one community is denied its fair share of
economic and political power. The demands and goals of the ethnic movements range
from redressal of grievances by the State to those of complete autonomy or separation.
Similarly ethnic movements can take various shapes ranging from peaceful constitutional
protests to civil war, with ethnic or communal rioting and terrorism in between.

Whether in the shape of agitations for autonomy, movements for better politico-economic
structure, or struggle for separation, the phenomena of ethnicity is an intrinsic component
of the socio political realities of most of the multi-ethnic states in the world today. It
is becoming increasingly evident that in the post Second World War period both neo-
liberal and socialist claims have not been able to remove the ethno-national question
from the political agenda. Therefore the issue of how to cope with the complexities of
multi-ethnic states and ethnicity remains significant.

18.7 EXERCISES
1) What do you understand by Ethnonationalism?

48
2) Evaluate the processes Modernisation and Resource allocation as causes for the
emergence of Ethnic Movements.

3) Describe and assess the economic factors including internal colonialism as responsible
for ethnic movements.

4) Analyse the nature of ethnic movements and various strategies used by them.

5) Write an essay on Ethnic Movements in the age of modernisation.

49
UNIT 19 POLITICAL REGIMES
Structure
19.1 Introduction
19.2 General Characteristics of Political Regimes
19.3 Functioning of a Political Regime
19.4 Types of Political Regimes
19.4.1 Democratic Regimes
19.4.2 Totalitarian Regimes
19.4.3 Authoritarian Regimes
19.5 Evaluation of Political Regimes
19.6 Political Regimes: Similarities and Dissimilarities
19.7 Summary
19.8 Exercises

19.1 INTRODUCTION
We live in the world of nation-states. There are about 200 nation states in the world
today. Every state has a separate geographical boundary in which people live under their
own political regime. The term ‘regime’ is different from the term ‘system’. While
system implies major concepts, functions and structures, the term regime stands for
specific institutional arrangements, how relationships are arranged, patterned and organised
in a given society. The term political regime denotes the particular political institutional
arrangements: how political relationships are structured, and organised in a given society.
According to Roy Macridis, a renowned scholar of comparative politics, “a political
regime embodies the set of rules, procedures, and understandings that formulate the
relationship between the governors and the governed. In every political regime there are
a variety of political institutions—the legislature, the political party or parties, bureaucracy,
to mention a few—that perform the allotted tasks and roles involved in governance.”

People live in different types of political regimes in which various political institutions
play a great variety of roles and perform differently, although the institutions may carry
the same name label. Thus legislatures or political parties or bureaucracies play different
roles and perform differently in different regimes. Also each political regime is the
product of its own peculiar historical, cultural, economic or social and international
factors, which condition the political behaviour and the attitude of those who govern
and those who are governed. Regimes may also vary in their stability and legitimacy,
degree of institutionalisation, status of their development, and the kind of rules that
determine the relations between the governors and the governed. They differ “in the
organisation of political power, the forms of political participation, the organisation and
articulation of interests, and the configuration of political rights.”

For a comparative study of politics, it is essential that we develop some general concept
that will help us determine the similarities and differences to enable us to arrive at some

50
descriptive generalisations. Thus it is first necessary to establish a general theory or a
framework in terms of which we can identify similarities and differences, classify different
political regimes, and generalise about them, in order to understand our political universe.

19.2 GENERAL CHARACTERISTICS OF POLITICAL

REGIMES
It is difficult to arrive at a consensus on the general characteristics of all types of
political regimes as such. Different theorists identify different characteristics of political
regimes according to the ways they interpret the functions of political institutions or the
specific relationship between various functionaries. Thus for the systems theorist, “a
political regime denotes the particular ways and means in which these functions are
structured and patterned into institutions and procedures and of their specific
relationships.” According to them, as summarised by Macridis, a regime must:

1) Generate commonly shared goals and to do so, it must provide for socialisation, for
a common acceptance of the goals and the institutions through which these goals
are to be realised, i.e. the prevailing ideology.

2) Provide the mechanisms for decision making.

3) Establish mechanisms for articulation of interests and the aggregation of interests

that determine policy.

4) Provide for the ways and means whereby decision makers are selected, together
with the rules for their succession.

5) Maintain order by providing for effective controls against disruptive behaviour.

6) Be capable of self-preservation.

All political regimes try to perform these functions in different degrees through the
institutions they so constitute, and they are assessed in terms of their ability to perform
them.

19.3 FUNCTIONING OF A POLITICAL REGIME

The functioning of a political regime is characterised by four major interacting processes,
each one performed by different institution(s).
1) The Organisation of Command—in essence the state and its agencies, which is
often referred to as “the government”
2) The Organisation of consent
3) The Configuration of interests and
4) The Organisation of rights.
Let us discuss these processes in a greater detail to further analyse the concept of
political regime.
51
The Organisation of Command

As we know, politics and the study of political regimes is concerned with the exercise
of power, irrespective of why and how that power is exercised. We use the term state
to denote the existence of political power within a given territory. Long time back
Harold J. Laski, a noted British political scientist, has defined state as consisting of a
“relatively small number of persons who issue and execute orders, which affect a larger
number in whom they are themselves included: it is of the essence of character, that
within its allotted territory, all citizens are legally bound by those orders.”

Thus the state, as an association, is different from other associations in its purposes,
which are far wider and encompassing in scope than other associations, which is all-
inclusive and has awesome powers over the various components of the society. While
in a society one can move from one association to another or get out of it, it is extremely
difficult to get out of the state that one belongs to and most important, the state has the
monopoly of power and coercive force to secure compliance to its decisions, but at the
same time must secure the loyalty of the majority of its citizens to comply with its
citizens. As long as the majority of its citizens comply, the state can function with a
minimum use of force, but if the majority do not comply, then the state cannot even
exist.

The Formal Organs of Command

Despite their differences, all political regimes have similar formal command structure,
the executive branch is at the top, administration or bureaucracy subordinates it: the
legislature makes laws; and the judiciary applies the laws and settles disputes about the
law. They are also similar in the way that their relationships are arranged by a
Constitution—a written (in some cases unwritten also) set of rules that prescribes the
limits of power, the manner in which power will be used, and the responsibilities and
freedom of the citizens.

The Governing Elite

The study of command structure and the institutions and agencies operating within it is
not limited only to those officially appointed or elected. In many political regimes, the
decision makers, the officials are also part of the governing elite, which, “generally
consists of people with greater income or knowledge and skills, or status and political
influence, including those who occupy decision-making positions.” Industrial leaders,
managers, intellectuals, political leaders, religious leaders, representatives of major
interests and other groups and associations, doctors, lawyers, engineers—they all make
up elite. It must be remembered that in the study of political regimes, we always try to
link the command structure—the government with the elite.

19.4 TYPES OF POLITICAL REGIMES

Political regimes in modern times can be classified as: democratic regimes, totalitarian
regimes and authoritarian regimes.

52
19.4.1 Democratic Regimes
In a democratic society individuals are assumed to be free. Clearly defined and demarcated
“limitations” and “responsibilities” are the two key features to recount the essence of
a democratic regime. Limitations, both procedural (the manner in which the political
power is exercised) and substantial (rights, liberties, various structures etc.) serve as
checks on the powers and authority of the state. While limitations negate the state to
interfere in the activities of the individuals, responsibility demands certain definite and
positive actions on the part of the state and its involvement in various activities with a
view to further individuals’ well-being. All democratic regimes have a Constitution—
short or detailed, written or conventions-based. The Constitution establishes in various
ways the responsibility and accountability of the public functionaries to the citizens. It
clearly spells out the limitations and responsibility of the individuals’ rights, organisation
and structure of government, specific roles and powers which are assigned to the three
major organs of the government: executive, legislature and judiciary. Some Constitutions
make a mention of political parties, army and other consultative bodies too.

The nature of executive in a democracy can be either a presidential or parliamentary or

it may be a combination of the two. In a parliamentary form of democracy, legislature
enjoys supreme power to make laws, control the finances, and make appointment and
dismissal of the head of the government (Prime Minister and his Ministers). However,
in practice, the cabinet and the PM (and bureaucratic agencies) have emerged as quasi
–independent policy making bodies. The parliamentary regime is cabinet government,
whereby the leadership of the majority and its leader (Prime Minister) commands supreme
political power. The cabinet has acquired the totality of the executive power. The
cabinet also qualifies for the accountability, but for that the following five conditions
must be fulfilled as prescribed by Macridis.

1) The political parties must be well-disciplined; their members in Parliament must

vote as one. Cross-voting should be the exception.

2) The parties must be few in number, ideally only two. Parliamentary regimes with
more than two political parties cannot provide for a strong and stable cabinet
government since there will be no clear majority to support it.

3) The right of dissolution of parliament and holding a new election is explicitly and
unequivocally given to the Prime Minister with no strings attached.

4) It is generally expected that the winning party will have a majority and not a mere
plurality of the popular vote. If over a period of time a mere voters’ plurality is
translated into a comfortable parliamentary majority, the strength of the command
structure may become weakened. People will dispute its right to act as if it represented
the majority. This has been the case, increasingly, both in England and in the
Federal Republic of Germany.

5) Finally it is expected that neither one of the major parties will retain a majority over
a long period of time. In most parliamentary regimes the major parties, or party
blocs, alternate in office.

53
In the Presidential types of democracy the president is the head of the state as well as
the government. The Constitution of the US (the most notable example of Presidential
system of democracy), mentions the President of USA as the Commander-in-chief,
foreign policy negotiator, manager-in-Chief, party leader, spokesman of the public interest,
and broker of ideas and policies in the civil society. The President heads the
executive branch whith his own office, and is arranged by a personal staff, the White
office.

The nature and patterns of political regime in France (Fifth Republic, 1958) can be
described as semi-presidential and semi parliamentary regime. The French
president holds the supreme executive power in reality. Also there is a cabinet led by
him who conducts the policy of the nation and is responsible for it before the
parliament.

Participation and elections, two very fundamental premises of democracy, give the
people at large the instruments to determine the major policy guidelines and choose
their representatives accordingly; and enable to evaluate/judge, and on the basis of
performance of their representatives, decide whether to vote for them or not in the
general elections. General public participate in the state activities only by means of
letter-writing to the government or to the press, forming clubs, and voting in the elections.
A political party on the other hand is an association that activates and mobilises the
people; represents their interests, and provides a ground for a political leadership. The
functions of all political parties in the democratic regime have been summed up by
Macridis in the following manner:
1) They represent the views of societal groups and forces and organise and structure
participation and representation.
2) They advocate policies. Policies are embodied in the party programme, fora, or
manifesto
3) Democratic parties have concrete and often limited objectives as opposed to the
populist or utopian parties, which advocate a radical transformation of the society.
At the most, democratic parties aim to reform, not to transform.
4) In their activities, they tried to both belies the citizenry and to aggregate interests
and demands.
5) Most democratic parties aim at capturing and controlling the government, but in a
number of democratising regimes this is never possible because they can never win
the required majority. It is only by forming coalitions with parties they are able to
participate in the government or influence it directly.
6) They provide training for future leaders; they recruit men and women who are
interested in politics and can rise to positions of leadership.

In all democratic regimes the citizens have several rights and interests. In fact no other
feature than the presence of citizens’ rights and interests, distinguishes the democratic
regimes from the non-democratic ones.

54
19.4.2 Totalitarian Regimes
The essence of totalitarian regimes lies in the ideology. Ideology offers a set of
comprehensive propositions about the problems of society. General public is tightly
organised in the name of the ideology, with the goal of disseminating it and imposing
it. All totalitarian regimes are based on the single-party system. The totalitarian regimes
can be classified as the communist totalitarian regimes like erstwhile Soviet Union, and
other Eastern European countries and the Balkans (except Greece), Cuba, Vietnam,
Mongolia, Ethiopia, Angola and Mozambique, Nicaragua, etc. and the non-communist
totalitarian regimes like Nazi Germany and Fascist Italy.

Totalitarian and authoritarian regimes share many common characteristics. In both

authoritarian and totalitarian regimes political power is concentrated and the command
structure is not subject to the limitations and rules of responsibility that we find in
democratic regimes, the political leadership manipulates and controls consent, very little
or no attention is paid to the individual rights—usage of various methods to subordinate
and control interests and interests association, utilisation of force (police and other para-
military force) to ensure the control of public media.

Despite the above similarities some differences should also be understood between the
totalitarian and authoritarian regimes. Firstly, in totalitarian regimes the leadership
develops new institutions to bring societal forces under their control like economy, the
family, churches, universities and schools, and other cultural associations. In authoritarian
regimes, though controls and restrictions are also imposed, they hardly attempt to reshape
and restructure the society and the individual actors.

Secondly, the totalitarian governments tend to be highly ideological in the goals they
set forth, while authoritarian regimes do not develop the same all-encompassing official
ideology. With the use of ideology and the party, the totalitarian regime strives to
organise consent and to develop a broad consensus. A positive communication network
is built with people at large. Authoritative states do not attempt to build a consensus.
The emphasis is laid on obedience.

Thirdly, though both authoritarian and totalitarian regimes endeavour to institutionalise

the political organisations, totalitarian regimes often succeed in legitimising the authority.
Since institutionalisation is related to the levels of modernisation, authoritative states are
backward in the society and the economy than the totalitarian states.

19.4.3 Authoritarian Regimes

Nearly half of the political regimes in the world are based on authoritarianism. They can
be classified as personal regimes (Saudi Arabia), single-party regimes or outright personal
tyrannies, states and bureaucratic and military regimes. Before going into the nature of
the authoritarian regimes, let us first try to find out some causes as to why a society gets
transformed into an authoritarian regime.

Firstly, authoritarianism can be related to the nature of formation of a nation-state.

Sometimes, centralised control and repressive mechanisms tend to evolve with the view

55
to deal with the dissidents-ethnic, regional economic tribal and religious groups. In
some states, especially when they are insecure or weak, the rulers of the day show a
tendency to get authoritarian of course in the name of acquiring strength to deal with
the external forces and provide security to the nation.

Secondly the particular political culture of the country too plays a role in the emergence
of authoritarianism. Macridis opines that authoritarianism has developed in countries
where there has been the absence of the following values:

i) Where there is a highly unbalanced relationship between the civil society and the
state.

ii) Where the middle classes are weak and unable to form associational representative
parties or networks that limit the state.

iii) Where there is a hidden or inherent tendency toward statism or, to put the same idea
negatively, where restraints against the state are few and weak.

Thirdly, authoritarian regimes emerge when fast economic modernisation takes place. In
the process of modernisation, the traditional patterns of economic and social life get
disturbed and the aspirations and demands of the people are also heightened. Authoritarian
rule is often looked-for in order to curb social conflicts and tensions.

Features of Authoritarian Regimes

The following, according to Amos Perlmutter, are some of the important characteristics
of the authoritarian regimes.
1) The military is highly significant and influential in such states.
2) The level of popular participation is very low.
3) Rights especially political rights are either non-existent or nominal.
4) There is normally absence of any ideology to mobilise the masses.
5) While trying to subordinate societal and interest groups, authoritarian regimes do
not undertake restructuring of the society.
Types of the Authoritarian Regimes

There are four types of authoritarian regimes: (A) Tyrannies, (B) Dynastic regimes,
(C) Military regimes, and (D) Single-party regimes.

i) Tyrannies

In tyrannies, the political power is acquired and wielded by a tyrant in a personal and
absolute manner. The instruments of coercion are carefully developed through the police
and the army, to include prevention, repression and surveillance and intimidation. Though
usual services like maintenance of law and order, public health, transportation etc are
delivered in such regimes, the status of the army gets reduced as the personal guards
of the tyrant. In some cases, his guard consists of relatives or, more likely associates

56
who owe allegiance. Thus the tyrant is associated by such organisations as the army,
police, the intelligence services who later develop their own practices and become
somewhat autonomous in their functioning. Some political regimes in Latin America
and Africa since World War II, like Batista in Cuba, Somoza in Nicaragua, “Papa Doc”
Duvalier in Haiti, Emperor Bokassa in Central Africa, Idi Amin Dada in Uganda are
some of the examples of this type of political regime.

ii) Dynastic regimes

Dynastic regimes are different both from the monarchies and the tyrannies in the sense
that power is not acquired on the basis of force. In dynastic regimes political power is
shared by the king’s family. The Sultan of Brunei, after achieving independence, appointed
his family member to various posts. In dynastic regimes the power of the king is
tempered by immemorial customs, conventions, understandings and religious standards.
There is no distinction between the wealth of kingdom and the personal wealth of the
king. In other words, the wealth of the nation is the whim of the king. Another feature
of the dynastic ruler is the lack of people’s participation and representative institutions.
There are some countries like Morocco, which have evolved some form of parliamentary
government with the king actually manipulating the legislature and other bodies dealing
with decision-making. The dynastic kingdoms represent a peculiar combination of
traditionalism and wealth. But a change in the traditional values or a sudden fall in
income may destroy the source that gives dynastic rulers their support. Some
traditional Dynastic regimes like Nepal are in recent times turning into constitutional
monarchies.

iii) Military Regimes

Military government is the most common form of contemporary authoritarianism. The

reasons for military intervention into politics are two fold: Firstly, a strong and genuine
affinity between the officer corps, the governing elite, and the public at large about the
political norms, values and institutions of the political regime. The acceptance of civilian
rule and its institutions is internalised in the officer corps. Army intervention is considered
improper and unacceptable by everybody concerned: the government, the people, and,
most importantly, the officers themselves. Secondly, civilian governance has developed
roots that are so deep and legitimised that the prospects of a successful army intervention
appears very dim even to those among the military who may entertain the thought of
a military takeover (Roy C. Macridis, p.226). Especially in the developing countries
military intervention takes place in special circumstances like breakdown of political
process, counter-revolution, military aid, breakdown in succession.

Military rule can be either direct or indirect through military control, arbitration and
veto. Indirect military control ranging from arbitration to army veto is prevalent in some
pseudo-democratic countries where despite the constitution, regular elections, democratic
power structures, and other democratic processes, the military dictator controls and
influences the decision-making process. In this category of political regimes can be
mentioned countries like Argentina, Brazil, Peru, Bolivia, Uruguay, Guatemala, Colombia
etc.

57
iv) Single-Party Authoritarian Regime

Single party authoritarian regimes whether military or civilian exist in Syria, Iraq (before
the US military attack leading to Gulf War II in April 2003), Tunisia, Tanzania, Egypt,
Kenya and Mexico, where there is a rule of dominant party. In such regimes the single
political party is the only one of the organisations the regime establishes or allows in
order to maintain its rule and gain supports. Single parties are just support agencies to
the government. They provide only limited channels of popular participation; they are
manipulated by the power-holders to provide a countervailing force against other groups
or potential centres of power; after a period of flow, usually associated with a mobilising
phase to achieve national independence. Such regimes have failed to institutionalise
themselves in contrast to single parties in totalitarian regimes.

19.5 EVALUATION OF POLITICAL REGIMES

Thus we have seen that modern political regimes can be classified into three main
categories for the purpose of understanding and analysis: democratic regimes, authoritarian
and totalitarian regimes. On the basis of the above can be drawn some conclusions
regarding the strength and weaknesses of particular regimes. Firstly let us talk about
which regime is more durable and stable. There is nothing to affirm that democratic
regimes last longer than the authoritarian or totalitarian regimes. The communist
totalitarian regimes and authoritarian regimes show discernible durability. The Soviet
Union continued in existence for almost seventy years before it collapsed in early
1990s. China and Cuba are other examples to substantiate the above point. The period
of existence of the totalitarian regimes is much longer than that of some of the democratic
regimes like German Weimar Republic (12 years), Portugal or Spain (10-12 years). The
history of Algeria and Mexico also establish the durability of the authoritarian regimes,
but sooner or later they all eventually collapse.

Second issue is related to the question of adaptability. Every regime, like all other
institutions, must adapt itself to new realities of the society and make use of the openings.
Democratic regimes are found to be more adaptable as compared to the other two types.
Totalitarian and authoritarian regimes are less adaptable to the new conditions and
circumstances as both of them have a system of concentrated power-structure,
homogeneous and cohesive political power, and rigid official ideology.

Third parameter of comparison and evaluation can be the process of legitimisation in

a particular regime. Legitimisation means acceptance by the governed of the authority
of those who govern. It involves the process of participation, socialisation, representation,
political parties, and elections. The level of legitimisation is higher in the democratic
regime than the other two. In authoritarian regimes legitimisation is distorted as there
are uncertain consent and support. In such regimes, sole emphasis is on maintaining law
and order and hence no alternative voice is allowed. In totalitarian regimes, legitimisation
is the product of an ideology—communist or fascist. Roy C. Macridis says, “But we
have no way of testing legitimacy in totalitarian and authoritarian regimes except when
they collapse. If they do not, compliance should not be presumed to indicate acceptance
and legitimacy”.

58
Maintenance of civil order is another parameter of evaluation. Totalitarian and
authoritarian regimes perform far better than democracies in maintaining law and order.
In countries like Egypt and Algeria, or Chile either there are no strikes, demonstrations
etc or they are peaceful. In democracies, though demonstrations are peaceful, yet often
they resort to violence. Thus, as Macridis says, “authoritarian/ totalitarian regimes seem
to bask in the serenity of an orderly society while democracies seem to be constantly
on the brink of anarchy”. However, if we go in deeper analysis it is observed that while
in the democratic regimes there is more organised and collective violence, in authoritarian
or totalitarian regimes there is far more public violence in the form of coercive and
repressive practices by the state and its apparatus. It is worth recalling views of Harry
Eckstein, who argues, “But the persistent coercive repression of large social collectivities
surely denotes political failure of some sort; if it is reasonable to expect polities to
reduce private conflict, it is also reasonable to expect them not merely to displace it onto
the public level”.

The extent to which the governmental agencies reach the societal forces is another
consideration for evaluation. In democracies, the societal forces maintain their autonomy
and independence of thought and action. In totalitarian communist governments and
also in a number of authoritarian regimes, the economy, cultural and religious associations
are immune to governmental penetration. The democratic regimes are more responsive
to the demands of the public than the authoritarian and totalitarian ones and hence they
get greater support from the public.

19.6 POLITICAL REGIMES: SIMILARITIES AND

DISSIMILARITIES
There are points of convergence and divergence in the modern political regimes. Firstly,
in all three, the role and position of legislature has been incapacitated. Legislations are
enacted mainly on the initiative of the executive. The executive solely controls the
army, budget, and foreign policy. While in democracies it is just a platform for debates
and discussion, in the authoritarian and totalitarian regimes, even this role is missing.
Secondly, there has been a growth in the role, power and position of the executive in
all types of political regimes. The executive branch has grown in number and its scope
of activity has expanded. Thirdly, states in all regimes have become welfare states with
increasing role and intervention in the individual’s life. However there can be difference
in degrees. Fourthly, the role and influence of the military has grown, including the
democracies.

The differences between the democratic and authoritarian or totalitarian regimes lie in
the style in which the relationship between the society and state is structured. In
communist totalitarian states, the emphasis was on engaging societal forces into the
state and makes them conform. In democracies, the emphasis is always on separating
society from state. Coming to specific differences in matters of institutional trends we
find that in all democratic countries (whether unitary or federal) there is decentralisation
of decision making. Local and regional autonomy is emphasised. In those states where
the economy is nationalised, there is devolution of powers to the provincial units and

59
UNIT 20 BUREAUCRACY
Structure
20.1 Introduction
20.2 Meaning of Bureaucracy
20.3 Weber’s Theory of Bureaucracy
20.3.1 Weber’s Authority System
20.3.2 Characteristics of Weber’s Model
20.3.3 Weber’s Critics
20.4 Marxist Views on Bureaucracy
20.5 Relationship between Political and Permanent Executives
20.6 Functions of Bureaucracy in Modern Times
20.7 Bureaucracy in Developing Countries
20.7.1 Nature of Bureaucracy in Developing Societies
20.7.2 Role of Bureaucracy in Developing Countries
20.8 Summary
20.9 Exercises

20.1 INTRODUCTION
In today’s world, it is almost impossible for anyone not to be confronted by
governmental agencies such as police, tax authorities, municipal authorities, authorities
dealing with public utilities like public transport, sanitation, supply of electricity, water
etc. several times a day within our normal daily activities. The realm of bureaucratic
authorities has considerably gained in size and importance owing to the enormous
horizon of the modern political regimes, which tends to encompass manifold activities
with a view to achieving goals in a more rational manner. No modern state can think
of surviving without the minimum support of the bureaucratic structures, as these agencies
are quite capable of achieving objectives in an extremely efficient manner for big
organisations.

Thus public bureaucracies—civil service, or other administrative agencies—dominate

modern societies and political regimes. These agencies comprising the members of the
executive branch below the chief political executive are normally responsible for
implementing public policies. There has been an increase in the size of government
bureaucracies over the last century or so as a result of the proliferation in the governmental
functions. In other words, the growth of the modern state and the demands of the social
and economic development have given rise to administrative structures and their
multiplication. These bureaucratic structures have assumed immense importance in view
of their technical, intellectual superiority and expertise against their amateur political
executives. Many scholars believe that only a society having legal-rational authority
structures would be capable of sustaining administrative structures of the bureaucratic
model (Dwight Waldo, 1953).

61
20.2 MEANING OF BUREAUCRACY
Bureaucracy commonly is used to refer to all agencies and structures involved in public
administration. Bureaucracy however refers to a particular way of organising such
agencies. Encyclopaedia Britannica defines bureaucracy as a professional corps of officials
organised in a pyramidal hierarchy and functioning under impersonal, uniform rules and
procedures to secure the goals of their organisations.

20.3 WEBER’S THEORY OF BUREAUCRACY

It goes to the credit of Max Weber, the German historian turned sociologist to give a
systematic theory of ‘bureaucracy’ – the patrimonial type prevalent in ‘traditional’ and
‘charismatic’ authority systems and the ideal model of ‘legal-rational’ bureaucracy of
legal rational authority systems of modern times. Max Weber was the first one to talk
about bureaucracy as a big improvement over the haphazard administration. His is not
merely the most oft-quoted theory of public administrative organisations, but also a
starting point for most social science researches on bureaucracy.

20.3.1 Weber’s Authority System

In his typology of authority systems, Weber, on the basis of its claim to legitimacy, has
classified authority as: (i) traditional authority, (ii) charismatic authority, and (iii) rational
authority. In the traditional authority, the basis of acceptance and legitimacy of the
authority is sacredness of the ruler and his orders. Under this system, personal contacts,
loyalties, kinship etc. influence the structure and decisions of the administration. In the
charismatic authority, charisma or the supernatural qualities of the ruler are the basis of
acceptance of the authority. Charisma is the gift from above where a leader himself
knows what to do. A charismatic leader contrasts with traditional leadership of a king
or modern rational leadership of an administrative or elected leader.

In the legal-rational system, the acceptance of authority is sought on the basis of the
rules, which are framed in an impersonal, impartial and rational manner. To Weber, a
bureaucracy is a particular type of administrative structure developed in association with
the rational-legal mode of authority. In his view, only traditional and rational-legal
authority relations are sufficiently stable to provide the basis for the formation of
permanent administrative structures.

Max Weber gave the concept of ideal type bureaucracy with structural and behavioural
features such as rationality, division of work and specialisation, hierarchical authority
system, merit based recruitment and promotion, distinction between position office and
its incumbent, between public and private, emphasis on written documents, office
procedures, rule-orientation, formalism etc. Bureaucracies are organised according to
the rational principles. Offices are ranked in a hierarchical order and their operations are
characterised by impersonal rules. Personnel are governed by systematic allocation of
duties and functions. Recruitment is done on the basis of the merit of the candidates,
or according to specialised qualifications rather than ascriptive criteria. This bureaucratic

62
coordination of the actions of large numbers of people has become the dominant structural
feature of modern forms of organisation. For Weber, bureaucracy is a type of
administrative organisation with above characteristics which once established will continue
because it is the most efficient, most rational form of organisation for exercising legitimate
authority (distinct from power) in a modern society. Since all modern states claim to be
‘legal-rational authority systems’ public administration is carried on everywhere through
a bureaucracy (civil service) modelled upon the Weberian ideal type. To Weber, a
bureaucracy is an administration based on discipline; and discipline is “nothing but the
consistently rationalised, methodically prepared and exact execution of the received
order”.

20.3.2 Characteristics of Weber’s Model

Weber’s model of bureaucracy has the following characteristics:
1) Specialisation and an elaborate division of labour
2) Hierarchy of positions
3) Technical competence as the chief criterion for recruitment and promotion
4) Written rules and regulations
5) Impersonality and
6) Formal, written communication.
Division of labour

The most fundamental feature of Weber’s theory of bureaucracy is a highly developed

division of labour and specialisation of functions. This is done by an explicit and
detailed definition of duties and responsibilities of each hierarchical unit. The allocation
of a limited number of tasks to each office operates according to the principle of fixed
jurisdictional areas that are determined by administrative regulations.

Authority structure

Unlike traditional authority structures, where the inferior-superior relationship tends to

be on personal grounds, inferior-superior relationships in bureaucratic organisation is
based on “rational” and impersonal regulation of authority. There is a definite distribution
of official duties in a fixed way. The authority to issue orders to carry out work is
strictly delimited by rules. Methodical provision is made for the regular and continuous
fulfilment of these duties and for the execution of the corresponding rights. Thus authority
is legitimised by administrative rules and the loyalty of the incumbent is aligned to an
impersonal order, to a superior position, not to the particular personage.

Position and role of the incumbent in a bureaucratic organisation

The role and status of the incumbent in a bureaucratic organisation is characterised by

the following features: selection and recruitment on the basis of formal qualifications
(diplomas, university degrees) that testify applicant’s necessary capability to accomplish
effectively his specialised duties rather than such considerations as family position or

63
political loyalties. His office is his sole occupation, ensuring stability and continuity, a
“life’s work.” It constitutes a “career.” In other words, positions in the bureaucratic
organisations are not offered on an honorary or short-term basis. There is normally an
elaborate system of promotion on the basis of the principles of seniority and achievement.
The system of remuneration is based on the status of his position rather than on his
productivity performance per se. There is a clear-cut separation between the private and
the public sphere of the bureaucrat’s life.

Rules that regulate the relations between organisational members

The presence of a system of control based on rational rules is the most important and
ubiquitous feature of bureaucracy. According to Max Weber, “Bureaucratic administration
means fundamentally the exercise of control on the basis of knowledge. It is this feature
which makes it specifically rational”. This stands in extreme contrast to the regulation
of all relationships through individual privileges and bestowal of favour, which is
dominant in patrimonial organisations, at least in so far as such relationships are not
fixed by sacred tradition.

Formal, written communication

The management of the modern office is based upon written documents. The officials
engaged in a ‘public’ office, along with the respective apparatus of material and the
files, constitute a ‘bureau.’

Weber has justified the rationale of the bureaucratic organisations in a democratic

regime. Firstly, there is the principle of “fixed and official jurisdictional areas”, which
ensures job rights to the employees. Secondly, bureaucracy has hierarchical supervision
that allows the governed the right to appeal to a higher level of authority with the “full”
type of bureaucracy. Weber states that an office manager receives expert training and
the official receives compensation for the services one renders to the organisation.

20.3.3 Weber’s Critics

Weber’s model of bureaucracy has met with a lot of criticism at the hands of behavioural
scholars. Among such scholars who also contributed to the studies of comparative
bureaucratic system, Robert Merton, Michael Crozier, Robert Michels, Monroe Berger,
Alfred Diamant, Ferrel Heady, and Robert Presthus are most prominent. The emphasis
in most of the writings on comparative bureaucracy appears to be on the interaction
between the administrative sub-system and the political system in which it (i.e., the
administrative sub-system) exists, although some attention has been paid to other
dimensions of administrative ecology. Let us examine some of the views of Weber’s
behavioural critics in some detail.

i) Robert Merton

The most general argument against such structures was developed by Robert Merton,
who argued that there is a tendency for “the rules to become more important than the
ends they were designed to serve, resulting in goal displacement and loss of organisational

64
effectiveness.” Robert K. Merton starts by telling us about the miracles of bureaucracy.
Merton is among the first sociologists to emphasise systematically dysfunctional aspects
of bureaucracy: redtapism and inefficiency. According to him, the preponderance of
rational rules and procedures brings about lack of flexibility. Procedural rules become
ends in themselves instead of simply means leading to “goal displacement”. Robert
Merton first identified this problem and applied the term to organisational preoccupation
with its rules and regulations to the point that managers keep the organisation from
meeting its goals. He said that in this system, “goal displacement” occurs as the
“instrumental and formalistic aspect of the bureaucratic role becomes more important
than the substantive one, the achievement of the main organisational goals”. According
to Merton, when one leaves the sphere of the ideal and studies a real organisation, one
can see that a certain bureaucratic characteristic can both promote and hinder
organisational efficiency; it can have both functional effects and dysfunctional effects.

ii) Michael Crozier

The French sociologist Michel Crozier’s study (Michael Crozier, The Bureaucratic
Phenomenon, 1963) of two French government agencies was another important step in
the analysis of organisational power and conflict. In Crozier’s analysis, the social structure
consists of highly cohesive occupational groups, each presenting a unified and rather
hostile front towards the others. Each group tends to manipulate the rules with a view
to promote its own privileges and rights.

iii) Robert Michels

Robert Michels, in his “iron law of oligarchy,” postulates that intensifying complexity
and bureaucratisation of modern organisations is leading to the concentration of power
at the top level, in the hands of a few who tend to rule in a dictatorial manner. He holds
the increasing size of modern organisations and the increasing complexity of the problems
responsible for this. The position of the topmost officials turns to be invincible. A few
can manoeuvre facts to use the communication network against any potential rival. In
the process of repeated performance of duties, specialised knowledge and skills are
acquired which add to his importance in the organisation. Once in control, the
organisational oligarchy always aims at the consolidation of its own position and tends
to sacrifice the general aims of the rank and file rather than its own, whenever any threat
occurs. This finally leads to societal oligarchy. If the organisational systems of such
voluntary organisations as trade unions and political parties cannot work democratically,
then the political institutions of the whole society are undermined at their very roots.
Indeed, a society dominated by large-scale oligarchic organisations eventually develops
an oligarchic political regime.

iv) Fred Riggs

Fred Riggs (1966) is one of the important western scholars who have found congruence
between the administrative behaviour of functionaries and notions of bureaucracy. He
identified Thailand as a bureaucratic polity in which Thai bureaucrats not only formulated
and implemented policies, but also acted as interest groups and at times assumed the
function of the legislature. He feels that the prismatic bureaucracy of Thailand represents

65
a transition between a traditional society in which roles are fused and a modern society
in which they are diffracted, and was characterised by the co-impingement of both
traditional and modern values. According to Riggs “Obviously in such a society, there
could be no separate doctrine or study of “public administration” any more than there
could be separate teachings on economics or religion. Religious ideas were embodied
in myths and teachings, which related to politics, administration and economics but not
per se - more realistically, they simply related to life.

20.4 MARXIST VIEWS ON BUREAUCRACY

Marxist writers view bureaucracy in their own perspective. Whereas Lenin and other
Soviet writers could not admit that bureaucracy had a permanent and “organic” position
in the Soviet system, other Marxists thought that it was at its centre and that it defined
more than anything else the very nature of the regime. From their point of view,
bureaucracy was not only a privileged oppressive group but a new exploiting class, a
class characterised by a new type of oligarchic regime that was neither socialist nor
capitalist and that was rapidly spreading both in the East and in the West. The first
systematic elaboration of this position was attempted by the Italian Marxist Bruno Rizzi
in The Bureaucratisation of the World (1939). For Rizzi, the Soviet bureaucracy
constituted a new ruling class that exploited the proletariat as much as the capitalists had
in the past. It differed from capitalism only in that the new type of domination was
based not on individual but on group ownership of the means of production. In fact, in
the Soviet system the means of production represented not “socialism” but “statism.”
They did not belong to the whole collectively but to the state and to the bureaucrats who
controlled it. In the last analysis, it was these bureaucrats—the technicians, directors,
and specialists holding key positions in the party and state administration—who exploited
the proletarians and stole the surplus value of work. According to Rizzi this new type
of regime, which he called bureaucratic collectivism, was not limited to the Soviet
Union. Similar tendencies could be discerned in fascist countries and even in the “welfare
state” type of capitalist democracies. The Yugoslav Communist Milovan Djilas in The
New Class (1957), a later criticism of the Yugoslav Socialist regime, used arguments
similar to Rizzi’s.

20.5 RELATIONSHIP BETWEEN POLITICAL AND

PERMANENT EXECUTIVES
Power is the most important variable in the study of the bureaucracy. The control of
bureaucracy by political leaders has lately diminished owing to the growth in the size
and discretionary powers of bureaucracies.

The relationship between the political leaders and bureaucracy is quite intricate and
complex, symbiotic as far as the formation and implementation of policies is concerned.
Bureaucratic guidance and support are crucial to the political leadership and bureaucrats
have many assets: their permanence, freedom from electoral worries, their knowledge
of the files, and their control of communication— which they can use to get their way
in encounters with politicians.

66
Weber himself argued that bureaucracy is essentially a directionless force which ‘is
easily made to work for anybody who knows how to gain control over it’, through the
device of changing the top officials. It is true that he doubted the capacity of political
leaders for directing the bureaucratic experts, and became extremely wary of political
leadership. His statement about the ‘over towering power’ of the experts was partly an
argument about the inevitable dominance of executive government over an elected
legislature under modern conditions. Thus Weber voiced anxieties about the control of
bureaucracy, which strike a very modern note, but Peter Self has argued, he did not
envisage the growth of administrative pluralism. Bureaucracy was left by his theory as
a judgement, which, because it was technically competent but politically neutral, would
necessarily be controlled from the top downwards.

Bureaucracies have always been judged against the standards of an effective organisation.
The combination and reconciliation of bureaucratic “efficiency” and democratic
“accountability” is another issue that Weber has addressed in his writings. Earlier the
scientific management school had assumed that bureaucracy could be made to work for
any organisational and instrumental efficiency of bureaucracy. Even human relations
school did question the role of political control.

However, Peter Self argues that Weberian concept has become outdated owing to the
following considerations. Firstly, the bureaucratic exercise of discretionary powers has
grown enormously. It is a fact that in modern government, bureaucracy has become
more and more involved with discretionary forms of intervention, arbitration and financial
support. Secondly, the political environment of modern bureaucracy is characterised by
the complex and variable political pressures rather than by the direct political leadership.
To add to this there has been rise and growth of more individualist or anti-authoritarian
attitudes among officials themselves, which weakens the discipline of hierarchical system.

The study of relationship between the bureaucracy and the politicians shows that there
is a general trend towards strengthening of bureaucracies vis-à-vis the political structures.
To generalise this is however not an easy task, in view of the fact that the specific
situation varies from country to country. In Britain, bureaucrats are recruited and trained
to show political sensitivity, their influence will, therefore, be interpretative. On the
other hand, French political system, being characterised by greater political instability
and the traditions of stronger political authority, makes excessive use of bureaucracy (or
technocracy). Bureaucratic power is concentrated in the two wings of the administrative
system: grands corps and the polytechnicians. Owing their broad based education, highly
elitist education, the bureaucrats are well equipped to exercise power.

Apparently, the bureaucracy occupies a relatively subordinate position vis-à-vis the

political executives in the USA. There is a system of appointment of political executives
on a very large scale at the wish of the President. However, these appointments are done
in a hasty manner. Moreover they are short tenured and temporary in nature and sometimes
the lack of party discipline and programmes make these appointees less significant in
the political system. Consequently, the permanent executives emerge more powerful
and influential.

67
20.6 FUNCTIONS OF BUREAUCRACY IN MODERN
TIMES
In modern democratic political regimes, bureaucracy is entrusted with the function to
implement the rules made by the legislature. Rule-implementation is considered to be
‘mechanical’ and a ‘quasi-automatic process’. However, according to Blondel, this view
is ‘oversimplified’ as administrators help their ministers to prepare the decisions as they
cannot draft all the rules and regulations without the help of the administrators. Hence,
the help rendered by the administrators to their ministers is of immense magnitude in
view of the fact that even rule-making has become a very complex function. The
political regimes are involved in the preparation of both short as well as long-term
socio-economic plans and policies. Thus it would be ironical to say that the administrators
just play a role in the implementation of the rules and programmes formulated by the
state from time to time, rather their contribution in the field of formulation of the rules,
policies, and programmes is immensely significant.

However, according to Blondel, even the process of implementation should not be

considered as “automatic and mechanical”. Rule implementation is also a decision
making process as the administrators have to choose one path from among various
alternatives available to them (J. Blondel).

Much of the administrative work is ‘managerial’ or ‘technical achievement’ in nature.

Technicians are specialists and their aim is the growth of the service and its achievements,
though not all bureaucracies have attained the similar level of specialisation and technical
expertise. For example, French civil service is involved more in technical development
than the British and the American bureaucracies. However, proliferation of public
functions has led to a greater emphasis on technicians in all states. Managerial demands
and the consequent increase in the numbers of specialists in positions of considerable
importance, the relationship between bureaucracy and government has taken a form
different from that which the theory of representative government anticipated.
Bureaucracy is not merely a technical instrument. It is also a social force with interests
and values of its own. As such, it has social consequences beyond its instrumental
achievements.

20.7 BUREAUCRACY IN DEVELOPING COUNTRIES

20.7.1 Nature of Bureaucracy in Developing Societies
In the emerging developing societies, bureaucracy has come to acquire the following
features.

Firstly, as state plays a key role in the process of development, bureaucracy has been
regarded as an important instrument for modernisation, growth and development. However
experiences in most third world shows that bureaucracy has not been able to deliver
goods as effectively as the theorists on bureaucracy had expected. On the other hand,
the structural and behavioural characteristics of Weber’s bureaucracy proved to be

68
instrumental in impeding development. Hence it has been attempted to recast and adapt
Weber’s construct of bureaucracy to the specific realities of developing societies. This
has led to the concept of development bureaucracy.

Secondly, unlike the developed countries there is less differentiation of functions in the
developing countries as a result of which the powers and importance of bureaucracy
crossed its legitimate limits. Fred Riggs argues that the development process involves
a clear-cut separation of spheres of activity, provision of separate structures for various
functions. There has been a proper coordination between bureaucracy and other political
structures.

Thirdly, appointments are done on the basis of merit, which is judged through a public
competitive examination comprising both written and personality tests. However the
intervention of primordial factors such as personal, caste, tribal, ethnic or religious
considerations is still a harsh reality. Favours are bestowed on the basis of non-merit
factors to those who qualify the written tests. Appointment to key posts is done mainly
on the non-merit considerations. Ethnic considerations have emerged as a strong basis
for public appointments. In some states like India there is a system of reservation of
seats to the members of most and other backward castes and classes in the matters of
public appointments. This is done with a view to make bureaucracy a representative
bureaucracy. Such practices tend to limit the ability of states to make effective rules for
the society. There is absence of uniform procedures regarding the selection and recruitment
of bureaucrats.

Fourthly, the politicisation of bureaucracy is another characteristic in the developing

countries. In India, the concept of “committed bureaucracy” was mooted by the then
Prime Minister Indira Gandhi in the late 1960s, implying that bureaucrats should be
committed to the party in power. However, because of a great public cry, Mrs. Gandhi
had to later revise her stance clarifying that what she wanted was commitment to the
basic law of the land rather than the government. But the fact is that there has been
erosion of the principle of bureaucratic neutrality in the country. The appointment to top
officials both at the centre and the states are done on the basis of personal and party
loyalty. The reshuffling and transfers of civil servants before and after the elections have
become a common phenomenon. The situation in African states is worse than the
situation in Asia. In Kenya, Tanzania, Zambia, Nigeria, and Uganda as the policy of
political mobilisation became an established feature of political systems, the political
parties felt it necessary to look for the support of the bureaucratic apparatus. As a result
of this, a variety of pattern of links between the political parties and the bureaucracy
came into play in these societies. Owing to these relationships, the bureaucracies in
these states seem to function in a subservient status vis-à-vis the office of the Presidency
within the framework of African socialist ideology and benevolent welfare capitalism.
The enmity between the political parties and the state bureaucracies have at times
become quite intensive, giving additional impetus to the office of Presidency and to the
institutionalisation of patrimonialism and personal rulership. Such phenomenon is present
in the Latin American countries too. However Botswana is an exception amongst the
African countries where the principle of neutrality is still the basis of relationship
between the politicians and the public servants.

69
Fifthly, another feature of bureaucracy in developing countries is the existence of rampant
corruption within its ranks. It has become so menacing that it is eating into the stability,
efficiency and effectiveness of public services. Not only small payments are offered to
lower level officials for expediting the work, but also huge sums in bribes and kickbacks
for facilitating higher financial and political interests. In Africa public officials are
legally permitted to engage themselves in private business, which only accentuates the
problem.

20.7.2 Role of Bureaucracy in Developing Countries

After the Second World War, these former colonies were to attempt a mammoth exercise
to bring about development in their respective societies. The goals of rapid economic
development were to be combined with the democratic political development.
Development meant nation-building, growth, equity, democracy, and stability and
autonomy. These countries had inherited a colonial bureaucracy. The characteristics of
colonial bureaucracy included centralisation of authority, hierarchical, generalist
administrators, neutrality. Such a bureaucracy was elitist, authoritarian, and paternalistic
in nature. Any organisation of such characteristics as colonial bureaucracy cannot be
effective in playing a role in the development process. Thus, generally, the rational legal
bureaucratic organisation prescribed by Max Weber, and constructed by the colonial
masters to carry out the task of policing and revenue collection, came to be doubted as
the effective tool for development.

However some scholars made a plea to these countries to attempt to strengthen the
centralised, efficient and strong bureaucracies, if they were to achieve the task of economic
and political development. In the words of Joseph La Palombara, a powerful bureaucracy
is said to be essential if one is to override the disintegrating influences of artificial
political boundaries, the competitive forces of familial and tribal structures, the difficulty
for organising and financing political parties, the low energy output of the population
and the tendency of the population to want to expend funds on consumer gadgets rather
than on capital formation. In developing states, powerful bureaucracies are simply
necessary evils that one must learn to tolerate, hoping for the best from a democratic
standpoint.

20.8 SUMMARY
From the above discussion, it can be concluded that despite the vehement criticism and
the dysfunctionalities with which bureaucracy suffers today, it has come to stay as a
vital institution of governance. No political regime of whatever nature and ideology can
do without it. Of course, there are considerable differences about the way the bureaucracy
functions and the kind of role it performs in different political regimes depending upon
the way its members are recruited, trained, and inducted in the political system. Its
specific role in governance would also depend upon the relationship with other political
institutions and the political leadership in the country concerned. In the past one decade,
the emergence of new public management movement in most countries has sought to
downsize the role and apparatus of bureaucracy in most political regimes; but nowhere

70
in the world has bureaucracy come to be completely abolished, which reinforces its
continued importance in shaping the activities of modern political regimes.

20.9 EXERCISES
1) Critically examine Max Weber’s ideal concept of bureaucracy.

2) Discuss the relationship between political executive and bureaucracy in democratic

political systems.

3) Examine the characteristic features and role of bureaucracy in developing societies.

71
UNIT 21 MILITARY IN POLITICS
Structure
21.1 Introduction
21.2 Military and Democratic Regimes
21.3 Causes of Military Intervention
21.3.1 Nature of the Military
21.3.2 Nature of Civil Society and Military Rule
21.4 Character and Characteristics of Military Regimes
21.5 History of Military Intervention in Politics: Some Case Studies
21.5.1 United States of America
21.5.2 Indonesia
21.5.3 Lebanon
21.5.4 South Korea
21.5.5 Thailand
21.5.6 Pakistan
21.5.7 Bangladesh
21.6 Withdrawal of Military from Politics and its Emerging Role
21.6.1 Withdrawal of Military from Politics
21.6.2 Emerging Role of the Military
21.7 Summary
21.8 Exercises

21.1 INTRODUCTION
The unit deals with the study of intervention of military into politics and in recent years
the signs of withdrawal from active politics. The relationship between military and civil
structures of a political regime has been a subject of intense academic discourse. The
participation of the military in politics is not seen as a positive phenomenon, as if the
other democratic institutions are weak or dysfunctional. The crucial question in the
relationship between armed forces and political systems is as to why some states are
dominated by their armed forces while some are not. But, according to Blondel, the
history of military intervention in politics shows that military men everywhere had the
tendency to intervene actively in the conduct of affairs of the state. It has been observed
that there was a tendency during 1960s and 1970s towards an active intervention of
military into politics in a number of countries. But by 1970s and 1980s there emerged
a trend towards withdrawal of military from politics in a number of Caribbean, Central
and South American, Asian, African, Mediterranean European and Middle eastern political
regimes. The reasons for withdrawal as highlighted by Samuel P Huntington are as
follows: the declining legitimacy of authoritarian systems, unprecedented global economic
growth of the 1960s, changes in the doctrine and activities of the Catholic Church and
transformation of national churches, changes in the policies of external actors toward
the promotion of human rights and democracy in other countries, snowballing enhanced
by new means of communication.

72
21.2 MILITARY AND DEMOCRATIC REGIMES
Constitutions and other forms of the law of the land in many countries do provide for
the role of the armed forces. Most of the democracies tend to clearly restrict their
missions for the military to the provision of national security as well as to other secondary
roles in case of emergency only. A number of states in Africa, Asia, and Latin America,
for example, have adopted legal structures which protect democracy by providing for
the right of presidents, the police, and military officers to exercise “extraordinary powers”
on a temporary basis, for the suspension of civil liberties, and for the armed forces to
play a specified role in defending (and, by definition, defining) the permanent interests
of the nation. The relationship between civil society and military in any democratic
society is determined on the basis of the following principles:

a) There should be a leadership of the civilian executive branch of government, which

is accountable to a popular majority through frequent and regular elections. Military
is subject to the control and supervision by all the three organs of the government.

b) The appointments of the personnel of the armed forces are done on behalf of the
civilian head of the state. Civilian leadership is superior to the military services and
departments. The professional military heads of the army, the navy and the air force
are subordinate to civilian departmental heads.

c) Elected legislative representatives of the people enact laws that define the defence
organisation and policies of the nation. The chief executive enforces these directives.

d) The judiciary prevents the military from compromising civil liberties, including
those of the members of the armed services

21.2 CAUSES OF MILITARY INTERVENTION

21.2.1 Nature of the Military
The reasons for the military intervention in politics are not far to seek. Firstly, military
intervention in active politics takes place owing to the basic dissatisfaction or ‘pessimism’
the military tends to entertain about civilian society and the high values it places on
order and discipline. Armed forces are known for their discipline, sense of duty. “If one
adds the fact that the army can contrast its own discipline and alleged sense of duty to
the selfishness and lack of effort they often see in civilian life – particularly among
politicians – and the critical fact that the army has the necessary weapons to overthrow
a regime and silence opposition, one can understand why members of the armed forces
have the mood to intervene in politics on a much broader plane than technicians and
managers of the public sector may have.” The lack of discipline of the civil service and
its laziness only add to the likelihood of military intervention.

The correlation between the level of professionalism in the military and its chances of
intervention into politics has been a subject of intense academic debate. Some writers
hold the view that military professionalism induced civilian control. Samuel P Huntington

73
[Soldier and the State, 1957] says that more professional the military personnel were in
terms of education, sophistication and specialisation, the more apolitical they were
likely to be. On the other hand we have scholars like Janowitz [The Political Soldier:
A Social and Political Portrait, 1960] who opine that the very professionalism enhanced
the chances of military’s involvement into politics, especially in those cases where the
civilian institutions were found to be locale or underdeveloped and civil culture lacking.
Blondel further says that the military will tend to intervene where the legitimacy of the
regime is low. The general discontent and dissatisfaction of the masses would lead
military to conclude that the system is unable to run the country properly and it is the
military that can provide a stable political system.

The armed forces are well placed to take advantage of the difficulties of their governments
and, because it does not require complete agreement within the army to take this action,
coups can take place when only a section of the forces utilises the army’s advantage.

21.3.2 Nature of the Civil Society and Military Rule

Military intervention in politics is dependent on the norms and values upheld by a
particular political regime. The military is unlikely to object to the liberal and democratic
norms while it may be inimical to the radical norms. Thus we find that in the nineteenth-
century Europe many regimes slowly became more liberal and democratic on the basis
of the maintenance of a monarchy to which the military remained loyal, rather than to
the new values. These regimes rested on “dual legitimacy” (e.g. the German Empire
after 1871), in which links between the military and the rest of the political system were
limited and tended to pass through the monarch. In some societies, the military is the
ultimate storehouse of effective deadly force. Militias, or police, to say nothing of
armed citizens, are seldom capable of sustaining direct resistance to an army whose
generals are determined to suppress that resistance. Countries whose other socio-political
institutions are ineffective (as in contemporary sub-Saharan Africa) or participate only
to a limited degree in the political culture (as in post-Independence Latin America) are
correspondingly susceptible to military intervention. In both of these regions, armies
which are seldom capable of waging war against external opponents have regularly
exercised formidable influence over political leaders afraid to challenge the generals
directly.

Appeasement in such a context frequently seems preferable to confrontation. The French

Republic in the late nineteenth century conceded a high degree of autonomy to its armed
forces in good part because of fear of the man on the white horse, epitomised by
General Georges Boulanger. Although his comic-opera attempt to seize the reins of
government in 1888-1889 ended in ridicule and he eventually committed suicide on the
grave of his mistress, a most astute, better-balanced candidate might have succeeded—
or, even in failing, might have destabilised the Republic and threatened its survival.

In most developing countries, military justified itself as a repository of more competent

and stronger leadership—in both protecting and governing the country owing to its
better establishment and better discipline. In Thailand for example, the military asserts
itself as “the protector of the nation.” The common justification used by one military

74
regime after another has been “national security.” When the military developed a high
level of professionalism and efficiency in the 1950s, considerably enabled by the U.S.
aid, the Army under Sarit assumed the role of “the protector of the nation” which
seemingly had limitless boundary. Entering the modern era, the military role expanded
outside conventional military affairs. Besides using national security and national
development as justifications, the military also cites the lack of legitimacy of civilian
governments whenever it chooses to intervene in politics. Characterised by corruptions
and personal rivalries, civilian governments are quoted to be generally short-lived and
vulnerable to military interruption.

The complexity of the political, social and economic system tends to decrease the
military intervention into politics. After the military overthrow of any regime, it is the
bureaucracy which has to take care of the complex problems of the regime, hence
military finds it constrained. Thus, we have examples of some charismatic military
leaders (Ayub Khan in Pakistan), who had played crucial roles in strengthening the
civilian institutions with the help of military. Force alone cannot sustain the authoritarian
system. In South Korea we find that strongest defense against Park, a military ruler, had
seen the high rate of economic growth achieved under his leadership. By 1978, however,
the growth rate had begun to decline and inflation had become a serious problem. Park
adopted a stabilisation plan to cool down the economy, but the plan caused a serious
recession, leading to a succession of bankruptcies and increased unemployment.

Crises tend to aggravate concerns about the faithfulness and devotion of armed forces
to the society. During the Great Depression, Franklin D. Roosevelt referred to army
chief of the staff Douglas MacArthur as one of the most dangerous men in America.
Although this fear had more to do with MacArthur’s showy personal style (which
antagonised many New Dealers) than with any demonstrable evidence that MacArthur
saw himself as a potential dictator, such concerns are not always imaginary. When
Germany’s newly established Weimar Republic faced endemic revolts by right-wing
paramilitary elements, Reichswehr Chief Hans von Keeckt declared himself the only
man in Germany who could make a successful performance and promised that he would
not do so. This reassurance was at best limited comfort to his civilian superiors.

Is the factor of socio-economic crisis sufficient to explain military intervention? However

a study of Thailand throws some other experience. When the Thai military, led by
Suchinda Kraprayoon, overthrew Chatichai’s government in early 1991, it was a surprise
to most political observers of Thailand. During a decade-long parliamentary democracy
since Prem’s administration in the 1980s, military coups were no longer thought to be
a means of power transition in the country like Thailand where the economy was robust.

To a significant degree, military roles in politics are limited by force of habit. But
should the stresses of war or domestic tension overstrain a system’s capacity to respond,
the possibility exists that even armed forces may regard themselves as called upon to
save state and people from themselves. During the American Civil War, General George
McCellan saw himself as called by destiny to restore the Union inspite of the presence
of Abraham Lincoln. Perhaps, however, the clearest case study of the military’s ability
to influence politics involves Japan in the 1930s. The state did not face crises threatening

75
to its existence. The Japanese leaders of the Meiji era (1868-1912) had operated in a
period when the masses were less politically conscious and authoritarian control was
more easily accepted. Hence, a small number of low-ranking army officers were able
to move their country toward an aggressive war by an explosive mixture of moral
conviction and simple assassination. Mao Tse-tung aphorism that political power grows
from the barrel of a gun remains an uncomfortable truth at century’s end—and a challenge
to governments and societies.

21.4 CHARACTER AND CHARACTERISTICS OF THE

MILITARY REGIME
The character of military regime depends upon the nature of control that the military has
over the democratic political structures. It can be from the tolerant, specific and short-
term forms of pressure on the state to the open overthrowing of the democratic institutions.
The military may either “supplant” the old regime and install itself in power or participate
in an operation that replaces one group of political leaders with another, occupying the
sidelines and playing a general role of arbiter. Finer categorises the various military
regimes into following five groups: open-direct rule, quasi-civilian direct rule, dual rule,
continuous indirect rule, and intermittent indirect rule.

Basically, the army either controls the state directly or acts as the essential tool in a
civilian regime. Depending upon the nature and degree of control, the military regimes
can be classfied as follows: Firstly, those states where the military has undertaken by
coups and runs the affairs of the state directly or by being transformed into a presidential
system where officers retain the balance of power (Egypt, Syria, Iraq, Algeria, Pakistan).
Secondly, the traditional states where the military is the main support of the dynastic
regime (Saudi-Arabia, Jordan, Morocco, Gulf States). Thirdly, the democratic states
where the military is clearly controlled by the civilian authorities (Turkey, Israel).
Presidential regimes headed by ex-military men who usually set up a one-party system
relying on the army for support with power concentrated in the president’s hands. The
army can act as a moderator, retaining the right to veto decisions it deems dangerous
to the national welfare, but not getting involved in running civilian affairs. It can also
act as a guardian, where it intervenes intermittently to put things in order, then returns
to the barracks. Finally it can set up a ruler regime where it intervenes directly, assumes
power, and runs the country indefinitely.

Military regimes can be best understood by contrasting them from the democratic form
of government. Democracy as a form of government has been defined in terms of
sources of authority for government, purposes served by government, and procedures
th
for constituting government. A 20 Century political system is defined as democratic
to the extent that its most powerful collective decision makers are selected through fair,
honest, and periodic elections in which candidates freely compete for votes and in
which virtually all the adult population is eligible to vote. Thus democratic regimes
have a common institutional core viz. competitive election in which the bulk of the
population participates, while the military-authoritarian regimes are defined simply by
the absence of this core.

76
Thus military interventions in politics are seen as anti-democratic and repressive. However
in the 1960s this perception tended to change and theories were presented viewing the
military as a progressive force that would accelerate social and political change and lead
third world states from “backwardness” to “modernity”. During the 1970s military
regimes stabilised and coups were on the wane. Military regimes initiated social and
political reforms and some regimes seemingly transformed themselves into civilian
governments. By the 1980s opinions had shifted towards a more critical view of military
achievements. Doubts arose as to whether it really enhanced cohesion, modernisation
and democratisation.

Military interventions are characterised by the excessive use of force. The nature of
military regimes encourages extreme reliance on force and suppression. Secret power-
struggles result in social tensions, radical shifts in state policies following change in
leadership, and a weakening of the professionalism of the military as a combatant force.
Peaceful and orderly succession of power, which is normal feature of democracy, is a
very important feature lacking in this system. Power usually centres on a small clan
close to the leader. Other potential power centres are eliminated. Particularism, patronage
and nepotism flourish. In spite of much rhetoric on national unity, the minorities are
often brutalised and old cleavages deepened.

Military adventurism is another feature of these regimes. A large proportion of national

resources have been diverted into unproductive military build-up rather than to improving
the lot of the poor.

The military promotes its own corporate self-interests by aligning itself with conservative
social forces. The military officers are challenged by the rise of new centres of power
businessmen, professionals, entrepreneurs, academics and technocrats.
Military forces even more than other bureaucracies are similar to authoritarian states in
their denial of the right or opportunity to dissent, in their demand for obedience and in
their use of reprisals against recalcitrant subjects. Hence military regimes cause
suppression of the rights, liberty and equalities of the citizens which democracy promises
and a reign of terror sets in. Functioning of media is also affected. All effective opposition
is excluded from the political system. Corruption, increase in size of bureaucracy and
inefficiency, stifling of the private sector, escape of capital abroad and a weakening
brain-drain have all been an aspect of military rule.
These regimes cause serious setbacks to nationalisation, agrarian reforms, industrialisation
and the control of the mushrooming state bureaucracy, which are key to the process of
development in developing nations.

21.5 HISTORY OF MILITARY INTERVENTION IN

POLITICS: CASE STUDIES
21.5.1 United States of America
In 1782, just after the Revolutionary War (1775-1781), certain officers who felt that
they had received inadequate pay for wartime services contemplated a military revolt

77
against the civilian government. But General George Washington refused to support a
military mutiny, calling instead for disbandment of the army and continuing loyalty to
the civilian government. The successful defense of the American colonies during the
colonial era strengthened local confidence that a militia or volunteers sufficed and that
a standing army was not necessary to ensure security. Colonial legislatures, which
possessed the power of the purse, proved effective in preserving control over military
matters and resisting the English Crown. These bodies became the principal exponents
of American ideas about the dangers of permanent military organisations, and they were
the main advocates of civilian constraints on the military.

Thus during the Revolution, civilian control of the military became an indispensable
attribute of liberty and therefore of democracy. In 1787, when the Constitutional
Convention met in Philadelphia, Pennsylvania, it devoted considerable attention and
devised some structural devices to guard against an unduly powerful central government:
President in dual roles of chief executive and commander-in-chief. During the civil war
Lincoln despite massive war efforts, was firm in preserving civilian control of the
military. Despite the remarkable expansion in the size and prestige of the armed forces,
civilian control was never relaxed during World War I or II. Although the wartime crisis
enhanced military participation in national planning and decision-making, military leaders
displayed no inclination to supplant appropriate civilian influence. What accounts for
the preservation and even the strengthening of civilian control of the military in the
United States?

Americans view the expansion of the military establishment as an unavoidable measure

to ensure the preservation of their freedoms. They perceive civilian control of the
military as an indispensable aspect of the democratic process they seek to preserve.
Civilian control of the armed services is an essential aspect of US governance.

21.5.2 Indonesia
In Indonesia there was a balance of power between the military and the Indonesian
Communist Party (PKI) until it was destroyed in 1965 when six of the most senior
members of the general staff were assassinated in a failed coup led by junior officers
under the leadership of the commander of the presidential guard. In the violent anti-
Communist backlash that followed, the PKI was destroyed as a political force. The
destruction of the PKI left the military as the unchallenged arbiter of Indonesian politics,
with Major General Suharto, commander of the strategic reserve and the chief organiser
of the opposition to the coup, sitting uneasily at the top of the power structure.

In 1958 power was formally transferred to Suharto at the General Session of the
Provisional Consultative Assembly. Then Golongan Karya, was established as the political
instrument of the New Order. The old Sukarnoist political party, the Indonesian National
Party (PNI), the Indonesian Socialist Party (PSI), and the Muslim parties were undermined
from within and forced to merge into two authorised parties, which evolved into the
Indonesian Democratic Party (PDI) and the Muslim United Development Party (PPP).
In the early years of the New Order, the army played a much more overt role in politics
than had previously been the case—so much more that some outside observers might

78
have confused the regime with a military dictatorship. Military officers held the key
positions in the cabinet and in the higher levels of the bureaucracy and were allocated
20 percent of the seats in the legislature.

Military support for Suharto in the period following the attempted coup was not
unconditional. Suharto’s consolidation of his personal power and his style of government
repeatedly brought him into conflict with his generals. Several of the officers who had
played key roles in helping Suharto seize power after September 30, 1965, later turned
against him. In the later stages of the New Order, the power of the military as an
autonomous political actor gradually eroded. During the latter part of his lengthy reign,
Suharto sought to outshine any independent power centres within the military. Frequent
command changes prevented the consolidation of power centres that could challenge
Suharto’s authority.

The military was an important actor in the backroom manoeuvres that went on in the
transition from Suharto to B. J. Habibie and from Habibie to Wahid, but it did not
intervene to force an outcome from the power struggles that played out on the streets
and in the MPR. During his first year in office, President Wahid concentrated on
asserting control over the military. General Wiranto was moved from armed forces
commander to the position of coordinating minister for political and security affairs,
which removed him from the military chain of command. Wahid’s deteriorating political
standing and loss of parliamentary support in the second half of 2000 also weakened his
hand vis-à-vis the military.

Military support was critical to Megawati’s peaceful ascension to the presidency. She
has established a much more harmonious relationship with the Tentara Nasional Indonesia
(TNI) leadership than her two predecessors had. Megawati’s political history would not
have suggested the development of a collaborative relationship with the TNI. As vice
president, Megawati took pains to cultivate the support of TNI leaders, reassuring them
of her commitment to Indonesia’s unity and territorial integrity. Several retired senior
military officers play key roles in Megawati’s government—all are associated with the
reform camp in the TNI (Susilo Bambang Yudhoyono, Agum Gumelar, Abdullah
Mahmud Hendropriyono, Hendropriyono to name a few), which helped to cement a
strong relationship between Megawati and the military.

Thus we find that with the fall of Suharto, TNI tended to retreat from its political role
by formally abandoning of its political functions. Under the new regimes, the military
is still regarded as having a sociopolitical function, but that function is no longer viewed
as being separate from defense.

The most visible symbol of a continued TNI role in the practical political affairs of the
country is the military’s bloc of seats in parliament. Until the mid-1990s, the military
held 100 seats in the House of People’s Representatives (DPR). After the fall of Suharto,
the military and police representation was reduced from 75 to 38 and was scheduled to
be phased out of the DPR and the regional parliaments by 2004, and out of the People’s
Consultative Assembly (MPR), which elects the president, no later than 2009, per MPR
Decree 7 of 2000. More recently, in the constitutional reforms of August 2002, the MPR

79
voted to move up the date of the phasing out of the military and police representation
in the MPR to 2004.

Though reduced in numbers, the military bloc operates under military instruction and
votes as a unit. Thus we find TNI leadership’s strong desire to remove itself from
practical politics. Another reform well underway is the TNI’s withdrawal from day-to-
day practical politics.

The new doctrine and changes in civil-military relations since the fall of Suharto make
it less likely that any president can co-opt the TNI for personal political gain. However,
although the military as an institution has removed itself from such unsavoury practices,
it is increasingly obvious that individuals within the armed forces continue to be involved
in political manipulation. Elements of the military, apparently acting in response to
bonds of personal loyalty and orders outside the institutional chain of command, have
been accused of involvement in all sorts of skullduggery throughout Indonesia. As in
cases of alleged civilian malpractice, however, conclusive evidence is seldom proffered
and impartial investigations are few and far between.

21.5.3 Lebanon
The Lebanese army had always maintained a neutral role in Lebanese politics since its
inception in 1958. Its function was to safeguard internal security and served as a police
force of last resort (may be during elections etc.). However during the period 1958-70
(Shihabist era), we find a tendency towards developing authoritarian power through the
intervention of the military, (particularly the Deuxième Bureau) in politics. But the
army tended to take an active role in politics, following Shihab’s elevation to the
presidency. The army ‘took the form of a political party’ or ‘constituted a military
government’ in civilian garb’. When Shihab assumed presidency, the administration of
the country was chaotic and in a state of breakdown. Shihab reorganised the administration
and made several advances in every branch of the bureaucracy on the one hand and
introduced scientific planning programmes and works and reorganised the Planning
Ministry. Despair at the country’s problems and distrusting politicians in the corrupt
political system, Shihab brought senior military officers, who had direct loyalty to him,
to key governmental positions. These selected officers acted as the President’s agents
within the bureaucracy and became his personal ‘political organisation’. The president
made use of it as a primary security force and as an instrument for carrying out his
programmes. It was through the Deuxième Bureau, an intelligence section of the army,
that the president managed the system and exerted his control in the bureaucracy.

21.5.4 South Korea

Until 1971 South Korea operated under the political framework it adopted in 1963. In
December 1971, Park again tightened his control over the country. He proclaimed a
national emergency and in 1972 he proclaimed martial law, dissolved the National
Assembly, closed all universities and colleges, imposed strict press censorship, and
suspended political activities. Within a few days he presented yusin, the new Constitution
to a national referendum. The 1972 constitution allowed Park to succeed himself
indefinitely, to appoint one-third of the National Assembly’s members, and to exercise

80
emergency powers at will. Having concentrated all power around him, Park suppressed
his opponents cruelly. KCIA agents abducted Kim Dae Jung, Park’s opponent in the
1971 presidential elections, from a hotel in Tokyo in August 1973, precipitating a major
crisis in South Korean-Japanese relations. Kim had been abroad after the election and
remained there after Park declared martial law, travelling between Japan and the United
States and conducting anti-Park activities. Students demonstrating against the yusin
constitution were summarily incarcerated. In March 1976, prominent political leaders,
including former President Yun and presidential candidate Kim, issued the Democratic
Declaration calling for the restoration of democracy. Park had them arrested and sentenced
to five to eight years in prison.

21.5.5 Thailand
The case of Thailand is very interesting in the sense that Thai military, led by Suchinda
Kraprayoon, overthrew Chatichai’s government in early 1991, in a country where the
economy was in good health and there are long traditions of long parliamentary democracy
since Prem’s administration in the 1980s. How can one explain this unexpected 1991
coup in Thailand?
A brief history of Thai military role in politics shows that since the 1932 revolution, by
which Thailand was brought under a constitutional monarchy, Thailand has mostly been
governed by a series of military rule. After a short period of Phahon’s military-dominated
government (1933-1938), the military dictators such as Phibun, Sarit, Thanom and
Praphat dominated politics from 1938 until the student uprising in 1973. Unlike their
predecessors, Phahon who attempted to implement the democratic aim of the 1932
revolution in cooperation with Pridi, these military rulers led increasingly to the
authoritarian rule. In the 1950s, while Phibun was still in power, Sarit emerged as the
real power figure. After Sarit died in 1963, Thanom and Praphat did not enjoy much
support from the palace the role of which was elevated greatly by Sarit from its
suppression during Phibun regime.
In Thailand, the military asserts itself as “the protector of the nation.” The common
justification used by one military regime after another has been “national security.” As
in most developing countries, better established and better-disciplined, Thai military
sees itself as a competent and strong leadership—in both protecting and governing the
country. Even though the military role in national development has already been initiated
since Sarit regime, it had not materialised until the late 1970s, when there appeared to
be a shift in attitudes of some military leaders. In the 1970s, when communist expansion
became threatening, national security was a legitimate justification for the military to
counter communist insurgencies in various rural areas.
Now of course military has returned to its barracks, yet, the fears of a complete return
will not completely go away unless genuine participatory democracy is achieved in
Thailand.

21.5.6 Pakistan
In Pakistan too, Army is instrumental in running the state affairs, which controls
everything, including all the national resources. The period from 1958 to 1969 was a
period of military dictatorship under the leadership of General Ayub Khan. While upto

81
1962 he ruled with the cooperation from the bureaucracy and army, in 1962 he introduced
a quasi-constitutional and civil regime in which, political parties were rejuvenated with
some restrictions. He introduced a system of basic democracy. The next landmark in the
political history of Pakistan was handing over the power to General Yahya Khan in
1969 when Yahya rule was a purely military rule in which no senior bureaucrats were
associated with it. General Yahya became the CMLA, and operated with the collective
leadership of army Generals. Yahya decided to hold general elections despite opposition
from some military generals. Legal Framework Order (LFO) was announced in March
1970, which provided among other things for the formation of National Assembly to
frame the Constitution. Elections were conducted and Sheikh Mujib emerged as the
leaders of the majority party. General Yahya announced the name of Mujib as the next
Prime Minister of Pakistan, but Bhutto, who had a desire to become the Prime Minister
himself (despite his not having a majority), did not agree to this. As nothing could
emerge from the democratic negotiations, the situation only deteriorated with the crisis
in East Pakistan paving way for the military crackdown on March 25, 1971. General Zia
ul-Huq declared martial law once again on July 5, 1977. His rule came to an end after
his sudden death in a plane crash. After a short span of democratic rule under Nawaz
Sharief, the military again intervened in Pakistan in 1999 in the form of coup under the
leadership of General Pervez Musharraf. Thus, the army has been causing frequent
interruptions in the democratic process in Pakistan. Musharraf’s martial law is the last
such attempt which derailed democratic process, the seeds of which had been sown by
the same army way back in 1954 with the imposition of first martial law in the country.

21.5.7 Bangladesh
Bangladesh entered the international society as a parliamentary democracy in 1971, but
soon it was changed to presidential form of demcoracy in 1972. The Constitution was
once more amended in 1973 and emergency was imposed in 1974. In 1975 one party
authoritarian rule was created. The killing of S. K. Mujib and the coup led by Khaled
Musharaf and the Sepoy Revolution of November 1975 brought General Zia-ur-Rahman
to power. Zia became CMLA in 1976 and took over as the President of Bangladesh in
1977. The next military takeover of political power was in 1982 when General H. M.
Ershad declared martial law, suspended th Constitution banned all political activites and
became the CMLA and later the President. His regime lasted until December 1990.

21.6 WITHDRAWAL OF MILITARY FROM POLITICS

AND ITS EMERGING ROLE
21.6.1 Withdrawal of Military from Politics
Presently in most countries, the military has acknowledged its shrunken channel to
political power. Nevertheless, whether it will withdraw completely from politics and
adopt Western-style professionalism remains a question.
Mention should also be made about the withdrawal of military from politics as an
offshoot of democratisation ripples across the world during the 1970s and 1980s. In a
large number of countries, military withdrew from active politics. We may consider the

82
case of Latin American countries. In 1979, 19 governments on the mainland—between
Tierra del Fuego at the tip of Argentina and the Rio Grande River on the Texas-Mexico
border—had military officers as heads of state. Today, there is none. In fact, the only
successful military coup in the Western hemisphere since the end of the Cold War took
place in Haiti, where also civilian rule was restored in 1994. Military governments such
as those in Nigeria and Burma, and military coups such as took place in Sierra Leone
in 1997, are the exception rather than the rule.
In addition, while economic goal is the nation’s top priority, the military faces more
constraints in expanding its role. Due to the higher level of education and modernisation,
coupled with the economy-oriented international environment, the government as well
as the military is more pressurised to respond to the popular demands. Socio-economic
progress has had an impact on the military’s decreased role in politics in the past
decade. Several factors such as the military’s historical involvements in politics, its
attitudes toward civilian governments and democracy, as well as the political culture are
to be taken into account in examining its persistent intervention.
In the post-cold war phase, especially in most western countries including USA there
has been a substantial shrinkage in military expenditures not only in countries like the
United States and the states of the former Soviet Union, but also in regimes like El
Salvador and Argentina, Ghana and South Africa, and India and Vietnam. These cuts
are largely the result of the changed security environment in the wake of the collapse
of the Soviet Union. With few exceptions, the era is now past in which large combat
forces need to be deployed at high states of combat readiness. Though downsizing in
the number of the military personnel has been taking place, still military is the largest,
most financed and, best organised institution in every country. Rather in recent years we
have seen an increasing importance of civil affairs in military operations other than war.
In view of the value of civil affairs, the staff, officers and planners of the conventional
forces are becoming increasingly involved in planning the civil dimensions to military
operations. For example, in Bosnia, the planning for military support to elections was
accomplished by operations and strategic and policies staffs, while our civil affairs
personnel served as critical links between military and civilian planners. While, US is
the first country to recognise the importance of the civil affairs, other countries including
United Kingdom, Republic of Korea, France and Germany are incorporating these types
of skills into their own militaries.
While the central role of the military forces continues to be to look after the national
security, military downsizing in the post-cold war phase has opened up new vistas and
new roles for the armed forces. These functions range from assisting local police forces
in maintaining internal order, to combating environmental deterioration, to providing
basic health and education services, to constructing highways and bridges. These functions
are in addition to the traditional secondary military function like providing emergency
food, shelter, medical care and security to victims of floods, storms, droughts, earthquakes
and civil disturbances.

21.6.2 Emerging Role of the Military

Today military is expected to participate in the peacekeeping operations, promoting
democracy or conflict resolution under the auspices of any international body. We have

83
US civil affairs personnel engaged in all sorts of activities not only within the domestic
limits but also outside too. Such activities include: humanitarian demining, roads and
schoolhouses are built, wells are dug, governments are stabilised, chaos and confusion
are diffused and order is re-established. By making a difference in the lives of the local
populace, these civil affairs personnel are helping to strengthen the goodwill of the
United States in the eyes of the world—clearly, our civil affairs forces are invaluable
diplomacy multipliers. There is a US civil affairs personnel team serving in Rwanda and
Namibia as part of humanitarian demining teams, acting as intermediaries with the host
country of Mali in a medical operation, working on small engineering projects such as
well-digging and road improvement in Belize, continuing to help plan for elections in
Bosnia, coordinating the allocation of humanitarian assistance flowing into Cambodia
and also assisting the government of Cambodia to establish an infrastructure capable of
providing necessary governmental services to its people, and working with non-
governmental agencies and private entities on civic action projects in Laos, where up
until a year ago, no U.S. military personnel had been permitted.

Samuel P. Huntington (The Third Wave, 1991) has talked about the phenomenon of
democratisation in the late 20th century. Categorising the history of democratisation
process into three different phases, he has mentioned three different waves of
democratisation: (1) first wave, 1828-1928, (democratisation in Western Europe, Australia,
Canada, Chile, Eastern and Central Europe); second wave (1943-1962), (democratisation
of West Germany, Austria, Italy, Japan, South Korea, India, Philippines, Israel, Nigeria
and Jamaica); and third wave beginning in 1974 (Portugal, Spain, Greece, fall of Berlin
wall and demise of communism in Europe in 1989 and disintegration of the USSR in
1991). Huntington lists following reasons for military regimes shifting to democracy:
the legitimacy dilemma, unprecedented economic growth, and change in the role of
revision, role of mass communication in promoting democratic culture and role of
external actors in supporting democratic political systems.

The most pressing factor leading to the downfall of military regimes is the international
pressures favouring democratisation.

The innovations in fast means of travel and communications also played a major role
in spreading the democratic tide across the world in less than a decade. The tele-
revolution played a major role in the fall of communism in the former USSR and
Eastern Europe. The success of democracy in Spain and Portugal had snowballing effect
on other liberal cultures. Similarly, Marcos’s downfall had demonstrating effects elsewhere
in Asia.

Establishment of democratic institutions and processes emerged as a pre-condition for

foreign-aid especially in erstwhile communist countries like Albania, Armenia,
Azerbaizan, Belarus, Bulgaria, Estonia, Georgia, Kazakhstan, Latvia, Lithuania, Moldavia,
Slovakia, Ukraine, etc. Hence, we find that in some countries, (the US and its allies)
have been instrumental in facilitating democratisation right since 1940s (in Austria,
Belgium, Greece, West Germany, Iceland, Italy, Netherlands, Norway, and
Luxembourg).

84
21.7 SUMMARY
The participation of military in politics is not seen as a positive phenomenon. It is
usually restricted to national security and for a secondary role in a nation in case of an
emergency. A number of countries experienced a tendency during the 1960s and 1970s
of direct military intervention especially in Latin American countries.

The reasons for military intervention are related to their professional nature. Dissatisfaction
with the lack of discipline and sense of duty which the military perceives in civilian life
could be a likely cause. Nature of civil society too is a cause. The military cites lack
of legitimacy of the civilian government and its own role as protector of the nation as
well as a socio-economic crisis in the country as cause for intervention.

We can give the characteristics of the military government as excessive use of force,
military adventurism, promotion of its own corporate self interest and hence suppression
of rights, liberty and equalities of citizens.

The spread of democratisation in the 1970s and 1980s led to the withdrawal of military
from politics. Today all nations give top priority to economic goals thus constraining
the military’s role. Higher levels of education and modernisation also put pressure on
the government to respond to popular demands. Although there is lower priority being
given to the military, it remains the largest, most financed and best organised institution
in all countries. Conventional forces are becoming more involved in giving a civil
dimension to military operations. Now military is expected to participate in peace keeping
operations, promoting democracy or conflict resolution through the auspices of an
international body. As long as the military fulfills its main duty of providing security
to the nation, its involvement in non-combatant roles can be seen as helpful for the
consolidation of democracy.

21.8 EXERCISES
1) Why are military interventions in the government not considered as legitimate?
2) Account for the withdrawal of military from active participation in politics in recent
years.
3) With the help of two case studies (of any two countries) explain military intervention
in politics.
4) What is the emerging role of the military in politics?

85
UNIT 22 FEDERALISM: PATTERNS AND TRENDS
Structure
22.1 Introduction
22.1.1 Dislocating the Agenda of Nation Building
22.2 Debating the Term and its Utility
22.3 Patterns of Federalism
22.3.1 Unions
22.3.2 Consociations
22.3.3 Confederations
22.3.4 Asymmetrical Federal Arrangements
22.3.5 Leagues
22.4 Structure and Typology of Federalism
22.4.1 Distribution of Powers
22.4.2 Allocation of Financial Resources
22.4.3 Principle of Bicameralism
22.4.4 Supremacy of Constitution
22.5 Summary
22.6 Exercises

22.1 INTRODUCTION
Over centuries and decades, federalism has been evolving through several experiences
of ruler vs. subjects, public vs. government, and constituent units vs. federal unit which
in common signify the necessity and importance of the human concern for widening the
space for ‘unity’ in diversity. It has been passing through difficult terrain of trial and
error, differences and conflicts, compromises and disagreements as well as tolerance
and denial in the volatile field of power and politics. Federalism, which succeeded in
most of the modern liberal democracies operational in modern societies, has now entered
a new phase of broader political integration whereby it is no longer constrained by rigid
notion of Austinian State sovereignty. Modern developments in transportation, social
communications, technology, globalisation and other modern means of interactions have
all contributed to such a paradigm shift in the modern world. On the other hand, the
Austinian sovereignty is held in high esteem in non-modern countries (dysfunctional
liberal polity with illiberal/non-liberal social bases), thus according primacy to territorial
unity over the need for acknowledging popular sovereignty and the viable projects for
nation building. However, the relevance of federalism has remarkably grown over the
years due to its inherent viability of institutional and operational mechanisms in forging
unity in diversity.

Federalism is one of the most important and dynamic aspects of discourse in the political
sphere of democratic governance and unity. It is basically intended to create and sustain
a united polity and coherent society in multicultural and diverse societal realities.
Federalism is not a descriptive but a normative term that advocates multi-layered

86
governments combining elements of self-rule and shared-rule. It is premised upon the
expectation and rationality of promoting unity in diversity by accommodating, preserving
and representing distinct identities within a larger political union. In the opinion of
Ronald L. Watts, the essence of federalism as a normative principle is the perpetuation
of both union and non-centralisation at the same time. In other words, federalism aims
at achieving some degree of political integration based on the wisdom of diversities to
compromise upon the common goal of sustaining unity. What we can call more
appropriately as the federal exercise of diversified territorial and non-territorial ethnic
groups to legitimise the principles of democratic governance.

Daniel J. Elazar looked into the rationality of political integration rooted in the principle
of self-rule and shared-rule. He says that political integration on a federal basis demands
a particular set of relationships, beginning with the relationship between the two faces
of politics, power and justice. On the one hand, politics deals with the organisation of
power, in the words of Harold Lasswell, with “who gets what, when and how.” Politics,
however, is simultaneously concerned with the pursuit of justice—with the building and
maintenance of good polity, however defined. All political life represents some interaction
of these two faces of politics, whereby the organisation and distribution of power are
informed by some particular conception of justice, whereas the pursuit of justice is
shaped (and limited) by the realities of power. In a limited form, federalism is generally
studied as the subject of the distribution and sharing of power but in its broadest sense
is presented as a form of justice with particular reference to autonomy and participatory
polity. Federalism is supposed to have the attributes of establishing rational and democratic
relationship between justice and power, thus retaining the great urge for unity along
with great respect for territorial and ethnic identities.

22.1.1 Dislocating the Agenda of Nation-Building

There have been quite disastrous results in many multicultural and bi-communal societies
which earlier had the experience of colonial rule or which adopted an alien system of
governance with the prime purpose of seeking equality and justice. It is not important
for any national leadership to simply borrow alien concepts and principles of managing
society and polity in pursuit of the free exercise of freedom. It seems rather more
important for them to look into the aspect of voluntary conformity and suitability of
political mechanisms for governing a society. One can take some fundamental objectives
such as constitution-making, state building and nation-building as the most unavoidable
tasked responsibilities for a multicultural nation and a multinational state. How far the
national leadership of post colonial or west-ward looking countries have looked to these
dimensions of national solidarity at the broader level?
The experiences have been reversed on this question where respective national leadership,
who claimed to represent masses and nationalities, adopted the principles of governance
and representation on a colour-blind premise. There are a number of cases where major
national group or community has been occupying all the privileges and incentives
created by the modern notions of power and politics by depriving and marginalising
other smaller national groups or communities which are generally referred as minorities.
As a result national leadership of some non-modern societies (which do not generally

87
accept this kind of sweeping remark and generalisation) have taken up the western
wisdom in the reformative (in some cases symbolic only) form to cater to the needs of
their multicultural societies. Some countries in Africa, Asia and Eastern Europe have
responded more positively unlike those who idealised modern schemes of governance
in non-modern societies. Therefore, it seems reasonable to also question the pre-conceived
rationality for example of protecting minorities under a federal-democratic polity.
But there has been very minimal attention to realities beyond institutions. They are
individuals, masses, communities or groups. The basic purpose of any political set up
is to seek strength from its social base where people, either homogeneous or multicultural,
matter at the beginning and the end. As per the available information and findings,
modern societies of Western Europe and Canada did take the interests of national
minorities and co-founders of the procedural republic who differed with national majority
section on ethnic factors (language, religion or culture based). The federal polity succeeded
in most of these modern societies mainly because of important factors of territoriality
and the indoctrination of liberal-contractual individualism. Most of them have national
minorities who have strong and impressive zonal existence which otherwise is not the
same in those countries where several religions, sects and races lived and cohabited for
centuries.

22.2 DEBATING THE TERM AND ITS UTILITY

The word—federalism as a political doctrine of political management has never been
free from its controversial interpretations. It seems to be eligible for both traditional and
modern societies as it exists in both. It is sometimes taken as exclusively liberal and
sometimes quite accommodative. On the one hand, federalism is focussed on the polity
of territorial unit. On the other, its logical territorial interpretation also implies the
greater need for its relevance to societal needs. Federalism seems to be comprehensive
and inclusive than it is generally described. The practical necessity of federalism requires
it to be socially viable and answerable. But the main problem is that it has been
described more as subject of liberal discourse. It is generally said and rightly so, as per
its historical growth has taken place, that federal principle and arrangements suit the
modern temper. As basically covenantal arrangements, they fit a civilisation governed
by contractual relationships.
The whole edifice of federalism is based on the liberal premise of modern society in
which individuality and civic community form the basis of compromise and relationship
among persons and groups for achieving highest form of political integration. Federalism
does not entertain traditional kind of group rights-based pluralism but rather post-
traditional pluralism. At the very initial stage, federalists argue that civil society has its
own origins in a covenant or compact and must be based on consent. Federal principles
grow out of the idea that free people can freely enter into lasting yet limited political
associations to achieve common ends and protect certain rights while preserving their
respective integrities. The federal idea rests on the principles that political and social
institutions and relationships are best established through covenants, compacts or other
contractual arrangements rather than, or in addition to, simply growing organically.
Therefore, federalism gave its impression of success of being territorial in political
prescription which better served the interests of modern societies. People having linguistic
88
and religious (mainly sectarian) homogeneity with territoriality were identified as sub-
national federal units which shared powers with federal government under the principles
of self rule and shared rule in Europe, USA, Canada, India and in other countries. But
federalism has not so far broadened its conceptual premise to include the interests of
dispersed minorities though its interpretations and explanations by scholars indicate
adequate space for minorities in polities.
It is the best efforts made in the respect of forging everlasting human relations that can
only be possible for them when they operate in liberal premise or in modern civic sense
of organising relations. This has been possible in those societies where communities
have produced individuals of society not unified but united on certain terms and conditions
for sharing powers and justice. Such a description is hardly to match with the experiences
of many societies where the base of relationships could not be made either at the
personal of group levels while stepping into a modern system of governance yielding
power and justice. But it does not mean that federal principles are meaningless for non-
modern societies or where consensus lacked in state and constitution building. This may
not be applicable in universal form but it is certainly very suggestive in following the
just pattern of relationship to share power and justice.
Even in the world of its origin, particularly since 19 th century, federalism has extended
its length of relevance from political to social. It deals with the proper relationships
among people as individuals, or in families and groups, as well as in their capacity as
citizens, whereby they relate to each other federally, that, is as partners respectful of
each other’s integrity while cooperating for the common good in every aspect of life,
not just in political realm. Federalism also emphasises the existence of essentially
permanent religious, ethnic, cultural or social groups around which political life must
be organised. Whether or not the polity is formally structured around those groups, they
serve as its pillars. So the federal principles of governance also provide an opportunity
to consider both citizenship rights and differential rights. It is another matter how do we
organise it in the context of the societal needs?
Most federal polities are not consciously informed by the idea of federalism as a social
phenomenon and tend either to ignore or reject it. The assessment of social dimension
is based on the degree of what can be termed consociational behaviour present in
apolitical polity. Under the essential territorial category, otherwise advocated by many,
of federalism, territory becomes the basis for political action. Every interest is located
in formally defined political territory which can gain some measure of expression more
or less proportional to its strength, simply by making use of the country’s political
mechanisms. Elazar says that territorial division of power can also be used to protect
minorities and minority communities by allowing them greater autonomy within their
own political jurisdictions. Thus it is very clear that federal territoriality does not mean
to deprive minorities within the territorial federal unit of their due rights in power-
sharing and federal commitment to justice.

22.3 PATTERNS OF FEDERALISM

Possibly one can take up the subject of the pattern of federalism at three levels—
‘internal crust’ (basic features), ‘broad spectrum’ of non-unitary forms of governance,

89
and country-specific pattern of federal polity. Meaningful study of federalism necessitates
efforts to look at federal political system (patterns) and political process (trends) which
are concerned with organising governing constitutionally in a certain way and then to
live up to the constitutional demands. In the earlier stages of the history of modern
federalism, structural considerations were not only primary but were also essentially, in
the words of Elazar, ‘the be-all and end-all” of the concern for federal arrangements. As
a result, the construction of adequate federal structural would result in functional
federalism. It is, therefore, important to find common structural characteristics of
federations as a specific form of federal political system, which can be identified to all
federal systems. Elazar found three most essential characteristics and operational
principles. They are written ‘constitution’, ‘noncentralisation’ and ‘areal division of
power.’ To him all constitutions follow one or another of five basic models: the
constitution as (1) frame of government and protector of rights; (2) code (which reflects
the reality of polities in which the character of the regime is sufficiently problematic for
changes in the authority, powers, or functions to require explicit consent); (3) revolutionary
manifesto or social character; (4) (tempered) political ideal; (5) modern adaptation of an
ancient traditional constitution.

Quite similar to above findings, Ronald Watts counts the following structural
characteristics: two orders of government each acting directly on their citizens; provision
for the designated representation of distinct regional views within the federal policy-
making institutions, usually provided by the particular form of the federal second chamber;
a supreme written constitution not unilaterally amendable; an umpire to rule on disputes
between governments; and processes and institutions to facilitate intergovernmental
collaboration for those areas where governmental responsibilities are shared or inevitably
overlap. Recent writings of Watts confirm the notion of two or more orders of government
combining elements of shared-rule for some purposes and regional self-rule for others
as “basic essence” of federalism. He further says that it is based on the objective of
“combining unity and diversity”: i.e. of accommodating, preserving and promoting
distinct identities within a larger political union. What basically distinguishes federations
from decentralised and confederal governance is that in unitary systems the governments
of the constituent units derive their authority from the central government, and in
confederations the central institutions are empowered by the constituent units. In a
federation, each layer of government is empowered by the constitution.

However, it is important to mention that some polities can be identified as hybrids

incorporating features of different political experiences. In some federations like Canada,
Malaysia, South Africa, India and Pakistan, the federal governments have overriding
powers over the constituent units. They have been labelled as quasi-federations on
different occasions of their development. On the other hand, predominantly federations
like Germany and Switzerland have confederal elements. Similarly, the European Union
which began as a modern European confederal arrangement is now entering in a decisive
phase of being a federation. In the modern and post-modern epochs federalism has
emerged as decisive means of accommodating diversities for their distinctive expressions
on the one hand and building united polities on the other.

Federal arrangements employ different ways for the application of federal principles. In
the words of Elazar, federalism can be considered a genus of political organisation of

90
which there are several species. Europe knew of only one federal arrangement,
confederation. Two centuries ago, the United States invented modern federalism and
added federation as a second form, one that was widely emulated in the nineteenth
century. He defines federation as a polity compounded of strong constituent entities and
a strong general government, each possessing powers delegated to it by the people and
empowered to deal directly with the citizenry in the exercise of those powers. Since
World War II, some new federal arrangements have developed and employed to pursue
federal principles of governance.

Federalism, as may be normatively understood as both political and social-cultural

phenomenon with the basic objective of securing unity in diversity, cannot overlook
several varieties of political arrangements deeply associated with the term federalism.
Elazar originally identified six varieties of federal arrangements in 1987 which later
became sixteen forms of autonomy or self-rule. Six include unions, consociations,
confederations, asymmetrical federal arrangements, leagues, local and non-governmental
federalism other than federations. Elazar identified three principal models of modern
federalism—the American system, the Swiss system, and the Canadian system.
Federations are compounded polities, combining strong constituent units and a strong
general government, each possessing powers delegated to it by the people through a
constitution, and each empowered to deal directly with the citizens in the exercise of its
legislative, administrative and economic powers, and each directly elected by the citizens.
Ronald Watts identifies 25 countries that meet the basic criteria of a federation.

Introduction of modern federalism to build the United States as a federation was basically
a new political arrangement as a supplementary alternative to Jacobinism and modern
nation-state which claimed that its combination of territory, government and public
should be considered exclusive, embracing a single united people and possessing a
common centre. Moreover, nation-state is supposed to be exclusive in their sovereign
powers which do not suit federal solution. The Americans, opposed to the sixteenth-
century European view of the sovereign state, found sovereignty vested in the people
who set limits on governmental authority. To Elazar, twenty-one additional states are
not formally federal but have, in some ways, incorporated federal arrangements, principles,
or practices into their political systems to accommodate the heterogeneity. They can be
grouped into three basic categories: legislative unions constitutionally decentralised
unitary systems, and consociational unions on a non-territorial basis. Technically unitary
states (like UK) differ from undiluted unitary systems (like France) because the former
uses federal arrangements to accommodate diversities within that union.

22.3.1 Unions
Unions are polities that were consciously and deliberately united or compounded out of
what were formerly separate identities either by consent or force in order to preserve
integrity of constituent units which in return respect their respective integrities exclusively
through the common organs of the general government rather than through dual
government structures. New Zealand and Lebanon are examples. Belgium, prior to
becoming a federation, had sound federal principles for the unity of Flemings and
Walloons. A legislative union can be defined as a compounded polity in which the

91
constituent units find their primary constitutional expression through common institutions.
The United Kingdom is a long-standing legislative union. It is a compound of four
countries and several offshore islands. Its polity is based on political arrangements that
guarantee Scotland its own local administration, law, church, and central bank; Wales,
a measure of cultural home rule and administrative autonomy; Ulster, home rule with
its own legislature; and the islands of Guernsey, Jersey, Man, and Sark off the British
coast, substantial constitutional autonomy in their internal government. Legislative unions
generally unite unequal polities.

22.3.2 Consociations
The constitutional decentralisation of unitary states, an ancient device, has appeared in
different forms. The Netherlands, union of original provinces, provides for considerable
devolution to the provinces and their municipalities. In decentralised unitary states,
local governments avail constitutional guarantees for considerable autonomy in some
areas, but local powers are guided by the central government. Consociations are non-
territorial federations in which polities are divided into permanent transgenerational
religious, cultural, ethnic or ideological groupings known as ‘camps’, ‘sectors’, ‘pillars’
federated together and jointly governed by coalitions of leaders. In other words,
consociations are federalised unions of ethnic (including tribal) groups that, though not
organised territorially, have acquired corporate characteristics of their own and secured
constitutional arrangements to preserve their respective integrities within a common
polity. Arend Lijphart, Gerhard Lembruch, and others have termed such polities
consociational, borrowing the term from Johannes Althusius. The Netherlands, Belgium,
Lebanon, and Cyprus (1960-63) can be called consociations. Consociational arrangements
seem to have a road-map for power-sharing.

22.3.3 Confederations
Confederations are built upon several pre-existing permanent national communities which
join together to form a common government for certain limited purposes (for foreign
affairs, defence or economic purposes). The common government is dependent upon
constituent states. Confederations disappeared during the modern epoch because
confederal schemes failed to mobilise political support to maintain themselves in an age
of exclusive nationalism. Confederations such as the Holy Roman Empire, the medieval
city leagues of Germany, Belgium, and Italy and the United Provinces of the Netherlands
either disintegrated or were constituted as consolidated states. Switzerland (during 1291-
1847) and the United States (1776-1789) were confederations. At present the European
Union represents as confederal body. Demise of confederal arrangements is rooted in
the idea of the nation-state possessing complete sovereignty and encompassing a single
nation.

22.3.4 Asymmetrical Federal Arrangements

Asymmetrical federal arrangements are sought for uniting smaller states with a larger
polity and they are premised upon the federal principles of internal autonomy and self-
government for the former. Such arrangements are sometimes known as free association

92
manifested in associated states, federacies and condominiums. The Netherlands Antilles
and the Netherlands and Puerto Rico and the United States are particularly good examples
of associated states and federacy, respectively. There are more than twenty such
arrangements. Associated states are similar to federacies, but they can be dissolved by
either of the units acting alone on prearranged terms established in the constituting
document or a treaty. The relationship between New Zealand and the Cook Islands is
an example. Condominiums are political units whose governance is shared with two or
more external political entities in such a way that the inhabitants have substantial internal
self-rule. Andorra functioned under the joint rule of France and Spain during 1278-
1993.

22.3.5 Leagues
Leagues represent a combined effort of entirely independent polities in some lasting
ways to be managed by common secretariat rather than a government. Members can
voluntarily withdraw from the league.

Local and non-governmental federalism is applied on the local plane and are growing
in number and scope. Federalism is here introduced as a solution to look into local
issues. The Canadian experiments, particularly in Ontario are good examples of the use
of federal principles and arrangements. The Indian experiment of strengthening local
rd
self-governments by enactment under 73 and 74th constitutional amendments can be
reasonably brought in the category of local federalism. This has been called as the third
tier of Indian federal polity but it is basically local federalism because it seeks political
integration ranging from metropolitan rural regions. However, it is open for debate and
discussion. Non-governmental associations are also organised along federal principles
in modern democratic countries. Labour unions and business, both public and private
are examples.

22.4 STRUCTURE AND TYPOLOGY OF FEDERALISM

Federalism is still a highly debated subject matter in different parts of the world because
of the lack of universality of structural and operational factors. This has been so due to
its origin and operational dynamics in different circumstances. The historical experiences
of a country in dealing with matters of distributive governance, autonomy and common
desire for co-existence, based on compromises and other factors basically determine the
structure and process of federal governance in that particular country. Similarly the
dynamics of operational reality and pattern of interaction between constitutional
institutions and societal build the federal edifice which may differ from country to
country. Most of the federations, which resulted through democratic means and practices,
have a common feature—desire for federal unity in general and constituent autonomy
in particular.

Elazar found federalism as much a matter of process as of structure, particularly if

process is broadly defined to include a political-cultural dimension as well. Watts says
that the specific form of allocation of the distribution of powers has varied relating to
the underlying degrees and kinds of common interests and diversity within the particular

93
society in question. Different geographical, demographic, historical, economic, security,
linguistic, cultural, intellectual and international factors and their relations have been
significant in contributing to the strength of the motives for union and for regional
identity and therefore affected distribution of powers in different federations.
Constitutional structural patterns of a federation are greatly affected by the working of
the government and fundamentally of society. Social forces and territorial identities thus
affect and influence operational aspects of federalism. The relationships between a
society, its constitution fabrics and processes are not static but involve continual mutual
interaction. Therefore, a federation becomes a subject of deep analysis of the interplay
of forces that affect each other and the finality of that political exercise.

Daniel J. Elazar, Ronald L. Watts, John Kincaid, Daniel Thurer, Wolf Linder, Thomas
Fleiner, Nicholas Haysom, and some other scholars have been concerned over the
impact of changing nature of the world, regional configurations, and domestic
transformations upon the evolution of federations. The first arises from the impact of
globalisation, which has been instrumental in the increased merging of domestic and
international policy issues. This has radically affected international relations and foreign
policies within federations. Constituent polities of federal governments are now frequently
involved directly both in trans-border arrangements with the constituent units in
neighbouring countries. A second major issue arises from the dynamics of multi-cultural
diversity, ethnic bargaining, internal tolerance and the frequency of multi-cultural conflicts
in federal societies. A third issue is about the appropriate assignment of responsibilities
and of the fiscal resources to different federal layers.

22.4.1 Distribution of Powers

The most fundamental characteristic of federations is the constitutional distribution of
powers between two or more orders of government. Several devices are therefore required
to maintain twin federal principles legitimising the scope of independence and inter-
dependence of federal government (common polity) and constituent polities, each have
a substantially complete set of governing institutions of their own with the right to
modify those institutions unilaterally. Both separate legislative and administrative
institutions are necessary. The main purpose of federal pattern is to enable each
government to operate within its area without dependence upon the other and to have
the structural wherewithal to cooperate freely with the other’s institutions. Thus the
structural pattern of federalism seriously assigns the task of the distribution of powers
in federations.

In Anglo-Saxon tradition, each order of government has generally been assigned executive
responsibilities in the same fields for which it has legislative powers. Classical examples
are the USA, Canada, and Australia. This pattern reinforces the autonomy of the legislative
bodies by assuring each government to implement its own legislation. In Canada and
Australia where the parliamentary executives are responsible to their legislatures, it is
only in legislative and executive jurisdiction that the legislature can exercise control
over the body executing its laws. In some federations, there are constitutionally mandated
provisions for dividing legislative and administrative powers between different layers of
government. They are to be distinguished from temporary delegations of legislative and

94
executive authority that also occur in many federations. Constituent polities in Switzerland,
Austria, Germany, India and Malaysia are constitutionally responsible for implementation
and administration of a wide range of federal legislation.

In most federations, federal governments have exclusive jurisdiction in the matters of

international relations, defence, the functioning of the economic and monetary union,
major taxing powers and inter-regional transportation. Constituent polities are assigned
with social affairs (including education, health services, social welfare, labour services),
maintenance of law, security and order, and local governments. Some matters like
foreign relations and finance have become areas of serious concern for constituent
polities which, in some federations, have asserted to play important role together with
federal governments.

In European federations like Switzerland, Austria and Germany, administrative

responsibility has not coincided with legislative authority. As a result, constituent
governments are constitutionally assigned the administration of many areas of federal
legislative authority. This enables the federal legislature to lay down considerable uniform
legislation to be applied by the constituents in ways that take account of varying regional
circumstances. The trend, however, has not been corresponding to the structural pattern.
Even in the Anglo-Saxon federations, federal governments have transferred substantial
responsibilities related to federal programmes to the constituent polities often by providing
financial assistance through grants-in-aid programmes. As a result, federal-constituent
sharing in the latter’s sphere. Differing trends are also found in Malaysia, India and also
in Belgium and Russia.

There are variations in the form of the distribution of legislative authority. In federations
like Canada, Switzerland and Belgium, most of the legislative powers rest either with
the federal or constituent polities. The fields of exclusive jurisdictions are more specifically
defined in Swiss and Belgium federations. On the other hand, exclusive jurisdictions
assigned to the federal governments of the USA and Australia are very much more
limited with most federal powers being identified as shared concurrent powers. In Austria,
Germany, India and Malaysia, there are fairly extensive categories of exclusive
jurisdictions and concurrent powers. By contrast to a wide concurrent jurisdiction in the
USA, India, Australia and Malaysia, only agriculture, immigration, old age pensions
and benefits, and export of non-renewable natural resources, forest products and electricity
energy are specified concurrent subjects in the Canadian constitution. The Canadian
exception can also be found in the concurrent area of old age pensions in which provincial
law would prevail in case of conflict with federal law. As a result Quebec has its own
pension system.

In most federations (like the USA, Switzerland, Australia, Austria, Germany, Belgium
and erstwhile Czechoslovakia) the residual powers, not mentioned in the constitution,
rest with the constituent polities which are created by a process of aggregating previously
separate polities. The residuary powers rest with the federal government in federations
which evolved through devolutionary efforts of the centralised system, like India, Canada
and Malaysia. The residuary powers become significant subject of attention when the
lists of legislative powers are not expansive. They are relatively insignificant in case of

95
federations like India, Malaysia and to a lesser extent Canada than in case of the USA,
Australia and Germany where constituent powers are enumerated but simply covered by
a substantial unspecified residual power. The trend in the latter’s case is directed towards
centralisation. In practice the courts read the maximum “implied powers” into the specified
federal authority at the expense of the scope of residual powers of the constituent
polities. In India, Malaysia and also Canada, extensive emergency and overriding powers
rest with the federal government to interfere into constituent matters.

22.4.2 Allocation of Financial Resources

Allocation of financial resources is one of the most crucial subjects of interests in
federalism. Constitutions of most of the federations specify the revenue-raising powers
of federal and constituent governments. The federal governments usually retain major
taxing powers such as customs, excise and corporate income taxes. In case of India and
Austria, personal income tax has remained exclusively federal. Federal and constituent
governments share sales and consumption taxes in most federations. Despite the tax
sharing factor, the federal governments seem to predominate because of the federal
power to prevail over the concurrent area and because of the limited revenue-raising
sources with the constituent polities. Besides, there are two important sources for raising
funds—public borrowing and profit of public corporations and enterprises. The distribution
of expenditure powers in each federation corresponds to the legislative and administrative
responsibilities of each government. Wherever, the administration of many federal
legislation is constitutionally assigned to the constituent polities as in Switzerland,
Austria, Germany, India and Malaysia, the constituents have broader expenditure
responsibilities. Spending power of governments in a federation is generally not restrained
by listed legislative and administrative jurisdiction. Federal governments have used
their general spending power in areas of exclusive constituent jurisdiction by providing
grants. As a result, they possess a “general” spending power, which normally become
contentious in intergovernmental relations. The constitutions of the USA, Canada and
Australia do not specify a general spending power but in case of India and Malaysia the
federal governments are clearly empowered to provide grants to the constituents.

Most federations have the arrangements for correcting vertical and horizontal financial
imbalances by making financial transfer from one level of government to another.
Besides the proportionality factor, conditional and non-conditional transfers also affect
the degree of constituents’ dependence. Federal transfers to the constituents, “golden
lead” as it is referred to in Germany, may undermine their autonomy in many regards.
Equalisation transfers scheme (for the remedy of regional disparities in wealth among
regions within a federation) are quite common among most federations except the USA,
but the scope of transfers has been greater in some such as Germany, Canada and
Australia than in others such as Switzerland. The equalisation scheme is based on
agreed formula in Switzerland, Canada, Germany, Austria, Malaysia, Belgium and Spain
than in India and Australia based on the recommendation of standing or periodic
commissions.

Federations have also developed institutions and processes to deal with imbalances. In
Federations characterised by a separation of executive and legislative powers within

96
each layer of government (the USA and Switzerland), the primary arena is federal
legislature to deal with imbalances than in other cases characterised by fused parliamentary
executives, where the primary arena has been that of executive federalism, i.e. negotiations
between the executives belonging to the two layers. The Federal government in India
and Australia play the main role in establishing expert commissions for determining
distributive formulae, which collect representations from the constituents. Malaysian
National Finance Council, composed of federal and constituent representatives, is the
second pattern. In Germany, Austria, Switzerland, Belgium and the USA, representatives
of the constituents in the federal legislature are involved in approving grants process to
the constituents. Canadian experience is the fourth pattern where equalisation formulae,
other tax transfers and tax agreements are determined by the federal government. Most
notably, India, Australia, Malaysia, Germany and Canada have come up with a variety
of intergovernmental councils, commissions and committees to facilitate adaptation of
the financial arrangements.

Entrusted with one of the important tasks of building relationships between governments
as being partners within a federation, most federal constitutions have developed some
means to facilitate extensive cooperation, and coordination. Informally they are carried
out through direct communications, between ministers, officials and representatives of
federal and constituent governments and formal institutions like standing and ad hoc
meetings involving ministers, legislators, officials and agencies of different governments.
A noteworthy feature is the prevalence of “executive federalism”, Canada, Australia,
Germany, India and Malaysia) i.e. the predominant role of governmental executives
(ministers and their officials), in intergovernmental relations in parliamentary federations
where first ministers and cabinet ministers responsible to their legislatures tend to
predominate within both layers of governments. In addition, there have been inter-
constituent relations, which are dealt with cross-boundary issues affecting neighbouring
constituents. Sometimes inter-constituent cooperative efforts have been extended to
cover all the constituents within a federation. This is referred to as “federalism without
Bern” in Switzerland and “federalism without Washington” in the USA.

22.4.3 Principle of Bicameralism

Most federations, except Ethiopia, the United Arab Emirates and Micronesia, have
adopted the principle of bi-cameralism, representing the federal second chamber for
equal representation of the constituents. However, there is enormous variation among
federations in the method of selection of members, the composition, and the powers of
the second chamber, and consequently its role. In Australia, the USA, and Switzerland,
the citizens of the constituent polities directly elect its members. They are indirectly
elected in Australia and India. In Germany, the members of the Bundesrat are delegates
of their Land cabinets, holding office in the federal second chamber ex-officio as members
of their Land executive and voting in the Bundesrat in a block on the instructions of
their Land governments. In Canada, members of the second chamber are appointed by
the federal Prime Minister and hold office until their retirement at 75. Malaysia, Belgium,
and Spain have a mixed membership through indirect elections and appointments. Where
there are parliamentary executives, the house that controls the executive inevitably has
more power, consequently limiting the role of the second chamber. This has raised

97
question over the effectiveness of the constituents within parliamentary federations,
except that of the Australian Senate and German Bundesrat. South Africa has adopted
the German model with some modifications.

22.4.4 Supremacy of Constitution

The supremacy of the constitution is also one of the most important aspects of federalism
for effective implementation in guiding the federal and constituent governments. Given
the dynamics of federal relations and complexities, the factor of inter-dependence,
competition and possible conflict, most federations have prepared themselves to resolve
conflicts through electoral or judicial means. Most federations rely upon the combination
of these processes. Electorates express and support their preferences by voting in periodic
elections at both layers in federations. In the case of Switzerland, the electorate can play
adjudicating role through legislative referendum. In addition to mandates, most federations
have relied on judiciary—Supreme Courts serving as final adjudicator in the USA,
Canada, Australia, India, Malaysia and Austria. Some federations like Spain, Germany
and Belgium have Constitutional Courts. The Swiss federal Tribunal may rule on the
validity of cantonal laws. However, there are some questions about the extent of
governmental influence on the court and its composition.

So far as the issue of the constitutional amendment is concerned, one has to look into
amending powers of the layers of the governments. Federalism requires balance between
rigidity and flexibility by providing different amendment procedures for different parts
of the constitution. The Canadian constitution has five different procedures for amendment
involving varying degree of rigidity. Both Houses of the federal legislature (of USA,
India, Malaysia by special majority, Switzerland and Canada by simple majority) are
generally engaged in the approval of amendments concerned with the distribution of
powers and integrity of the constituent governments. In addition such amendments
require either approval by a special majority of the constituent legislatures, as in the
case of the USA and Canada, or a majority of state legislatures as in India, or by
referendum requiring a double majority and majorities in a majority of constituent
governments in case of Switzerland and Australia. In the case of Malaysia, major
amendments affecting the Borneo constituents require their concurrence.

As it was pointed out earlier the interplay between the federal structures and societal
forces determine trends in federal polities which can be observed in modern societies
pursuing regional autonomy and inclusion of minorities. The structures can be decisive
elements of enforcement in statist paradigm pursuing nation-states. But the federal
notion itself is in conflict with the location of sovereignty in nation-states. Trend has
been quite disturbing in countries where communities, better expressed as minorities
and majorities, have remained attached to their group consciousness, thus historical in
their character and manifestations. Unlike the modern societies, the individualist paradigm
remained infertile in the historical societies, thus identifying them as countries of people
rather than of individuals and public.

Two examples can be taken under this category—Nigeria and India. The former has a
more positive trend because of its federal farsightedness in terms of consociational

98
management of the polity. The latter has approached consociational approach in dealing
with the State of Jammu and Kashmir together with some special rights to tribal dominated
states and sub-state regions. But the sizeable minorities particularly are not only
marginalised but the soft victims of prejudiced forces operating at different levels in
violent and normal situations. For example, the federal autonomy to the state (take the
case of Gujarat and many more earlier) enshrined in the Indian Constitution, which
resisted any kind of intervention from the Union, failed completely to save the lives,
properties and the rights of minorities (guaranteed under provisions of the Fundamental
Rights, Indian Penal Code and Criminal Procedure Code, Service Rules and instructions
of the National Human Rights Commission). Therefore, Indian federalism could not
qualify the test of creating a non-majoritarian and compounded democracy to ensure
even security to the individuals belonging to minorities. Moreover, there is strong tendency
of centralisation in Indian federalism.

Therefore, the trend of federalism in historical societies is different from their modern
counterparts. That trend is largely influenced by the vision and constructive efforts of
governmental and non-governmental structures and processes, which are the results of
cooperative efforts among individuals belonging to different groups and regions. Examples
are the more achievements and fewer failures of the American, Australian, Canadian,
Austrian, Belgian, Swiss and German federalism. Their respective internal tolerance and
solidarity in their democratic exercise of powers of multicultural societies are now being
influenced positively by the forces of globalisation and technological advancements. As
a result, they were united in their efforts in taking up issues of federal solutions and
federalisation like their active role in Bosnia Herzegovina, and building a united single
Europe.

In other words, their federal efforts and political initiatives have finally shifted towards
federalism which originally evolved from confederal arrangements. Even a non-federal
country like Italy adopted regionalism kind of federal solution in of its areas. In Italy,
five ethnic minorities were given special status regions in Valle d’ Aosta (French
speaking), Alto-Adigo (German speaking of South Tyrol), Sardinia and Sicily where
most active separatist movements were granted special status regions. Similarly Friuli-
Venezia Giulia (Slovene minority) was granted special regional status with 15 ordinary
regions. Belgium reconstructed its consociational arrangement for making it more
egalitarian and federal in character. Spain, consisting of 17 autonomous communities
possessing the right to self-rule, is further required to look reasonably into demands of
the Basque country. Thus, modern federalism which has been taken up by the modern
liberal democratic countries as a political package of collective participation and
development for all individuals and regions, has not been sincerely tried by non-liberal
and traditional societies where challenges are multiplying day-by-day.

22.5 SUMMARY
Federalism is intended to create and sustain a united polity and coherent society in multi
cultural and diverse societal realities. It is a normative term which advocates multi-
layered governments combining elements of self-rule and shared-rule accommodating
and representing distinct identities within a larger political union. Federalism is supposed

99
 MPS-004
Indira Gandhi National Open University
School of Social Sciences

Comparative Politics : Issues & Trends

COMPARATIVE POLITICS : ISSUES & TRENDS

2
Expert Committee
Prof. A. S. Narang Prof. D. Gopal Dr. S.V.S. Reddy
Faculty of Political Science Faculty of Political Science Reader in Political Science
School of Social Sciences School of Social Sciences School of Social Sciences
IGNOU, New Delhi IGNOU, New Delhi IGNOU, New Delhi

Prof. R. Narayanan Prof. Shobanlal Dutta Gupta Prof. Sudha Pai

Jawaharlal Nehru Deptt. of Political Science Chairperson
National Fellow Calcutta University, Kolkata Centre for Political Studies
ICSSR, New Delhi JNU, New Delhi
Prof. Mohit Bhattacharya
Prof. Anirudh Das Gupta Former Vice Chancellor Prof. Susheela Kaushik
Former Dean University of Burdwan Former Head
School of International Studies Burdwan Deptt. of Political Science
JNU, New Delhi West Bengal University of Delhi, Delhi

Programme Coordinator (s): Prof. Darvesh Gopal and Dr. Anurag Joshi

Course Coordinator
Prof. A. S. Narang
Faculty of Political Science
School of Social Sciences
IGNOU, New Delhi

Course Development Committee

Unit Unit
16 & 18 Prof. A.S. Narang 25 Late Dr. Sanjay Ambatkar
Faculty of Political Science Post Doctoral Fellow
School of Social Sciences ICSSR
IGNOU, New Delhi New Delhi

17 Prof. Gurnam Singh 26 Dr. Nivadita Menon

Deptt. of Political Science Reader in Political Science
Gurunanak Dev University Deptt of Political Science
Amritsar Delhi University, Delhi.

19,20 Prof. R. B. Jain 27 Dr. Amita Singh

& 21 Former Head Associate Professor
Deptt. of Political Science Centre for Law & Governance
Delhi University JNU, New Delhi
Delhi
28 Dr. Sunil Sondhi
22 Dr. Arshi Khan Reader in Political Science
Senior Lecturer Deptt. of Political Science.
Centre for Federeal Studies Rajdhani College, University of Delhi
Jamia Hamdard Delhi.
(Hamdard University)
New Delhi 29 Prof. Mohit Bhattacharya
Former Vice-Chancellor
23&24 Dr. V. N. Khanna (Retd.) University of Burdwan
Reader Burdwan, West Bengal.
Deshbandhu College
University of Delhi 30 Prof. Abdul Rahim P. Vijapur
Delhi Deptt. of Political Science
Aligarh Muslim University
Aligarh

2
Editorial Assistance
Dr. Sailaja Gullapalli
Junior Consultant
Faculty of Political Science
School of Social Sciences
IGNOU, New Delhi.

Course Editor
Prof. A.S.Narang
Faculty of Political Science
School of Social Sciences
IGNOU, New Delhi

Print Coordination Secretarial Assistance

Mr. Arvind Kumar R. Ramesh Kumar & Mahesh Kumar

March, 2004
 Indira Gandhi National Open University, 2004
ISBN-81-266-1178-2
All rights reserved. No part of this work may be reproduced in any form, by mimeograph or any other means,
without permission in writing from the Indira Gandhi National Open University.
Further information on Indira Gandhi National Open University courses may be obtained from the University's
office at Maidan Garhi. New Delhi-110 068.
Printed and published on behalf of the Indira Gandhi National Open University, New Delhi by Prof. Kapil Kumar,
Director, School of Social Sciences.
Paper Used : Agrobased Environment Friendly.
Laser Typeset by : Tessa Media & Computers, C-206, A.F.E.-II, Okhla, New Delhi

3
 CONTENTS
Introduction Page No.

Unit-16 Ethnicity Politics and State 9

Unit-17 Politics of Community Identities 26

Unit-18 Ethnic Movements 36

Unit-19 Political Regime 50

Unit-20 Bureaucracy 61

Unit-21 Military in Politics 72

Unit-22 Federalism: Patterns and Trends 86

Unit-23 Parties and Party Systems 101

Unit-24 Interest Groups, Pressure Groups and Lobbying 121

Unit-25 Poverty and Human Development 133

Unit-26 Gender Question 147

Unit-27 Environment 156

Unit-28 Science, Technology and Politics 174

Unit-29 Decentralisation and Participation 184

Unit-30 Human Rights 193

Suggested Readings 206

6
INTRODUCTION

In the first book of course MPS-004 you have studied four parts of the course on
comparative politics i.e. Meaning and Approaches of Comparative Studies (Units 1,2
and 3; State (Units 4,5,6 and 7); State in the context of International Community and
Globalisation (Units 8,9 and 10); and issues related to Nation and State Building (Units
11 to 15). In this second book you will study another four major aspects in Comparative
Politics.

The units 16-18 of the book 2 on Ethnicity, Politics and State deals with the issue of
role of ethnic groups in Politics. This unit will enable you to understand the meaning
and characters of ethnic groups, the concept of ethnicity and various approaches states
adopt to deal with ethnic groups in plural societies. Unit 17 titled Politics of Community
identities is further an elaboration of ethnic and cultural issues in politics. In this unit
you will study how community identities have become a major issue for the states in
today’s world and how they are affecting the nature, basis and patterns of politics both
at national and international planks. Unit 18 is on Ethnic Movements. This unit takes
into account the phenomena of prevalent and emerging ethnic movements in multiethnic
and multi cultural states. The unit describes and analyses factors responsible for ethnic
movements, the nature and type of movements and the strategies used by such movements
to attain their goals.

The units 9-24 of the book is with regard to some issues concerning institutions and
structures of state. Unit 19 is on Political Regimes. In this you will study the general
characteristics of political regime and their functions. The unit also describes nature of
democratic, totalitarian and authoritarian regimes. The regimes are also evaluated and
compared. Unit 20 is on bureaucracy. In this unit you will study the meaning of
bureaucracy in the context of state along with theories of bureaucracy with special
reference to Weber’s theory and Marxist views. You will also study functions of
bureaucracy in modern times particularly with reference to its nature and role in
developing countries. The unit also explains the relationship between political and
permanent executive. Unit 21 deals with the issue of military in politics. It describes the
process of intervention of military into politics and the signs of its withdrawal in recent
years. Role of military in democratic regimes, nature of the military and characteristics
of military regimes have also been discussed. Through some case studies including
those of America, Indonesia, Lebanon, South Korea, Thailand, Pakistan and Bangladesh
you will have an idea of the history of military intervention in politics in different
situations. The Unit ends with the emerging role of military in Politics. Unit 22 is on
Federalism. It deals with the concept of Federalism as it has emerged through historical
evolution. The Unit describes various patterns of federalism like unions, confederations,
leagues etc. It also discusses structure and typology of federalism taking into account
distribution of powers, allocation of finances etc.

The next section of the book consisting of two units is on Political Parties and Interest
Groups. Unit 23 is on Parties and Party System. In this you will read various definitions
and concepts of political parties along with classification of parties. You will be studying

7
about elitist parties, mass parties, intermediate type of parties etc. Unit also distinguishes
between two party system, multi party system and one party system. The unit concludes
with role and evaluation of political parties. Unit 24 is on interest and pressure groups.
In this unit is discussed the concept of interest groups, pressure groups and pressure
politics also known as lobbying. After defining pressure groups and distinguishing them
from political parties, the unit gives information on classification of interest groups
provided by Almond, Jeane Blondel and Maurice Duverger. In the end the unit analyses
the role of interest groups and lobbying in politics.

The last section in this book II comprises units 25-30 that analyse the Emerging Issues
and concerns in present day politics. Unit 25 discusses the issue of poverty and human
development. In this unit you will study the two broad views on poverty i.e. of sociologists
and economists, the issue of poverty and inequality, growth and poverty and measurement
of poverty. The unit also analyses the concept of human development and human
welfare and their status at global level. You will also read the debate with regard to
globalisation, poverty and human development. Unit 26 is on Gender Development. The
unit explores the different ways in which the status of women has been addressed
particularly in theories about development and underdevelopment. Thus you will study
theoretical debates about women in development, women and development, gender and
development and women’s issues in the context of environment and development. The
unit also discusses issues arising out of structural adjustment policies particularly with
regard to their impact on women. Unit 27 is on Environment. In this you will have an
idea of classical, contemporary and radical understanding of environment. The unit
analyses various key issues in the environment debate including those concerning scarcity
of resources, greater interdependence of nations, sustainability of growth, changed
perspective of national security etc. In this unit you will also read North- South divide
on environment and civil society movement for protection of environment in different
countries. Unit 28 deals with science, technology and politics. This unit, in particular,
takes into account the role science and technology is playing in the nation building
efforts particularly in the present era. In that it describes various perspectives to the
study of science and technology and analyses objectives to modern science and
technology. The unit also takes into account the phenomena of nationalisation and
globalisation of science and technology. It also takes a special look at science and
technology in India. Unit 29 on Decentralisation and participation deals with the trend
of decentralisation which is becoming good policy as a mechanism of collective problem
solving. In that it defines the concept and types of decentralisation and recent thinking
on that. You will study in various perspectives the concept of participation including
its nature and types. The Unit, after describing benefits of participation assesses the
prospects and development.

The last unit of the book is on Human Rights. The unit describes the meaning and
evolution of human rights. Different perspectives on the nature of rights and relationship
between social and political and social and economic rights. The unit also analyses the
constitutional production of international human rights standards and the way they are
violated.

8
UNIT 16 ETHNICITY POLITICS AND STATE
Structure
16.1 Introduction
16.2 Ethnicity : Meaning
16.2.1 Characteristics of Ethnic Groups
16.2.2 Ethnicity
16.3 Ethnicity and State
16.4 Assimilation and Integration
16.5 Pluralism
16.5.1 Multiculturalism
16.6 Power Sharing
16.6.1 Federalism
16.6.2 Consociationalism
16.7 Summary
16.8 Exercises

16.1 INTRODUCTION
Almost all states today are marked by diversity and difference-differences of ethnicity,
culture and religion in addition to many individual differences which characterise members
of societies. A large number of these states are confronted with ethnic conflicts, assertion
of ethno-religious identity, movements for recognition, rights of self determination etc.
In view of the fact that the prospect for peace and war, the maintenance of national unity
and the fundamental human rights in many parts of the world and in many ways depend
on the adequate solution of ethnic tensions the way States deal with the question has
become one of the most important political issues in the contemporary world. Of course
each state has its own unique way to deal with or responding to its cultural diversities
yet there are some general approaches which states adopt, or have been suggested by
experts. An understanding of the responses of States and approaches in dealing with
ethnic groups will be useful for the students of comparative politics to analyse the
phenomena in general and specific situations as also to make policy suggestions.

16.2 ETHNICITY: MEANING

Race, ethnicity and cultural identity are complex concepts that are historically, socially
and contextually based. These social relations, according to James, are dynamic; their
meaning changes overtime. Apple refers to them as “place markers” operating in a
complex political and social arena.

Historically, the term “ethnic” derives from the Greek ethnos (ethnikos) which refers to
Heathen nations or peoples not converted to Christianity. It was also used to refer to
races or large groups of people having common traits and customs or to exotic primitive

9
groups. In anthropological literature the term “ethnic group” is generally used to designate
a population which (1) is largely biologically self perpetuating (2) shares fundamental
cultural values, realised in overt unity in cultural forms; (3) makes up a field of
communication and interaction; (4) has a membership which identifies itself, and is
identified by others as constituting a category distinguishable from other categories of
the same order. By ethnic group sociologists generally mean a relatively stable socio-
cultural unit performing an unspecified number of functions, bound together by a language,
often linked to a territory, and derived actually or allegedly from a system of kinship.
In this sense the ethnic community is an extremely old collective reality. International
Encyclopaedia of Social Sciences defines an ethnic group as “a distinct category of the
population in a larger society whose culture is usually different from its own. The
members of such a group are, or feel themselves, or are thought to be, bound together
by common ties of race or nationality or culture.”

In modern political usage the term “ethnic” is generally used as a designation of social
unity based upon common and separate language or dialect, historical living in a defined
area, occupation and mode of life, cultural and social traditions, customs and folklore.
It is also used for social class, racial or national minority groups and also for distinguishing
cultural and social groups in society. There are however differences with regard to
emphasis. Some would include a religious denomination under the rubric, some would
identify a race as an ethnic group, whereas for others the latter is a smaller subdivision
of race, and so on.

There are some for whom an ethnic group is composed of what have been called
“primordial affinities and attachments”. For them it is the identity made up of what
person is born with or acquires at birth. But for some, ethnic groups, though centrally
concerned with cultural matters, symbols and values and with issues of self-definition
are not given entities but are social and political constructions. Paul Brass, for instance
says:

Any group of people dissimilar from other peoples in terms of objective cultural criteria
and containing within its membership, either in principle or in practice, the elements for
a complete division of labour and for reproduction forms an ethnic category. The objective
cultural markers may be a language or dialect, distinctive dress or diet or customs,
religion or race.

Some scholars view characteristics of ethnic groups primarily in alienation or migration

etc. T.K. Oommen opines that the ethnic is a group of people who share a common
history, tradition, language and life-style, but are uprooted from and/for unattached to
a homeland. Some writers in the U.S. have applied the term ethnic groups to immigrant
groups who are distinguished by cultural differences in language and national origin and
who have no distinguishing physical characteristics. Still for others, territorial relationship
is important. Smith, for instance, describes ethnic as a named human population with
shared ancestry, myths, history and culture having association with a specific territory
and a sense of solidarity.

With regard to basic features of ethnic communities there are differences among Marxist
writers also. Y.V. Bromley points out some of these differences among the Soviet

10
scholars. Some regard language and culture as fundamental features, others add to these
territory and ethnic self-consciousness, still others include in addition the peculiarities
of psychological make up ; a fourth group adds common origin and state affiliation and
a fifth group sees the essence of the ethnic communities only in specific psychological
stereotypes. Bromley defines ethnic group as a stable inter-generation totality of people
historically formed in a certain territory, who posses not only common traits, but also
relatively stable peculiarities of mentality, as well as awareness of their unity and
difference from all formulations of similar kind (self-consciousness) registered in the
self-name (ethnoim).

Some of the known definitions of ethnic groups, as mentioned above, make it clear that
there is no agreed meaning of the term “ethnic”. However each of them does refer to
some characteristics.

16.2.1 Characteristics of Ethnic Groups

As seen above among the observers, experts and even in general there is no agreed
meaning of the term ethnic. However various definitions do refer to some characteristics.
A review of the literature by Paul Brass suggests that there are three ways of defining
ethnic groups : in terms of objective attributes; with reference to subjective feelings; and
in relation to behaviour.

An objective definition assumes that though no specific attribute is invariably associated

with all ethnic categories, there must be some distinguishing cultural feature that clearly
separates one group of people from another. The features may be language, territory,
religion, colour, diet, dress or any of them. An objective definition is problematic in that
it is usually extremely difficult to determine the boundaries of ethnic categories in the
manner they suggest. A subjective definition carries with it the inherent difficulty of
answering the basic question of how a group of people initially arrives at subjective
self-consciousness. Behavioural definitions are really forms of objective definition since
they assume that there are specific, concrete ways in which ethnic groups behave or do
not behave, particularly in relation to and in interaction with other groups. Behavioural
definitions merely suggest that there are cultural differences between ethnic groups, and
the critical distinctions reveal themselves only in interaction with other groups. But the
existence of explicit codes of behaviour and interaction is rather more characteristic,
more pervasive and more evident in simple rather than in complex societies in which
people may establish their separateness with reference to specific attributes without
adopting an entirely distinct code of behaviour.

However, it is not the pre-eminence of the subjective over the objective or vice versa
but the linkage between the two, the complementarity of one with the other that facilitates
an understanding of the process of evolution and growth of an ethnic group characterised
by continuity, adoption, or change. Such a composit perspective has been provided by
the syncretistic. Taking a cue from the syncretists, Urmila Phadnis defines an ethnic
group as:

A historically formed aggregate of people having a real or imaginary association

with a specific territory, a shared cluster of beliefs and values connoting its
distinctiveness in relation to similar groups and recognised as such by others.

11
The definition suggests five major traits of an ethnic group: (a) a subjective belief in real
or assumed historical antecedents; (b) a symbolic or real geographical centre; (c) shared
emblems, such as race, language, religion, dress and diet, or a combination of some of
them which, though variegated and flexible, provide the overt basis of ethnic identity;
(d) self-ascribed awareness of distinctiveness and belonging to the group; and (e)
recognition of the group differentiation by others.

What is important is the self-defined and “other-recognised” status. And it is this self-
perception which is common in most of the definitions. Max Weber, for instance,
defined ethnic group as:

Those human groups that entertain a subjective belief in their common descent
because of similarities in physical type of customs or of both, or because of
colonisation and migration in such a way that this belief is important for the
continuation of non-kinship communal relations.

Contemporary writers, both liberal and Marxists, also give significant importance to this
self selection. Shibutani and Kwon, for instance suggest:

An ethnic group consists of people who conceive of themselves as being of a kind. They
are united by emotional bonds and concern with the preservation of their type. With
very few exceptions, they speak the same language, or their speech is at least intelligible
to each other, and share a common cultural heritage. Since those who form such units
are usually endogamous, they tend to look alike. Far more important, however, is their
belief that they are common descent, a belief usually supported by myths of partly
fictitious history.

Similarly, according to Bromley, “an ethnic group in the narrow sense of the word and
in its most general form may be defined…. also by an awareness of their identity and
distinctness from other similar communities. What emerges, therefore, is that an ethnic
group encompasses the attributes of a presumed or fictive sense of relatedness” a kindred
feeling which is perpetrated by myths and memories and reinforced by common
understanding concerning the meaning of set of symbols.

We can therefore have a working definition of an ethnic group as: A group of people
who share a feeling of people-hood based on real or fictional common ancestry, or real
or presumed shared socio-cultural experiences or memories of shared historical past and
focus on one or more symbolic elements of religion, language, dialect, race, tribe or
nationality diffused as the epitome of their people-hood.

In suggesting this definition we believe that while historical continuity is important,

ethnic group formation depends on a mobilisational process in the course of which
various symbols become important. But no particular attribute of ethnicity can assume
stable importance. The various components which figure historically have by no means
been uniformly involved over a period of time. Also ethnic groups are not necessarily
monoliths. These may have vertical and horizontal differentiations in terms of social
categories, occupational and class categories.

12
16.2.2 Ethnicity
From the above it becomes clear that in the present day context those groups which, in
given social context, consciously choose to emphasise their most meaningful primary,
extra familial identity on the basis of religious, racial, cultural, linguistic, national
characteristics, or a combination of any of them, are referred to as ethnic groups. The
number of such ethnic groups – sometimes referred to as peoples or nationalities – is
enormous the world over. How many are there is not easy to determine because there
are very few systematic treatises dealing with these matters. Stavenhagen suggests that
the educated estimates, based mainly on anthropological and linguistic criteria, would
place the number of nations, peoples, or ethnic groups at around five to eight thousand,
the real figure probably being closer to the latter. Our concern here is not with the
number of such groups but with the fact that these groups live in a specific number of
states into which the present world is divided. Accordingly with the entire land surface
(apart from Antarcica) now divided among states nearly all the states contain more than
one ethnic or cultural group within their borders and are thus heterogeneous or plural
societies.

The situation is particularly significant in numerous new states that have achieved
independence since the Second World War i.e. the post-colonial states in Asia, Africa
and the Caribbean. In most of the multi-ethnic states the world over, in recent years,
there has been a resurgence of ethnic and cultural demands and group consciousness
which is generally referred to as rise of ethnicity.

By ethnicity is generally meant that condition where certain members of a society, in

a given social context, choose to emphasise as their most meaningful basis of primary
extra familial identity, certain assumed cultural, national or sematic traits. It implies that
for a group associated around a common history and culture, their inheritance and the
nature of their projects appear as distinguishing feature differentiating this group from
the larger social formation in which this group is encased.

In political terms ethnicity is a sense of ethnic identity, which has been defined by De
Vos as consisting of the subjective, symbolic or emblematic use by a group of people
of any aspect of culture, in order to differentiate themselves from other groups or as
Paul Brass suggests, in order to create internal cohesion and differentiate themselves
from other groups.

Accordingly ethnicity, as Jyotindra Das Gupta, suggests, may be regarded as an enclosing

device which carves out a recogniseable social collectivity based on certain shared
perceptions of distinctive commonness often augmented by diachronic continuity.
While ethnicity implies historical continuity it can best be understood not merely as a
primordial phenomenon in which deeply held identities have to re-emerge, but as a
strategic choice by individuals who, in other circumstances, may choose other group
membership as a means of gaining some power and privilege. Therefore ethnicity may
be viewed as a device as much as a focus for group mobilisation by its leadership
through the selected use of ethnic symbols for socio-cultural and politico-economic

13
purposes. What is critical about an ethnic group is not the particular set of symbolic
objects which distinguish it, but the social uses of these objects; and that ethnic loyalties
reflect and are maintained, by the underlying socio-economic interests of group members.
In crude form ethnicity takes the form of ethnocentrism.
Ethnocentrism is basically a psychological term which denotes prejudicial attitudes
favouring one ethnic group and rejecting other. It can be related to “nationalism” and
“racism” but its focus is strictly on the individual’s relationship with an ethnic group
rather than with a “nation”. Ethnocentrism provides a general and perhaps even universal
bases for a type of behaviour which also underlines nationalism and racism. It is essentially
concerned with an individual’s psychological biases towards his/her ethnic groups, and
against other ethnic groups. Favourable attitudes are projected about the “in group” and
unfavourable ones about the “out group”. The intensity of ethnocentric attitudes and
behaviour varies from the mild and peaceful to the belligerent and megalomaniac. In
general, some form of political translation of the ethnic interests is necessary to move
ethnic groups from a social space to a political space. And in recent decades this process
has been gaining somewhat notorious significance having political and social implications
including that for the stability and structures of governments. The reasons for this kind
of transformation are several. Some of these you will read in the unit on ethnic movements.

16.3 ETHNICITY AND STATE

We have seen above that the overwhelming majority of societies today are multiethnic
and multicultural. Many of these are also in trouble. Some have proven unable to create
or sustain any strong sense of solidarity across ethnonational lines. The members of one
national group are indifferent to the rights and interests of the members of other groups.
This is increased by international migration caused by economic factors. Yet there has
been a tendency in most states to ignore or sidetrack the ethnic issue. Whereas most
states are multiethnic, few acknowledge this fact and even fewer have made constitutional
or other legal provisions for their multiple ethnicity. Even democratic states have argued
that by providing equal rights and opportunities to all the citizens they have respected
cultural specificities of particular ethnics. As Will Kymlicka points out, liberal democratic
states have historically been nation-building states in the following specific sense; they
have encouraged and sometimes forced all the citizens on the territory of the state to
integrate into common public institutions operating in a common language. States have
used various strategies to achieve this goal of linguistic and institutional integration.
Citizenship and naturalisation laws, education laws, language laws, policies regarding
public service employment, military service, national media, and so on. At the same
time in the face ethno-nationalism states have also adopted necessary frame works in
respect of ethnic groups. These strategies generally are summarised into broader categories
of assimilation, pluralism and accommodation.

16.4 ASSIMILATION AND INTEGRATION (MELTING

POT MODEL)
While most states in the world are polyethnic and multinational, they have at one time
or another attempted to create a national identity amongst its citizens, and have tried to

14
undermine any competing national identities, of sort which national minorities often
possess. The nation-state ideology proclaims national unity and the homogeneity as a
supreme value. This value-one-nation-one state-can only be achieved by a process of
policies designed to rapidly assimilate, integrate, or incorporate the non-dominant ethnics
and nationalities into the dominant mould. The idea behind these assimilationsit policies
is that culturally distinct ethnics will simply disappear and melt out in the wider society
– the United Nations. This is, therefore, also known as Melting Pot approach. Melting
Pot, originally coined by the Anglo-Jewish writer Israel Zang – will in his play of the
same name, produced in New York in 1908, the term referred to the manner in which
immigrants who came to the United States at the end of the nineteenth century were
encouraged to think of themselves as Americans, gradually abandoning their cultures of
origin until, as in the action of the melting-pot, they eventually became fully a part of
the bright new alloy. Through a process of assimilation, then, facilitated by the state,
all developed into Americans sharing a single common culture.

Supporters of the policy of assimilation suggest that in a multinational state, the agency
of state needs to follow a policy of absorption and assimilation as a prerequisite for
nation-building. Otherwise, constituent nationalities would demand a major say for the
group in the political system as a whole; or control over a piece of territory within the
country; or they may demand a country of their own with full sovereignty. Some
observers, however, do not suggest absorption in the majority culture. According to
them, since socio-cultural identities are particularistic and, therefore divisive, they must
be eviscerated, if not completely replaced, by forging new identities based on secular,
universal principles. Thus there are two ways suggested by integrationists. One, hegemonic
type which recognises only one primordial identity as legitimate. Here the national
culture is that of the dominant cultural mainstream; other cultures are to be dissolved
in it. Assimilation into the mainstream culture is the authentic measure of nationalism
and patriotism of minorities. The second is uniformity pattern that assumes that older
identities will gradually disappear and a new man (democratic and/or socialist man)
with an overarching political identity will emerge and all citizens would have the same
relationship with the state.

In general the integrationist approach implies the recognition of the individual’s rights,
obligations and privileges with the differentiated corporate entities being given a low
premium and the assimilation of the entire state population into a common identity. But
the experience shows that while individual rights and liberty, equality and fraternity are
very important and represent a major achievement in human history, they by themselves
are not sufficient to deal with ethnic issues. Both theoretical arguments and empirical
evidences support this contention.

In theoretical terms, making the state and nation commensurate with each other reduces
practically to a subject-condition all other nationalities they may be within the boundary.
Accordingly, as Acton points out, to the degree of humanity and civilisation in that
dominant body which claims all the rights of the community, the inferior races are
exterminated, or reduced to servitude, or outlawed, or put in condition of dependence.
In history, there had been attempts at various points to “clean up” the ethnic map by
genocidal measures. In recent past such “clean up” measures were carried out against

15
Jews and Gypsies under Hitler, Crimean Tatars, Volga Germans, and Chechen Igush
under Stalin; both Tutsi and Mutu in Rwanda and Burundi, overseas Chinese in certain
parts of South-east Asia, Kurds in Iraq etc. This has been done also by brutal unilateral
expulsions (Asians from Uganda, Germans from most of East Central Europe etc.)
Population exchanges by agreement or carried out as a result of fear has been another
method of bringing about uniformity in the ethnic map as in the case of Mellenese, from
Turkey and Turks from Greece; Macedonian Bulgars from Greece and Hellenes from
Bulgaria; most Hindus and Sikhs from Pakistan and many Muslims from India;
practically all Jews from the Arabs from the area which became Israel. But what all this
has lead to?

It is also found in history that the creation of relatively homogeneous national cultures
out of diverse ethnic groups by state usually takes centuries and even then leaves
ethnically distinct enclaves, as in modern France and Spain. It has been pointed out that
it required four hundred years for French to become the national language of France
after its adoption as the official language of country in 1539. And even today, language
and dialect differences remain important in the country in such regions as Breton and
Languedic. Even in U.S.A., the complete assimilation leading to the disappearance of
ethnic identities and solidarities, which was much discussed in the earlier part of the
present century, has not in any simple sense taken place.

As for integration through modernisation, it is now a thoroughly discredited proposition.

The experience of proliferating separatist movements seeking autonomous existence has
become commonplace, especially provoked in many instances by galloping modernisation.
In effect, the opposite hypothesis is now held to be true; namely that “modernisation in
multi-ethnic states tends to activate assertions for self-determination. Even after the so-
called socialisation of property relations and attempt to transcend the ethno-nationalistic
aspirations by class solidarity in Marxist oriented socialist states ethnicity prevails”.

Consequently the explicit assimilationist assumption embedded in the idea of the “nation-
sate” is losing currency though it continues to be popular among politicians and
administrators in a number of countries. In western liberal democratic countries ethnic
groups in the last thirty years have successfully challenged the “Anglo Confirmity”
model. Assimilation and the operation of the “melting pot” process are, of course, still
occurring. There is evidence, for example, that the American born children of immigrants
regard English as their first language but, at the same time, they and their parents are
living in increasingly segregated neighbourhoods. A change in orientation to the ideal
of assimilation, however, has taken place. In general, since the 1960s, much liberal
opinion has swung away from the belief that assimilation of minorities is a necessary
process in the building of a nation, towards the view that a pluralistic society is more
desirable.

16.5 PLURALISM
As a result of movements from ethnic groups, increasing concern for human rights and
in view of the consequences some states have faced as a result of imposing majority
values on minorities in many states multi ethnic states, there is emerging a recognition

16
of the danger of the chauvinism of the majority community and the sectarianism of the
minorities. The trend, therefore, is towards recognition of the diversity and accepting the
values of pluralism. Pluralism implies that people have learned to look at the world
from different perspectives that they have learned to accept other cultures, other languages
and other beliefs, and to respect the right to be different. Thus many, since the 1960s,
have moved away from policies seeking to assimilate and to greater or lesser degrees
made room for differences, along the lines of the British Policy of integration as set out
in the so called “Jenkins formula’ (after the British politician, Roy Jenkins). He said,
“I do not think we need in this country a “melting pot” which will turn everybody out
in a common mould, as one of a series of carbon copies of someone’s misplaced vision
of the stereotyped Englishman… I define integration therefore, not as a flattening process
of assimilation but as equal opportunity, coupled with cultural diversity, in an atmosphere
of mutual tolerence.

Pluralism is widely seen by academics and policy makers as a liberal policy enabling
racial and ethnic groups to preserve their own heritage and distinctiveness. Pluralism,
as Paul Brass suggests, is a “system that contains a multiplicity of social, cultural,
economic, and political groups and that does not permit the imposition of the ideas,
values, culture or language of a single group to be imposed upon the others”. The
pluralist perspective thus entails the recognition of corporate sectors along with individual
rights and privileges and envisages for diversity a role in the development of the
personality of the state. This diversity associated with pluralism, according to Roberts
and Clifton, is manifest in three domains: cultural, socio-structural, and psychological.
The basic assumption behind pluralism is that cohesion and coordination of national
efforts can be more feasible in a framework of accommodative responsiveness; that the
diversities are not inconsistent with the convergence of common ideals, interests and
apprehensions, and that even when specific manifestations of the articulation of diversities
are wholly inconsistent with national interests, the existence or continuation of such
sub-national loyalties should not be taken as anti-national. The corollary of this view is
that the raison d’etre of a nation-state disappears if its power structure does not reflect
its multiethnic character.

As regards implementing pluralism in practice, there are various devices that are available
to states. These include the creation of ethnically separated electorates; proportional or
compensatory representation in government; devolution of power to ethnically
homogeneous territorial unit; establishment of veto power and checks and balances on
ethnically relevant governmental decision; introduction of ethnic quotas in bureaucratic
and legislative bodies; provision of compensatory social and economic benefits to low
status minorities; and the creation of constutional or statutory guarantees or ethnic
blindness or evenhandedness in the use of governmental power. All these devices have
their own pros and cons and their utility and effectiveness depends on the specificities
of each case. However, for general understanding, these have two aspects; one relating
to policy formulation, and implementation and the second relating to political structures.
Important in the policy arena are questions with regard to language and education;
allocation or distribution of resources; and group or community rights. In structural
terms an important issue is of share in political power. The most talked about policy in
terms of pluralism these days is that of multiculturalism.

17
16.5.1 Multiculturalism
The term multiculturalism covers different forms of cultural pluralism. Right from the
beginning celebrated by some and rejected by others, multiculturalism has been
controversial because of its real or perceived (in) compatibility with the traditional
notion of national unity: As a discourse, multiculturalism can broadly be understood as
the recognition of co-existence of a plurality of cultures within the nation. The basic
spirit behind it is that immigrants should be free to maintain some of their old customs
regarding food, dress, religion, and to associate with each other to maintain these practices.
Liberal multiculturalism, as a theory of ethnic and cultural identities and their links to
political institutions, which has been developed most elaborately by the Canadian political
philosopher Will Kymlicka, postulates that ethnic identity is the main source of cultural
self-identification and the principal form of political mobilisation in democratic and
multiethnic liberal states. Ethnic identity is the main basis for political solidarity and,
subsequently, the most tenacious political grievance and must be therefore recognised,
i.e. institutionalised on all levels of government: grouping along ethnic cultural lines.
According to Ana Devie, it is an ideological position according to which formal types
of recognition and (especially) access to privileges are predicated on membership on an
already defined cultural group.

The first country to officially adopt such a multiculturalism policy at the national level
was Canada in 1971. But it has since been adopted in many other countries, from
Australia and New Zealand to Sweden, Britain, the Netherlands and elsewhere. It reflected
a concern to make the liberal democracies of the West more sensitive to the existence
of cultural pluralism within the boundaries of the nation state, which had till then been
considered to be culturally homogeneous, extension of liberal principles to those sections
of the society which had been disadvantaged and thereby excluded from the polity. It
is a significant moment in the extension of liberal principles and can be considered a
further development after the civil rights movement of the 1950s and 1960s in the U.S.

In countries like Canada and Australia, Multiculturalism consists of four broad meanings.
First it is a descriptive term which suggests that the country is composed of numerous
cultural groups thus making it a polyethnic society. Secondly, it is an ideology based
on perception about the way the society should be organised. This implies an acceptance
that migrants will want to maintain their language and cultural traditions and that it will
continue across several generations. Thirdly, multiculturalism suggests a principle for
social policies which assumes government responsibilities for removing structural
advantages and implementing policies which ensure equality and access. Fourthly, it
means a set of special institutions which are designed to implement the principle of
participation, access and equity. In short, the policy is based on the premise that the
support of the cultural identities of diverse ethnic groups within, accompanied by exchange
and interaction among them, will facilitate the integration of society as a whole.

This multiculturalism, as Anne Yeatman points out, is likely to intensify rather than to
decrease over time, and the social scale over which social organisation is dispersed is
likely to become increasingly global in character. Multiculturalism in this context refers
simply to the empirical reality that the participants in bounded fields of social organisation

18
are by cultural and linguistic affiliation multi-ethnic, and to what follows from this,
namely the communication within these fields of social organisation has to assume
inter-cultural features with all that this implies for the protocols and procedures of social
organisation. When differences of ethnicity, cultural history, sexuality and gender have
entered the constitution of social movements and dynamics of social change, neither
assimilation nor exclusion can be legitimate processes as far as state response is concerned.
This comes from the policy of multiculturalism.

Multiculturalism is viewed as unproblematic harmony, achieved via the balancing of

individual choices. The basis for this is that to be an equal member of any society, not
only must we have equal rights, but our identities must be given equal value. And as
our ethnic background informs these identities, our cultural heritage cannot be ignored
or scorned without damaging our sense of personal dignity.
Multiculturalism, however, is also facing criticism from some quarters.
Some feel that policies of multiculturalism were threatening the social homogeneity
considered vital for maintaining a stable social and political order. Basically
multiculturalism is seen as divisive because special programmes are funded for migrants.
There also is widespread fear that today’s immigrants will remain ghettoised and that
as a result society will become increasingly balkanised. According to them this approach
risks perpetuating intolerance between ethnic communities and also promoting favouritism
and inequalities. Such consequences would also, according to them, be offensive to the
liberal and egalitarian elements of western culture. It is also suggested that governments
have no place in promoting ethnic diversity, since this is seen to undermine important
liberal pluralist values and to encourage social and political conflict.

There is also criticism from the left deriving critical insights from political economy
arguing that multiculturalism is a state ideology whose function is to lessen the inevitable
class and labour conflicts that arise from the process of capital accumulation. By its
stress on social cohesion, multiculturalism mystifies and obscures accumulation the
underlying structural features of social and economic inequality, and class exploitation
at work. Nevertheless, instead of fostering social cohesion, multiculturalism has often
produced the opposite.

In this context, some also see multiculturalism as the ideal form of ideology of global
capitalism. According to this view, the attitude which forms a kind of empty global
position, treats each local culture the way the coloniser treats colonised people as
‘natives’ who are to be carefully studied and respected. That is to say, the relationship
between traditional imperialist colonialism and global capitalist self-colonisation is exactly
the same as the relationship between Western cultural imperialism and multiculturalism,
in the same way that global capitalism involves the paradox of colonisation without
colonising. Nation-State metropolis, multiculturalism, involves, patronising Euro-centrist
distance and/or respect for local cultures without roots in one’s own particular culture.
In other words, multiculturalism is a disavowed, inverted, self-referential form of racism,
a racism with a distance – it respects the others identity, conceiving the other as a self
enclosed ‘authentic community towards which, the multiculturalism, maintains a distance

19
rendered possibly by his privileged universal position. Some of the commentators
representing the ethnic groups have also felt the multiculturalism as mere tokenism; that
is it only promotes symbolic ethnicity or those aspects of non-anglo ethnic cultures
which did not threaten the anglo-saxon dominated status quo.

Multiculturalism, thus is facing serious challenges, not only from society and extreme
right parties and groups, but also from the luke-warm attitude of governments and
policy makers particularly after September 11, apprehensions and perceived security
concerns. The criticisms, however, are ill founded and have no empirical substance. The
fact, as Will Kymlicka, points out is that none of the policies related to multiculturalism
involve encouraging groups to view themselves as separate and self governing nations.
On the contrary they are intended precisely to make it easier for the members of
immigrant groups to participate within the mainstream institutions of the existing society.
Immigrant groups are demanding increased recognition and visibility within the
mainstream society. In short, these multiculturalism policies involve a revision in terms
of integration.

There are few (if any) examples of immigrant ethnic groups mobilising behind secessionist
movements, or nationalist political parties, or supporting revolutionary movements to
overthrow elected governments. Instead, they have integrated into the existing political
system, just as they have integrated economically and socially, and have contributed
enormously to the economic, political, and cultural life of the larger society. This must
be seen as an impressive achievement. Providing the example of Canada, Kymlicka
suggests that on every major indicator of integration, immigrants integrate more quickly
in Canada today than they did before the adoption of the multiculturalism policy in
1971. They are more likely to naturalise, to vote, to learn an official language, to
inter-marry and have friendships across ethnic lines. If we examine immigrant
multiculturalism in other Western democracies, such as New Zealand or Britain or
Sweden, we would find a similar story. In each case multicultural accommodations
operate within the context of an overarching commitment to linguistic integration, respect
for individual rights, and inter-ethnic co-operation. And these limits are understood and
accepted by immigrant groups. Thus, immigrants ethnic groups integrate more quickly
in those countries which have official multiculturalism policies (like Canada and Australia)
than in countries which do not (like the United States and France). And these immigrants
are not only institutionally integrated, but also active participants in the political process,
strongly committed to protecting the stability for mainstream institutions and to upholding
liberal-democratic values. In short, there is no evidence at all that multiculturalism is
promoting ‘balkanisation’ or ‘cultural and linguistic apartheid’ or ‘partial citizenship.’
On the contrary, the evidence – while still preliminary – shows that multiculturalism is
doing what it set out to do: namely, to promote better and fairer terms of integration for
immigrant groups.

16.6 POWER SHARING

One aspect of ethnicity particularly in cases of ethnic groups concentrated in certain
territories has been that minorities have typically responded to majority nation building
to maintain or rebuild their own societal culture, by engaging in their own competing

20
nation building. For that they raise the question of ‘self –determination’ by which they
generally mean “power to shape their own destiny”. The proposition that every people
should freely determine its own political status and freely pursue its economic, social
and cultural development has been understood in many ways. It may be internal and
external and its components range from simple self government at one extreme to full
self-government at the other. Many observers have suggested and many states accept
that the middle way to keep ethnic groups satisfied without fears of successionism is to
make them share power. Two popular mechanisms of power sharing are federalism and
consociationalism.

16.1.1 Federalism
The words federal, federation, federalism etc. have etymological roots in the Latin term
“foetus”. It means alliance, association, compact, contract, league, treaty, union etc. As
a mechanism of governance federalism divides powers between the central government
and regional sub-units (provinces/states/cantons) where ethnic or national minorities are
regionally concentrated, the boundaries of federal subunits can be drawn so that the
national minority forms a majority in one of the sub-units. Under these circumstances,
federalism can provide extensive self-government for a national minority, guaranteeing
its ability to make decisions in certain areas without being outvoted by larger society.

Thus, federalism means the distribution of powers and responsibilities to appropriate

political levels and types of institutions, both up and down the scale, so as to combine
representation and authority, union and diversity, organisation and freedom.

It is in this context that in reconciling ambivalent demands for unity and diversity in
multiethnic societies federations possess some advantages over either unitary or confederal
system. As a compromise, a federal system by distributing authority between central
and regional governments makes possible complete political unity for certain functions
and regional autonomy for others. Compared to unitary institutions, regional claims
which, if resisted, might provoke harsh resentments representing a greater threat to
national unity, provides some safeguard to regional groups in the protection of their own
special interests, and reduces the risk of the monopoly of power by an autocracy or a
bureaucracy. Compared to confederal institutions or to inter-governmental cooperation,
federal governments enable positive centralised policies, not dependent on unanimous
regional agreement with regard to those functions assigned to the central government
and in addition are more likely to provide a focus for the development of a common
nationality.

The federal idea, then, is above all an idea of a shared sovereignty, responsive to the
needs and will of the people both as individual citizens and as members of ethnic/social
groups. In the words of U.S. Chief Justice Roger B. Taney. The power of the general
(central) government and the state, although both exist and are exercised within the
same territorial limits, are yet separate and distinct sovereignties, acting separately and
independent of each other within their respective spheres.

Historically, the most prominent examples of federalism being used in this way to
accommodate national minorities are Canada and Switzerland. The apparent stability

21
and prosperity of these countries has led other multination countries to adopt federal
systems in the post-war period (e.g. Yugoslavia), or upon decolonisation (e.g. India,
Malaysia, Nigeria). Even though many of these federations are facing serious difficulties,
we are currently witnessing yet another burst of interest in federalism in multination
countries, with some countries in the process of adopting federal arrangements (Belgium,
Spain, Russia).

While it is said that in multiethnic societies in terms of constitutional arrangements need

for autonomy points to some form of federalism in which there is duality of sovereignty
and powers of both government levels, are coordinated; critics have sometimes suggested
that federal institutions, involving divisions of power, legalism, rigidities, and
technicalities, simply create clumsy obstructions in the affairs of the state. Some say
that the result in shared fields often seems to be immobility and indecisiveness; substantial
policy change often seems to require a high degree of consensus or a massive exertion
of political will. Citizens who seek responses and decisions from governments face
complex procedures and must put up with the duplication, uncertainties and delays of
divided jurisdiction. Federalism to such critics seems to be the enemy of policy that is
planned, comprehensive, coherent, uniform and content.

In answer to such criticisms, Daniel J.Elazar says that this view is based on a widely
accepted but erroneous understanding of what constitutes efficiency in government. The
understanding is based on hierarchical thinking about governmental organisation. We
are now coming to realise that such thinking is not only outmoded but simply wrong.
The hierarchies that appear to be so neat on paper do not work in practice. Sometimes
the application of a great deal of coercion gets them to work for a while but we have
seen the results, neither fair nor efficient by any reasonable standard. Elazar further
points that if one begins as a monist, assuming the desirability and feasibility of achieving
one pattern of thought and behaviour for every one, then federalism is indeed inefficient
and even wrong because it enables the perpetuation and even the entrenchment of
differences. If one begins as a pluralist, seeing the world as a heterogeneous place and
properly so, then one must make a different evaluation of federalism as a means to
protect and entrench liberty. Thus, monistic, Jocabin and Marxian views have constantly
rejected federalism as wrong in principle even if they have had to compromise with
reality and accept the temporary existence of pluralism. Federalist views, by contrast,
embrace pluralism and seek means to protect it.

The general understanding today is that federal government presents a practical

constitutional way of winning support for political and economic integration from a
heterogeneous population. Federalism works because it transfers the target of political
mobilisation from the national to the provincial centres: shifts conflicts in homogenous
provinces to inter-ethnic divisions, and gives ethnic groups local autonomy. Thus it
provides the common ground between the centraliser and the provincialist. Whether a
federal system succeeds or fails, however, depends in large part upon the attitudes of
participants, both governments and citizens. It is not simply a question what is provided
in the constitution but what is in practice understood and implemented. Needless to say,
the experiences of limited successes and failures suggest that for an effective resolution
of ethnic issues through federalism it is important that an autonomous region should

22
enjoy effective control over matters which are primarily of local concern, within the
overall framework of the fundamental norms of the state. Of course autonomy is not
equivalent to independence, and autonomous governments should not expect to be
immune from the influence of central government. At the same time, however, the state
must adopt a flexible attitude which will enable the autonomous regions to exercise real
power, precisely when that exercise to power runs, counter to the state’s inherent
preference for centralisation and uniformity.

16.6.2 Consociationalism
While federalism is a reasonably accommodative mechanism to ethnic aspirations, it
does not provide a total solution. The mere fact of federalism is not sufficient for
accommodating national minorities – it all depends on how federal boundaries are
drawn, and how powers are shared. Also federalism can only serve as a mechanism for
self-government if the national minority forms a majority in one of the federal sub-units.
To take care of these aspects another mechanism suggested and being practised by some
states is consociationalism.

Consociationalism or in Arend Lijphart’s phrase consociational democracy is based on

the idea that identity, not interest, is the mainspring of political behaviour, that conflict
of identities is dangerous, and that, therefore, it is better to freeze and accommodate
differences between groups than to permit their resolution through competition. In the
context of the politics of nationalism and ethnicity it provides a model of government
which allows for the peaceful coexistence of more than one nation or ethnic group in
the state on the basis of separation, yet equal partnership rather than domination by one
nation on the other (s). It is thus not only an alternative to the principle of “one nation,
one state” but also to systems of “hegemony and international colonialism.”

Arend Lijphart, who coined the phrase “consociational democracy” starts with outlining
the important charactertistics of culturally plural democratic states where, according to
him one or the other form of consociationalism is in practice such as Switzerland,
Belgium, Lebanon (until the mid 1970s), the Netherlands and Austria. Basic elements
of consociational democracy, include:
1) A “Grand Coalition” in the government of the state, consisting of representatives of
all the segments (i.e. nations, or ethnic groups). This is otherwise known as “elite
accommodation” since it is the leaders (elites) of the segments who come together
at the centre of the state to settle disputes.
2) A proportional representation electoral system, and a proportional system for sharing
public expenditure and public employment amongst the segments according to the
size of each.
3) A “mutual veto” system whereby a segment can veto government decisions in
matters of vital concern to it.
4) Autonomy for each segment, either through a territorial government in a federal or
devolution system, or through institutions (e.g. educational) which confer some self-
government on the segment.

23
One key idea in consociationalism is that the composition of representation in governing
bodies should mirror the ethnic composition of the electorate. By focusing on ethnic
differences as the difference to be represented, and therefore as the important cleavage
in political system, Joane Nagel suggests, other potential sources of conflict become
submerged. Van den Berghe notes, “an essential corollary of ethnic proportionality in
Consociational Democracy is the muting of class conflicts. To the extent that ethnic
sentiments are politicized, class consciousness is lowered”. This observation suggests a
rationale for elite emphasis of ethnicity on politics. It also suggests ethnic differences
as a mechanism for the construction of ethnic differences which is open to challenge.

Barry and Styeiner and Obler have criticised Lijphart for presenting more of a description
of varyingly successful cultural elite cooperation than a theory of stable plural political
accommodation. At theoretical level, Barry’s arguments against the relevance of
consociationalism are: (a) Ethnic divisions are more inflammatory than church-state and
working-class issues. (b) It is more difficult for ethnic group leaders to keep their
followers in line than for leaders of religious and class groups. (c) The interests of
ethnic groups are clearer than those of religious and class groups and, therefore, less
negotiable. (d) Ethnic divisions raise secessionist issues that religion and class do not.
He argues especially both the depth of ethnic feelings and the phenomenon of outbidding,
amply demonstrated in countries with elections dominated by ethnically based political
parties (such as Guyana, Sri Lanka, Northern Irland, and Nigeria) and the occurrence
of “communal massacres” in the Indian subcontinent, Indonesia, Cyprus and Northern
Ireland – both suggest the futility of consociationalism in such situation.

To work consociational system, McGarry and O’leary point out, at least three fundamental
conditions are required to be present. First, the rival ethnic segments must not be
unreservedly committed to immediate or medium-term integration or assimilation of
others into their nation or to the creation of their own nation-state. Nationality conflicts
appear to have an irreducibly zero-sum character. Preventing ethnic communities from
developing full-scale and exclusive national consciousness requires political elites either
to downplay the state’s national identity, which may prove very difficult. Second,
successive generations of political leaders must have the right motivations to engage in
conflict regulation and sustain the consociational system. Their motivations may be self-
interested or high minded, but without them there is no prospect of producing a
consociational arrangement. Third, the political leaders of the relevant ethnic communities
must enjoy some political autonomy themselves, so that they can make compromises
without being accused of treachery. If they lack confidence because they are outbid by
external irredentists or by rival leaders in the capital city – they will not be prepared to
engage in hard bargaining.

16.7 SUMMARY
Modern societies are increasingly confronted with minority groups demanding recognition
of their identity and accommodation of their cultural differences. The groups concerned
with identity are generally known as ethnic. In contemporary political usage the terms
ethnic and minorities are generally used interchangeably to describe groups which share

24
a common language, race, religion or national origin other than that of the dominant
group in a state. In that context the overwhelming majority of societies today are
multiethnic and multicultural.

While ethnic cultural diversity is not a new phenomenon, over the last few decades the
world has been witnessing a marked ethnic and ethno-cultural revival, that is ethnicity.
All over the world there is an increased awareness of individual cultural identity. Around
the world, multination states are concerned with dealing with the issue. However, in
view of ethnic movements becoming militant and some states facing even disintegration,
need for policies to tackle with the phenomena of ethnicity has started receiving serious
attention of societies, states and scholars.

At the international community level it is now expected that not only universal individual
human rights apply to minorities, but also there is a need to respect specific minority
rights as well. Traditionally the policies of the states have been to assimilate diversity
within the unity of the nation. This they have called process of integration, nation
building etc. In a variety of ways governments have been actively encouraging and
pressurising ethnic groups to integrate into common educational, economic and political
institutions operating in the national language. There has now been an acceptance for
pluralism and adoption of policies to respect pluralism both as societal reality and
accommodate minority aspirations through multiculturalism, minority rights, federalism,
consociationalism etc. Of course for many, assimilation in the old sense remains the
ideal.

Ethnicity, ethnic discrimination, accommodation, religious intolerance and tolerance, as

such continue to be important issues of contemporary world. In many cases despite the
provision of non-discrimination and equality in matters of state policies and programmes,
a gap persists between the legal precepts and actual practices. There is however, an
emergence of consensus that in a plural society there must be adequate measures for the
safeguards of the ethno religious minorities, though the nature and extent of safeguards
and mechanisms may differ from society to society and from one context to another.

16.8 EXERCISES
1) What do you understand by Ethnicity? Describe its basic characteristics.
2) Critically evaluate the Policy of Assimilation adopted by some states to integrate
ethnic groups.
3) Assess the policy of Multiculturalism as a means to accommodate Ethnic minorities.
4) Analyse the role of Federalism and Consociationalism in Multiethnic societies.

25
UNIT 17 POLITICS OF COMMUNITY IDENTITIES
Structure
17.1 Introduction
17.2 Definition and Structure of Community Identities
17.2.1 What are Community Identities?
17.2.2 Structure of Community Identities
17.2.3 Features of Identity of Community
17.3 Causes of Identity Consciousness and Conflicts among the Communities
17.4 Methods and Strategies Adopted by the Communities
17.4.1 Cultural Resistance
17.4.2 Armed Struggle
17.5 Conclusion
17.6 Summary
17.7 Exercises

17.1 INTRODUCTION
Recorded human history is the history of struggle for power and resources. For purposes
of waging this struggle, the prerequisites were formation of groups and communities.
Religion, race, caste, tribe, colour etc. emerged as the bases of mobilisation of people
into separate communities. Over a period of time the sustenance of these communities
became a vested interest, hence its identities’ consciousness became its integral part.
Community identities are one of the major dilemmas confronting humanity at a time
when the world is experiencing deeper forms of global interdependence. The very issue
is responsible for the emergence of new forms of war-fare—local wars and proxy wars
in national as well as international arenas. While facing the crisis situation these identities
are also responsible for the autonomist, separatist and secessionist movements which
pose a direct challenge to the existing nation-state system. In other words, there is
hardly a region in the world which is unaffected by this phenomenon of assertions of
community identities.

17.2 DEFINITION AND STRUCTURE OF COMMUNITY

IDENTITIES
17.2.1 What are “Community Identities’?
The notion of community identities is a very complex phenomenon. As Thomas Bender
writes:
A community involves a limited number of people in a somewhat restricted social
space or network held together by shared understandings and a sense of obligation.
Relationships are close, often intimate, and usually face-to-face. Individuals are
bound together by affective or emotional ties rather than by a perception of
individual self-interest. There is a “we-ness” in a community; one is a member.

26
Following Bender’s definition of community one may view that the members of a
specific social entity share common signs and symbols, customs and values, attitudes
and attributes and claim their distinctiveness as a community. Thus we can conclude
that community identities reflect the belongingness of a person to a specific community
and that the social entity has an independent existence and is distinct from the other
communities. Variables like language, dress, food, folklore, festivals, customs, architecture
and other institutions, as Armstrong opines, mark out the boundaries of these communities
and serve as a guard to keep alive their distinctiveness.

17.2.2 Structure of Community Identities

Communities construct their identity around the objective factors such as territorial
locations, a shared historical memory, shared traditions, common rituals and practices
and a common language and a real or perceived common ancestry. These factors evoke
the feelings of belongingness among the community members. However, the structure
of these feelings may be, as Neera Chandhoke argues,” unexpressed, subterranean,
unrealised or unarticulated”. Commenting on the formal and informal structure of identity
of a community, Joshua A. Fishman argues that this is a matter of ‘being’, ‘doing’ and
‘knowing’. First of all, as a matter of ‘being’, there should be a formal existence of a
body of people who share the intergenerational links to their common ancestors and
should evolve around the above given objective factors. Second, as a matter of doing,
identity of a community demands authentic activities and behaviour from its members
for which a community is known in the external sphere. In other words, community
identities demand its members to perform their intra-community obligations and roles.
Third, the issue of knowing refers to identity consciousness which means that members
of a community keep an understanding as to who they are, where they came from and
what they should do in an identifiable situation. In brief, we may say that they know
the difference between insiders and outsiders.

17.2.3 Features of Identity of Community

The features of community identities are given as below:
i) Some of the community identities are natural and cannot be changed. One becomes
member of such communities by having born therein. These kinds of identities are
based on caste, race, ethnic, religious or tribal factors.
ii) It may be possible that the community members have multiple identities, but the
importance of anyone depends on the time and situation. Thus, these are situational
in nature.
iii) Identities are a product of collective consciousness, contact amongst the members
of a community, aloofness and isolation from other communities. Thus these are
relational.
iv) Some of the identities are wholly voluntary and are made by choice of individuals.
To be the member of a specific business community is a matter of individual choice
and decision and may transcend man-made barriers.
Thus, in brief, we may say that community identities are natural, situational, relational
and contextual in nature.

27
17.3 INTRODUCTION
Causes of Identity Consciousness and Conflicts among the Communities

At a time when science and technology have shrunk the world into a global village in
terms of accessibility and interdependence, there also is an upward trend amongst the
people organising on communal lines. They are increasingly becoming conscious of
their cultural roots, their fraternal ties and are organising themselves into communities
which otherwise are considered a primitive form of social organisation. People all over
the world are becoming increasingly conscious of their communal identities. The most
developed Canada, USA and UK, least developed and poor India and Bhutan, old
Russia and new Bangladesh; democratic Belgium and authoritarian Sudan, Marxist
Leninist China and militantly anti-Marxist Turkey, predominantly Buddhist Burma,
Christian Spain, Moslem Iran, Hindu Nepal and Judaic Israel are all afflicted with this
phenomena. There are numerous causes that give rise to the identity consciousness and
identity based conflicts among the various communities in the world. These can be
categorised as under:

i) Colonialism: The process of colonisation, which began with the industrial revolution,
is a key factor that has led to the identity consciousness among the diverse
communities and also to the inter-community conflicts. During the colonial period,
in colonial societies, colonial masters adopted the policy of divide and rule. For this
purpose, they introduced the census system, identified the various ranked and
unranked communities and made it centre of their policy formulation. They appeased
the fractured populations in the military and civil institutions by providing them
jobs on the communal lines. Further, these communities got representation in the
legislative and executive bodies through the quota system. Different communal,
ethnic and casteist brigades were encouraged to maintain their external symbols.
However during the situation of revolt against the colonial empire by one, another
brigade or community was used which created the historical enmities among the
communities. Thus, the whole process has given rise to identity consciousness and
identity conflicts among various communities and also vis-à-vis the state.

ii) The Role of Religious Movements: During 18th and 19th centuries, some religious
movements came into being. The aim of these movements was to protect religion
from the external threat posed by the Christian missionaries and to restore the
declining religious values. For this purpose religious preachers gave the knowledge
of their glorious past to the community members and made efforts to restore that
lost honour and dignity of their community. However, some of these religious
movements became a threat to the communal identity of other communities as they
involved themselves in the process of conversion and started to manipulate and
misinterpret their common inter-communal heritage. Thus, in this situation reaction
was common and natural from the threatened communities. For example, the efforts
of Arya Samaj to treat Sikhism as part of larger Hindu religion, threatened the
identity of the Sikhs as a separate religious community. As such the Singh Sabha
Movement emerged as a crusader of a separate Sikh identity beginning in 1870s.

28
iii) Irrational and Hard Inter-State Borders: Identity consciousness and identity
conflicts are also a product of colonial construction of arbitrary and irrational borders
to suit their convenience. In fact, during the process of colonisation, due to the
territorial quest, the colonial masters changed the external borders of their colonies
arbitrarily, illogically and irrationally through wars, annexations and partitions. This
divided the same community into two or more political units across the international
borders. However, due to the soft border approach of colonial masters, this did not
become an obstacle in the way of community’s daily life. This division of the
communities across the colonial borders in no way posed any threat to the identity
of the community across the border. There was a normal and regular movement of
community members across the borders, despite their division. However, in the
post-colonial era, the new ruling elite adopted the hard borders concept making
interaction across the border impossible thus threatening the solidarity and identity
of the communities divided by the irrational borders. It affected the community life
adversely as fragmented colonial culture came into being due to these hard and
irrational political borders which ignored the psychological affinity and psychological
communal borders which lay elsewhere.

iv) Emergence of Modern Big State and Loss of Autonomy: In the pre-colonial and
colonial periods, various communities had functioned as autonomous political entities
even when they were politically part of various empires and kingdoms. With few
exceptions, the empires and kingdoms did not interfere in their autonomous and
natural communal life. In fact in an informal way they recognised their social and
political distinctiveness in the multi-national empires and showed a great respect for
the intra-communal life. The colonial rulers followed the same policy, by installing
puppet regimes and recognising community rights in the socio-economic and political
field. However, in the post-colonial era, this autonomous status of these communities
came to an abrupt end. In the name of state-formation and to establish its complete
sovereignty in its own territorial framework, the ruling elite started to take over
centralisation of administration. The emergence of the ‘Big State’, with all pervasive
authority to the farthest fringe of the social hierarchy and to the minutest details,
have played havoc to the traditional autonomy these groups enjoyed since times
immemorial. As such group rights were swept under the carpet. The personal laws
of these communities came to be replaced with the new state legal system, which
otherwise was scientific, non-communal and non-historical in nature. Further the
state imposed modern but majority oriented institutions over these communities at
the cost of destruction of their own traditional natural and historical communal
institutions. In such an atmosphere, the autonomous life of the communities came
to an end which created a widespread discontent among the communities especially
among those which are small in size.

v) Fear of Assimilation and Homogenisation: Some of these communities feared

assimilation and homogenisation of their distinct identities by the majority community
both regional as well as national. To counter such a possibility they articulated their
demand for territoriality based on their distinctiveness. For example the Bado
Kacharis, an Indo-Mongoloid community with strong cultural moorings feared, that
they might face the same fate as that of many other plain tribal communities, which

29
 over the years got assimilated into the larger Assamese fold, if their territory was
not clearly demarcated and recognised.

vi) Inferior-Superior Syndrome: In hierarchical societies, which may be partly rooted

in historical relations of a feudal, caste or racial nature and partly shaped by modern
state’s policies are defined by the location of a community in the social hierarchy.
Many times, these social hierarchical relations lead to inferior-superior syndrome.
Members of the inferior communities are dominated, despised, degraded and
discriminated against through social behaviour and also through state policies
dominated by the superior community. The black community identity consciousness
in the United States is the product of white superiority. Such relations affect the
community’s consciousness and form the basis for political action. For example
Black-White relations in South Africa and upper caste-lower caste relations in India,
can be put in this category very well.

vii) Fear of Marginalisation: Another cause of identity consciousness among the

different communities is the fear of marginalisation, because of the domination of
an out group/community over the indigenous people. An out-community is one,
which lacks a historical linkage with the territory they inhabit along with the
indigenous people but become a part of it due to the voluntary migration or state-
sponsored project of demographic engineering. The very policy aims to neutralise
the position of indigenous community and reduce it to a minority in its own territory
viz., Red Indians in North and South Americas, Maoris in New Zealand and
Aborigines in Australia. In this situation, inter-community competition becomes
inevitable because it threatens the interests of the indigenous community. The ‘sons
of the soil’ theory is a direct product of this fear of marginalisation.

viii) Sense of Relative Deprivation and Discrimination: Denial of equality by the

state in economic and political fields also creates a sense of discrimination and
deprivation among the communities. Some communities are discriminated against
in job sector and/or are deprived of their natural rights vis-à-vis the other communities.
They have not got proper representation in national life and governmental institutions.
It is perceived as internal colonialism by the victim community. Minority communities
are always at the risk of deprivation in power, services and resources.

ix) Sense of Powerlessness: This is primarily the direct outcome of the majoritarian-
minoritarian syndrome. It leads to permanent deprivation of the minority communities
from the state power and resources. It is sought to be justified through the democratic
logic. It can be categorised into two sets:
a) In one set, the national majority may be a regional minority which is pitted
against a regional majority but a national minority viz. Hindus constitute a
national majority but are a regional minority in Punjab and Jammu and Kashmir.
b) In the second set, a regional majority may be a national minority which is pitted
against national majority but a regional minority viz. Muslims constitute a
regional majority in Jammu and Kashmir but are a national minority and Sikhs
are a regional majority in the Punjab but are a national minority.

30
In competitive relations power plays a crucial role. Thus struggle for power between
two communities could be seen at national and regional levels. The regional majorities
always seek devolution/decentralisation of powers whereas regional minorities support
centralisation of power and oppose the regional majorities particularly when the regional
minority is a national majority. This sense of powerlessness both, in regional as well as
national levels, promote the cause of community identity consciousness.

x) Flawed Approach at Nation-Formation: The flawed approach at nation-formation

in third world states is also responsible for the emergence of community conflicts.
In fact, in the process of nation-building the ruling elite adopted telescoped and
short cut methods perceiving assimilation and homogenisation as a pre-condition
and by destroying the historically evolved structure of these communities. Resistance
on the part of minorities to this homogenisation project is labelled as a threat to
national unity and integrity, hence anti-national. For this purpose, state, on the
pattern of ‘Civic Nation’, failed to evolve common symbols, ceremonies, festivals
and institutions. In fact the state decided to create a nation, which was based on the
values of a specific dominant/majority community. For this purpose the state adopted
all ceremonies, institutions, symbols and festivals of the dominant/majority
community and declared them as the issue of national pride. On the other hand,
local cultures, histories, languages, institutions and symbols were not only relegated
but efforts were also made to destroy and degenerate them. Thus this flawed approach,
to create a non-historic, non-civic and dominant community oriented nation, at the
cost of historically grown natural nations, was totally rejected by the marginalised
minority communities.

xi) Modernisation: As the process of modernisation unfolds itself it creates conditions

of social mobilisation—both territorial as well as non-territorial. It is in direct
opposition to the rarest ever consensus among sociological theories of modernisation,
liberalism and Marxists that the process of modernisation will lead to assimilation
of the separate communities into a modern cosmopolitan identity. They argued that
as mankind moved from primitive tribal stage of social organisation to complex
industrial and post-industrial structures, the primordial ties of religion, language,
ethnicity, caste, colour, race etc. would gradually lose hold and disappear. Instead
modern means of audio-visual mass media and communication have created parochial
consciousness on unprecedented scale. Modernisation produces alienation which
leads to the strengthening of primordial community based ties. Modernisation has
also produced political and economic competition on an unprecedented scale whereby
elite mobilise the members of their community to have due share in power and
resources in competition with other groups. Modernisation sharpens differentiation,
articulates group identity consciousness, and produces intra-group and inter-group
competition which often degenerates into communal conflict and violence.

xii) Role of Community’s Leadership: In the context of communal identity

consciousness and inter-community conflicts, the role of leadership cannot be
overlooked. Often, it has been seen that when the elite class of a community faces
any threat to its interests from another community, in a bid to mobilise the members
of its community it articulates that the situation is a threat to the existence of the

31
 community. The elite class projects its self-interests as the communal interests and
also gives a call for struggle against the real or perceived threat. For example in
Punjab, Akalis have raised the slogan of “Panth in danger” many times in this
context.

17.4 METHODS AND STRATEGIES ADOPTED BY THE

COMMUNITIES
The communities under real or perceived threat have developed various types of methods
and strategies to protect their identity and interests. Monserrat Guibernau has discussed
the two major strategies which have been used by the communities. They are given
below:

17.4.1 Cultural Resistance

All the communities, struggling against the majorities and biased states, have used
cultural resistance commonly. In the cultural resistance, communities have been using
all sorts of signs and symbols of their identity. The communities have adopted the
strategy of cultural resistance in both private as well as public spheres. This includes
democratic and undemocratic type of actions to get massive support. In the private
sphere, the community members in the family and friends’ circles primarily carry out
resistance. In this case the specific and differentiating characteristics of the community
such as language, history and culture are disseminated to the illiterate and ignorant
members of the community through formal as well as informal channels. But in public
sphere, they resist through the following four types of actions:

a) Symbolic Actions: These types of actions are performed by small groups or even
by single individuals. The main objective of such actions is to break the control of
the oppressive regime over the public space. These actions are performed in the
streets and addressed to all witnesses. Graffiti and flags are often displayed in this
type of actions.

b) Interference Actions: The community members execute these actions during the
course of public events. The aim of such actions is to challenge the regime at its
core and disrupt the symbols, which show that homogeneity has been achieved.
These actions are implied in high degree of risky situations because on such occasions
high security arrangements are in place to prevent any sort of disturbance. Through
these actions community members, not only address those who attend the public
events, but also seek the attention of the international community through international
media and foreign representatives. These actions have proved very useful for the
communities to put the diplomatic pressure on the ruling elite from the international
civil society and international human rights organisations to resolve the problems
of communal tensions in a peaceful and democratic way.

c) Elite Actions: A small-devoted elite class within the community carries out these
actions. As the aim of elite class is the development and maintenance of community
culture and other symbolic values, they work a lot in this direction. They inform the

32
 community members about the identity crises and appeal to them to make the
supreme sacrifice for the community’s interests. For this purpose, community
leadership organises various conferences and seminars. Scholars discuss the problem
through numerous seminars and publish literature, which provide knowledge of the
traditional glory of that community and ask members to work diligently to enhance
the dignity of that community. They also identify and articulate threats to the
identity or interests of the community and suggest the necessary steps and strategy
to counter the same.

d) Solidarity Actions: Solidarity actions are prepared by the community elite to mobilise
the community members to achieve mass participation in the community affairs.
The main purpose of these actions is to show the strength of the community by
focusing upon a particular demand and presenting it as something that cannot be
denied due to the massive support, it receives. For example protests, demonstration
and morchas by the Akali Dal during Punjabi Suba Movement and thereafter for
Anandpur Sahib Resolution by the Akalis to mobilise the Sikh community. However,
these actions take place when a relative attenuation of the oppressive nature of the
regime allows some breaches to make and the population dares them together
challenging the power of the state. Interestingly, these kinds of breaches are allowed
to be made by only those states, which pretend to be democratic before the
international community.

Through cultural resistance, a few communities have succeeded to secure their identity
at a certain level as some states have adopted positive measures to accommodate the
community claims within the constitutional parameters.

17.4.2 Armed Struggle

In most of the cases, where states failed to satisfy the communities through the
constitutional arrangements, the communities resort to aspiring for a separate state of its
own provoking the state to military crackdowns to check the separatist designs of a
community. In such a scenario the hawks in the community gain upper hand by taking
armed struggle. They choose one out of two following options (i.e. target attacks and
total war) to use armed force against the state:

a) Target Attacks: Target attacks are the most common option which is used by the
different communities especially by those who are relatively weak, and do not have
sufficient resources to fight against the state. Through this, communities make
state’s property, territory and institutions target of their attacks. They also target all
those symbols, which are showpieces of the state tyranny and oppression. By this
option, the communities also target the public places regardless of allegiance and
characteristics of possible victims, which create a sense of insecurity among the
people. Political killings, illegal and open firing or bomb blasts in public places,
buses, trains, and aero planes are a common form of these target attacks. Recent
developments in this context have been of resorting to use of human bombs,
highjacking and suicidal attack. These also show the vulnerability and incapacity of
the state to control the use of violence by others on its own territory. The international

33
 media has also raised the issue of community tensions, because of these events.
Further, it has forced the state to create clandestine paramilitary forces, private
armies, death squads and other machineries for the safety of public property and
institutions.

b) Total War: Total war is another option, which is often used by the communities
as a means to employ the force against the state for the acceptance of their demands.
This method is adopted by those communities, which have a strong economic and
military support base, and in the states, which are not in complete effective control
of their territory. In this type of war, irregular armed militia of the community fight
with the professional soldiers of the state and attempt to break away from the state.
The main feature of total wars especially in third world states is that in it communities
use high technology weapons and are also making systematic and planned attacks
on the civilians to weaken the state system. The communities located on the
international borders or having access to sea coast are able to get liberal support
from external powers. The foreign powers are supporting them by providing economic
support, weapons training and planning etc. With the help of external forces these
communities have succeeded in internationalising their demands and put the pressure
on their respective governments. In some cases, communities have succeeded in
replacing their governments. In some cases, they have secured territorial control
over the major parts and have become the de facto rulers of those parts of the state.
For example by the use of military force against the state, LTTE have gained
control of much of Northern and Eastern provinces of Sri Lanka and Abkhazians
over the whole of Abkhazia province in Georgia. In certain cases they have also
succeeded in the territorial disintegration of the state. As a result of this, these
communities have been able to form new nation-states in the world. The total war
has led to a anarchical situation in these states. It has affected the development
process, adversely. Further, this has also created an acute problem of refugees and
state-less citizens, which has affected the foreign policy of different states, on a
large scale. In some cases the states took external help to control the situation. In
situation of civil war, international organisations particularly the United Nations
have also taken some steps to control the situation in the form of peacekeeping
operations. But these efforts are not much effective because communities are not
satisfied with the existing arrangements and thus are fighting for the protection of
their primordial identities and against the discriminatory attitude of the state.

17.5 CONCLUSION
The assertions of community identities and resultant political phenomena have affected
the nature, bases and patterns of politics both at national as well as international planks.
At the national level it has resulted in unprecedented conflict and violence resulting to
death and destruction and uprooting of people leading to internal refugees. It has re-
demarcated internal borders and effected changes therein. It has led to parochialisation
of politics and there is an increasing awareness of group or community rights. At the
international level it has led to the changes in international borders and refugee problem
of unprecedented proportions. Domestic jurisdiction of the member states of the UN
which was assiduously made impregnable under article 2, clause 7 of the UN charter

34
has ceased to be so with UN forces deployed in over 40 nations for peace-keeping,
peace-making and peace-enforcing missions. Minority rights are high on the agenda of
international community. The fragmentation of polities into communities has created a
situation whereby minorities of the world are in a majority. It has challenged the traditional
barriers between domestic and foreign policy and nationalism and internationalism.

17.6 SUMMARY
Community identities are a major dilemma confronting today’s world. These identities
give rise to autonomist, separatist and secessionist movements which pose a direct
challenge to the existing nation-state system. Community identities are natural (by
birth), situational (depend on the time and situation), relational (depending on collective
consciousness or isolation) and contextual (depending on individual decisions) in nature.
Identity consciousness and conflicts have arisen due to colonial policies of divide and
rule, religious movements, construction of arbitrary and irrational borders by colonial
powers to suit their convenience, community leadership portraying situations as a threat
to the community, loss of autonomy of the small communities with rise of a modern
state leading to fear of assimilation, marginalisation and powerlessness. To overcome
these real or perceived threats, communities have developed strategies. This unit discusses
two major strategies—cultural resistance and armed struggle.

The increasing awareness and assertion of community identities has resulted in

unprecedented conflict and violence, re-demarcation of internal borders and has crossed
all national borders.

17.7 EXERCISES
1) Explain how communities construct their identity.
2. Define ‘community identities’. What are the causes of conflicts among various
communities?
3. What are the strategies adopted by communities to confront perceived or real threats
to their interests?

35
UNIT 18 ETHNIC MOVEMENTS
Structure
18.1 Introduction
18.2 Ethnonationalism
18.3 Factors Responsible for Ethnic Movements
18.3.1 Modernisation and Ethnicity
18.3.2 Political Economy
18.3.3 Relative Deprivation
18.3.4 Ethnicity and Resource Competition
18.3.5 Elite-Competition
18.3.6 Internal Colonialism
18.3.7 Cultural Deprivation
18.3.8 External Factors
18.4 Ethnic Movements
18.5 Strategies of Ethnic Movements
18.6 Summary
18.7 Exercises

18.1 INTRODUCTION
The overwhelming majority of societies today are multiethnic and multicultural. Out of
some 190 nation states listed in official sources, 150 such states have four or more
ethnic groups within their boundaries. Most of these are increasingly confronted with
minority groups demanding recognition of their identity and accommodation of their
cultural differences. In a survey of such groups, Ted Gurr in his study in 1993 singled
out 233 minority ethnic groups who are at “risk”. By this he meant groups that, in the
post-World War II period, have either taken political action on behalf of their collective
discrimination or both. Hence they are actually or potentially engaged in inter-ethnic
conflict. Of these 233 groups, only 27, or about 12 percent have no record of political
organisation, protest, rebellion or other form of intercommunal conflict since 1945. Gurr
also pointed out that, out of 127 countries in the world that he examined, 75 percent had
at least one, and many had more, highly politicised minorities. As such ethnic tensions
and movements have become a major source of violent and non-violent conflicts. If
around the world, so many multiethnic states are in trouble, it is obvious that there is
a need to understand the causes behind these movements and their nature and type. Such
an understanding can also help in looking for means and mechanisms for conflict
resolutions. A large number scholars the world over are undeertaking such studies. In
this unit we will have a look at these.

18.2 ETHNONATIONALISM
In the preceding unit you have already studied the meaning of ethnicity. The term has
some thing common with nation. As Walker Cannot writes, in its pristine sense a nation

36
refers to a group of people who believe that they are ancestrally related. It is the group
that can be aroused, stimulated to action, by appeals to common ancestors and to blood-
bond. In this context nationalism, as properly used, does not connote loyalty to the state;
that loyalty is properly termed patriotism. Nationalism connote loyalty to one’s nation,
one’s extended family. One can therefore speak of an English or Welsh nationalism but
not of a British one. Cannor, therefore, suggests that two loyalities represent two different
orders of things, loyalty to state is socio-political in nature, and is based in large part
on rational self-interest. Loyalty to nation is more intuitive than rational, and is predicated
upon a sense of consanguinity – common ancestry. Ethno national movements therefore,
are movements conducted in the name of the ethnic groups which have a sense of being
a national group.

Ethnic groups, which are also considered to be minorities, in states generally are of
three types. National minorities, Immigrant ethnic groups and Refugee groups. The
National minorities consist of the original inhabitants of the State. They might have
been incorporated into a larger state from earlier being self-governing groups at particular
time of history as a result of empire building, creating new states by colonial powers
or through process of integration through understandings or treaties. National minorities
can also be groups having come into existence as a result of founding of new religions
or conversions to a religion that had come from outside and in due course developed
a sense of its separate identity. Immigrant ethnic groups are those who had left their
national community and come to another state as individuals or families in search of
jobs etc. and in due course formed associations of immigrants of same culture or
religion. Refugee groups are similar to immigrant ethnic groups with only difference
that they had come to another state by fear of conditions in their own countries.
Studies have shown that generally it is the first type of ethnic groups which are involved
in ethnonationalism. It is more so with the groups which are concentrated in some part
of the territory of the state, which they consider as their homeland. Most states in the
world are not just multiethnic but multihomelands as well. With the principal exception
of a few immigrant societies such as Argentina, Australia and the United States, the land
masses of the world are divided into ethnic homeland, territories whose names reflect
a particular people. Catalonia, Croatia, England, Finland, Iboland, Ireland, Kurdistan,
Mizoland, Mongolia, Nagaland, Pakitunistan, Poland, Scotland, Swaziland, Sweden,
Tibet, Uzbekistan etc. are examples of homelands of ethnic groups.
To the people who have lent their name to the area, the homeland is much more than
a territory. The emotional attachment is reflected in such widely used descriptions as the
native land, the fatherland, this sacred soil, the ancestral land, this hallowed place, the
motherland, land of our fathers, and not the least the homeland, In the case of a homeland.
territory becomes intermeshed with notions of ancestry and family. The emotional
attachment to the homeland derives from perceptions of it has the cultural earth and,
very often, as the geographic cradle of the ethnonational group. Therefore it is for the
homeland that ethnonational groups demand greater autonomy or full independence.
However, it is not only the concentration of ethnic groups in specific territories that
causes ethnic movements. Territorial concentration provides homeland perception and
an easy manifestation for expression of grievances in nationalist language. Reasons for
the emergence of ethnic movements however are various.

37
18.3 FACTORS RESPONSIBLE FOR ETHNIC
MOVEMENTS
As has already been mentioned above, ethnic consciousness and conflicts are pervasive
around the world. Pakistan, the Soviet Union, Yugoslavia and Chezchoslovakia have
already been disintegrated. From Australian aboriginals to the Welsh, from the Armenians
to the Tamils from the Ainu to the Yanomani, the ethnics around the world are mobilizing
and engaging themselves in political action, sometimes in violent conflict and
confrontation, to establish their identities, to defend their rights and privileges, to present
their grievances and to ensure their survival. In fact many societies which were considered
models of integration before Second World War, have subsequently witnessed a series
of ethnic upheavals. The old paradigm that predicted that factors inherent in modernization
including economic development, urbanization, growing rates of literacy and education
as well as advancements in science and technology, would inevitably lead to the demice
of the role of ethnicity, religion or culture in politics, stands changed.

18.3.1 Modernisation and Ethnicity

In the operational sense, modernisation means the attainment of relatively higher levels
of variables, such as education, per capita income, urbanisation, political participation,
industrial employment, media participation, etc. As already stated, in early modernising
theory, ethnic identity referred to traditional obstacles which were supposed to disappear
in the course of development.

However, the experience of the last decades has shown that these theories of progressive
integration of peoples were seriously flawed. While, to begin with, there was such
developments and modernisation brought in uniformity but in the course of time, it
threw up its own contradictions and divergent elements, of which national minorities
were a principal expression, both in already developed and newly developing societies.

In advanced industrial societies, particularly, modernisation appears to lead to a personality

level void, which is also termed by some as alienation and by others simply as
rootlessness. In part, alienation may arise from the work situation, the impersonalisation
of a bureaucratised, formalised and urbanised existence within the framework of an
excessive centralised state power structure. The modern welfare state, in addition to its
role as protector has taken upon itself the role of a provider for its citizenry. Consequently,
there has been increasing state penetration in the civil society as well as centralisation
of initiatives and resources on the one hand and the rising expectations of the people
from the state on the other. The state has become responsible for the regulation of
practically all aspects of socio-economic life, and the visibility of the state’s regulatory
hand has made it the new focus and arena of operations and distributional conflicts.

This, Antony E. Alcock points out, has two effects. First, the more the governments
have intervened in the lives of their citizens, the more distant from them have they
become, since the less has been their need to heed. The bureaucratic apparatus of the
State stands between the individual citizen and the makers of the decision that govern
his life. His ability to influence those decisions has declined as swiftly as the capability

38
and authority of the government at whose knee he presses his suit. It should not be
surprising that so many people have begun to switch their loyalty from a seemingly
unresponsive national government to institutions which are more accessible or effective,
if these exist, or to call for them if they do not. This includes a return to traditional or
small group values. Of course ethnic identity here per se does not assume antagonistic
or incompatible traits, because it is a product of weakening ties in industrialised, urbanised
areas which has led to a sense of alienation that is self-directed and not other-directed.

In post-colonial societies the early nationalist leadership in its passion for modernisation
and nation-building, glossed over the ethnic differences which had their roots in the
processes of colonial rule, colonial emancipation and national mobilisation. The colonial
period had brought about a high degree of politico-territorial integration through an
efficient, centralised way, coercive machinery of the government. However it also helped
cultural and ethnic groups organise themselves politically. The nationalist movement
also mobilised ethnic groups, both strategically and ideologically. The notion of self-
determination, the prime mover of independence movements in the colonies, derived
from the concept of freedom as much as it did from the conception of nation as a
definable unit of a people with a common political “will” of forming a sovereign state
of their own. The urge and requirements of independence struggles demanded an answer
to the question “independence for whom”. Colonialism, at one stage, provided a solution
to the identity problem. It made available a ready basis for shared identity of various
peoples, the identity of exploited and subjugated people in search of all round self-
expression. But after independence various sectional groups sought due recognition.
Consequently, the post-colonial world order, engineered on the concept of supremacy
of the state, anchored on a superimposed nationalism, legitimised by secular or religious
ideologies and enforced by an extremely powerful bureaucracy is under great strain.

Thus modernisation, both in developed and developing societies, is inter alia a source
of aggravation of aggravating stratificational inequalities, alienation of the individual
and groups. The development of media, transportation, social enrolment and urbanisation
have not necessarily favoured a homogenisation of society. In fact these very elements
that were thought to objectively unify styles of living, have provided ethnic groups with
the means of subjectively recognising of themselves as conscious entities. Walker Connor
points out that the available evidence about the pattern of ethnic dissonance in the
world, at various levels of modernisation, indicates that material increase in social
communication and mobilisation intensifies cultural awareness and exacerbates inter-
ethnic conflict.

Modernisation theory also provides a clue to ethnic assertion in the present day world
in terms of “post-material values” competing with the material interests in the post-
Industrial societies. In this context some observers link the revival of ethnicity in the
modern era with the advance of science and the decline of religion. With the expansion
of the realm of the secular “Scientific State” and the erosion of the religious coloration
of the community people are confronted with the dilemma of rationality versus community
(religiosity), with the consequent necessity of choosing one over the other or somehow
managing a satisfactory integration. Ethnic historicism, in this, has arisen as an attempt
to solve this dilemma. The goal of ethnic historicism, it is suggested, is to revive the

39
ethnic community through a rediscovery and renewal of ethnic communal identity and
a reconstruction of mores and attitudes that had existed at some time in the past.
Particular reference is made to the role of secular intellectuals undergoing an “identity
crisis” who serve as the vanguard of an ethnic historicist revival.

However convincing this point of ethnicity providing a name and an identity in the
lonely crowd in the modern world of rapid social change may be, the fact remains that
no social process takes place in isolation of politico-economic factors. Therefore
modernisation does not explain the phenomenon in its totality. For that we have also to
look into economic and political explanations.

18.3.2 Political Economy

Political Economy has both liberal and Marxist interpretations. However within both
these schools there are differences with regard to emphasis or preference for one or the
other aspect of economic activity. One aspect of this is the factor of regional inequalities.
Several scholars have pointed out that modernisation and industrialisation in large,
multi-ethnic societies tend to proceed unevenly and often, if not always, tried to benefit
some ethnic group or some region of a country more than others. Watson, for instance
writes:

The post-1945 world has experienced it was unevenly distributed, not just socially but
in particular geographically. More broadly, the development or modernisation process
gave rise to spatially differentiated results. Where negative results coincided with a
national minority, the potential for a political movement was very likely to be activated,
it was noted that the grievances articulated by the minority nationalism were often to
do with economic and social disadvantage or exploitation.

In the post-colonial states of the third world, the situation is more complex. The economic
development paradigm had shown its ineffectiveness by the early seventies. Stavenhagen
points out that here the governing elite had modernised rapidly, but the large masses of
the population remained in a state of poverty. In fact, post-colonial capitalist development
produced large scale poverty by breaking up pre-capitalist modes of production and
forms of social organisation, furthering the market economy and one-crop agriculture,
uprooting people from their traditional villages, creating urban squalor and a growing
landless proletariat. As the third world economies became increasingly incorporated
into, and subordinated to, trans-national capitalism, internal polarisation and inequalities
increased between social classes and region. In other words the promisory note of
certainity of satisfying everybody’s desires becomes instrumental in escalating individual
wants and channelling into political processes excessive demands which it cannot expect
to satisfy. Arising out of inequalities and nonfulfilment of aspirations is also the feeling
of relative deprivation, which some observers suggest as a significant cause for ethno-
nationalism.

18.3.3 Relative Deprivation

Ted Robert Gurr in his classical study ‘Why Men Rebel’ refers to relative deprivation
as a gap between the expectations and perceived capabilities of a person vis-à-vis his

40
economic situation, political power and social status in relation to other. He, thus,
emphasises the psychological aspect of agitations which conforms to Lenin’s view that
it is the feeling of being exploited rather than the exploitation itself that makes a person
revolutionary. According to this theory it is not just the poorer regions that develop
nationalism. The rich regions may also be nationalist if they perceive relative deprivation
within the state in economic or political and/or cultural matters. Another aspect, as D.L.
Sheth points out, is that in the process of development some minorities have done better
than the majority. Those who have done well feel that they could do much better if only
their future was not tied with others in the structure of a single state. Those who feel
deprived also seek the same solution: to have their own state so that, once free of their
depriver, they can develop better.

Rothchild, speaking in the same vein maintains that politicised ethnic assertiveness
today appears to be the keenest among those who have been the least successful and
those who have been the most successful in meeting and achieving the norms, standards,
and values of the dominants in their several multi-ethnic states. The former resent at
their failure while the latter are resentful because their economic success is not reflected
in full social and political acceptance. Accordingly “ethno-politics” seeks to address two
sets of contradictions: the structural inequality of regions and groups, despite theoretically
equal development, and the failure of the state to implement the “normative promises”
which is its raisen d’etre. Given the complexity of modern life and the overlapping
groups which demand attention from the existing power structure, ethnicity appears to
be a rational organisational principle readily available to the political elite as well as
those who seek to replace it.

Ethnicity, accordingly represents an effort by the deprived groups (real or perceived) to

use a cultural mode for political and economic advancement or share. However, in many
instances, inequality in terms of power between two ethnic groups need not per se
invoke conflict. The preconditions for such conflict seem to be: (a) a socially mobilised
population; (b) the existence of symbolic past connoting its distinctiveness; (c) the
selection, standardisation and transmission of such symbol pools to the community by
the leadership; and (d) a reference group in relation to whom a sense of relative deprivation
(real or imaginary) is aggregated. In any case, in most of the cases, it is the middle class
which, finding the existing system detrimental to their interests as well as to their
prospects of development, wants to break the “status-quo”. Realising that it cannot be
done by them alone, they emphasise the problems facing the masses and formulate such
religious, ethnic, or regional slogans as may appeal to people of all classes in that
region. Some observers, therefore, think that ethnicity is being used primarily as an
instrument in “resource competition.”

18.3.4 Ethnicity and Resource Competition

Resource competition explanation is based on the belief that ethnic cleavage generally
acts as a façade for deeper socio-economic cleavages. To Rothchild, for instance,
politicised ethnicity is not the expression of some form of primordial attachments, but
rather an instrument in the struggle for power, directly linked to the process of
modernisation. Kellas point out that many examples show material and economic interests

41
at stake in ethnic politics and individuals seeking an advantage, usually by playing up
their ethnicity to secure scarce resources. Glazer and Moyanihan also suggest that one
of the striking characteristics of the present ethno national situation is indeed the extent
to which we find the ethnic groups denied in terms of interest, as an interest group.

Resources can be economic or political. Economic resource competition has dominated

the work of anthropologists employing the ecological model. Sociologists, who borrow
and extend this view have focused on both economic and political resource competition.
Negel, who calls resource competition “cultural materialism”, points out that this theory
also stresses the importance of technology and environment in determining the form and
substance of culture. It is argued that modernisation increases levels of competition for
jobs, housing and other valued resources among ethnic groups and that ethnic conflicts
and social movements based on ethnic (rather than some other) boundaries occur when
ethnic competition increases. Studies using this approach have found that ethnic party
support is much higher in developed, and industrial regions than in underdeveloped
ones. Development leads to a rise rather than a decline in ethnic mobilisation because
it provides resources to ethnic groups in the periphery, increasing their bargaining
position and organisational capacity for action. The literature on the class basis of ethnic
movements is also supportive of this theory, for it shows that movement activists tend
to be more educated, are more well to do, and have higher occupational status than
others among their ethnic groups.

18.3.5 Elite-Competition
Paul Brass says that ethnic identity and modern nationalism arise out of specific types
of interaction between the leaderships of centralising states and elite from non-dominant
ethnic groups, especially but not exclusively on the peripheries of these states. Elite
competition, thus, according to Brass, is the basic dynamic which precipitates ethnic
conflict under specific conditions which arise from the broader political and economic
environment rather than from the cultural values of ethnic groups in question. The
theory is consistent with the assumption that ethnic identity is itself a variable, rather
a final or given disposition. The cultural forms, values, and practices of ethnic groups
become political resources for elite in competition for political power and economic
advantage. They become symbols and referents for the identification of members of the
groups, which are called up in order to create a political identity more easily. Ethnic
communities are created and transformed by particular elite in modernising and in post-
industrial societies undergoing dramatic social change. In pre-industrial societies,
particularly, Brass suggests, the primary issue is not allocation of state resources, but
control of local communities, which is an issue both within ethnic groups and between
ethnic groups and external forces, including other ethnic groups and the state.

Donald Horowitz points out that by appealing to electorates in ethnic terms, by making
ethnic demands on government, and by bolstering the influence of ethnically chauvinist
elements within each group, parties that begin by merely mirroring ethnic divisions help
to deepen and extend them. He, however, also suggests that though the movement for
ethnic or cultural revival may begin at an elite level, it cannot end there. The alienated
intelligentsia may be anxious to rediscover its lost roots, but the very loss of those roots

42
disqualifies it from providing anything more than initial moral and perhaps financial
leadership for this search. For, the western-educated elite is likely to be ignorant of
customary religious practice, deficient in local historical knowledge, unread in local
literature, and perhaps not even fully competent in its own language. In the last analysis,
it is dependent on an indigenous intelligentsia to carry forward the rediscovery process.

18.3.6 Internal Colonialism

The essence of internal colonialism theory (first advanced by Latin American writers
within the broad gamut of dependency) is that the relationship between members of the
dominant or core community within a state and members of the minority or peripheral
communities are characterised by exploitation.

Writing in 1965, Casavoca maintained that internal colonialism corresponds to a structure

of social relations among culturally heterogeneous, distinct groups. A decade later,
taking the case of Ireland as his empirical universe, Michael Hechter maintained that
ethnic groups would be subjected to internal colonialism in their subjugation of the core
region. The main argument behind this contention is that the capital world economy and
imperialist state expansion have led to a differential distribution of state resources and
valued employment opportunities among ethnic groups. For Wallerstein, for instance,
the essence of the modern state is not its relative authority but its role as a distributor
of privileges and differentiation among ethnic groups. Similarly Hechter suggests that
the modern capitalist state is an upholder of a “cultural division of labour” that distributes
valued jobs and economic development unevenly in such a way that the core region of
the country controls the best jobs while the peripheral regions are dependent upon the
core and the ethnic groups that inhabit core regions are confined to the least skilled and
prestigious jobs. Thus, as under colonialism, resources and labour residing in geographical
peripheries were developed and entracted by a culturally alien, technologically and
organisationally superior dominating group, under internal colonialism, regionally
peripheral labour and resources are developed for the enrichment of centre groups and
interest. As a result ethnically distinct and economically disadvantaged peripheral
population mobilises itself in reaction to exploitation. Nagel points out that what we see
here is a culturally distinct group residing in a historically disadvantaged periphery, its
resources dwindling, labouring at the command of the centre. Given the convergence of
ethnicity and economic status in the stratification system, the salience of ethnic distinction
and awareness increases. The internal colonial model, thus, also challenges the
functionalist prediction of an inevitable decline in the salience of ethnicity with the
increase of cultural homogenisation of the population in step with industrialisation and
modernisation. Ethnicity becomes revitalised as a means by which the “periphery” may
break out of the bondage from the internal colonialism.

18.3.7 Cultural Deprivation

According to this view one of the significant inducements to ethnicity comes from the
feeling of insecurity among ethnic minorities of their fear from getting lost in the sea
of majority. This may be either because of the discrimination and oppression by the
majority, the state identifying itself with the majority, or the homogenisation process
arising out of modernisation leading to creation of synthetic state culture.

43
True, it is not easy to trace prejudices and discrimination empirically. In fact, it is
difficult even to define them. Nevertheless observers do accept that in the contemporary
world, the examples of ethnic groups discriminated against or oppressed in varying
degrees are too many. Leo Driedgere points out four types of discrimination by the
majority against minorities: differential treatment; prejudicial treatment, disadvantaging
treatment, and denial of desire. The first two types are attitudinal and the last two
behavioural discrimination.

The apprehensions of minority ethnic groups about loss of their cultural identity arise
from two sources. The first is the dominant majority, generally politically powerful also,
questioning the so-called privileges or rights of minority and attempting to impose its
own religious or cultural values as that of the whole society. It means religious or
cultural values as that of the whole society. It means making the political ideology of
the core group also the basis of nationalism in the state. This belief system naturally
results in strong pressures towards assimilation of the non-dominant groups.

The second arises from the ideology of the modern states to equate the state with the
nation. This modern centralised nation-state, even in formal democracies, thinks of
regions and local units as its subordinates and agents. Any challenge from them is
considered as anti-national and subversive of national unity. In the third world countries,
the regimes, particularly in their zeal for nation-building, pursue policies which penetrate
homogenising pressures. In some cases states refuse to recognise even the limited
traditional rights of minorities to religion, language and culture. This not only leads to
ethnic rivalry and conflict but also creates convulsions within the ethnic groups whereby
the traditional elite finds its authority increasingly challenged. Unfortunately in the
inter-and intra-ethnic rivalry or conflicts the state, rather than acting as an impartial
arbiter, assumes the role of sword arm of the predominant ethnic group. It now appears
that a considerable number of national minorities are no more ready to “go meekly to
their doom”. From the 1960s onwards, as Michael Watson points out, such refusal has
been strongly expressed in party and electoral assertions and at times violent assertion
of political and cultural demands, summed up in the need for self-determination (whether
requiring outright independence or a “home rule” type of autonomy).

The popularity of democracy provides additional impetus to such demands. For the
democratic expectation of self-government is as much opposed to internal colonialism
as it is to colonialism in the empires. Thus as democracy grows in political attractiveness
so also many ethnic groups mobilise themselves politically against the state of which
they are part, if they feel they are discriminated or dominated. It is thus suggested that
there has been a cultural resurgence among ethnic or linguistic groups who bear a loss
of identity due to increased social pressures from dominant modern society. Of late this
view has been accepted by many observers, though not as an exclusive cause. Even
Marxists have started taking note of it.

18.3.8 External Factors

According to some observers the spurt of ethnic conflict all over the world in recent
years owes its sustenance to external involvement and support. It is pointed out that the

44
use of a large number of small and medium weapons by the ethnic groups, the recurring
huge financial requirements for sustenance, and mass-media exposure to their point of
view cannot be explained except in terms of the involvement of external powers.

It is also suggested that because of failure of the often used instrument of foreign policy
the states have resorted to warfare through other means, i.e. support to ethnic groups
against the state or the state against the subnational groups. In a number of cases, since
the ethnic groups may straddle border, foreign intervention is built into the problem
from the start. Ethnic movements may also get support in moral and material forms
from expatriates belonging to the same ethnic group living in various parts of the world.
Apart from expatriates, support may also be provided by other ethnic groups for
ideological reasons, such as support to liberation movements. Whatever may be the
reasons for such a support, it is quite clear that external factor can only provide sustenance
and/or a moral boost to ethnicity. It cannot be in itself the main cause for its origin and
the existence. This arises from within the society and polity and has to be looked into
with reference to specific realities.

18.4 ETHNIC MOVEMENTS

Various explanations discussed above lay emphasis on one or the other reason for
ethnicity becoming a focus for political mobilisation. Most observers accept the fact that
no single theory or model can explain the phenomenon in all its aspects and in all types
of situations. Ethnic mobilisation may have multiple causes. Economic marginality is
certainly one of the root causes, and hence one of the theoretical explanations, of
regional and national conflicts but it is not by itself a sufficient basis for a general
theory of ethnicity or regionalism. Economic factors are, of course, fundamental to
theoretical explanations, but they are many sided and must be considered in their concrete
reality. Historical and political factors are most important, but these must also be
considered as concrete elements of specific historical development and of a specific
political system. Cultural factors can also develop in complex ways, both as a result of
political conflict and of ideological confrontation (linguistic conflicts, for example). But
even these must be considered in terms of their specific reality. Ethnic nationalism is
also a reflection of broader and deeper consensus in modern society, such as disquiet
at standardisation, an intensifying identity crisis, and growing general dissatisfaction
with government and the major parties. Hence, ideologically, ethno-nationalism offers
a combination of older themes related to the community, common inheritance and
culture along with newer ones relating to economic development and democratic control.
Also, it is important to note that motivating forces alone do not give rise to ethnic
movements. The degree to which ethnic groups have a well developed substructure of
various kinds of organisations and associations of their own which encapsulates them
and keeps them externally isolated from their potential opponents is also a necessary
determinant.

During the post-Second World War period, in general, in multi-ethnic societies, one
discerns two simultaneous and ongoing processes of nation-building: (a) the formation
of an inter-ethnic composite of a homogeneous national personality with a secular
outlook through the state apparatus, and (b) the transformation of an ethnic group in a

45
multi-ethnic society to an ethnic community of nations. While the former can be described
as the building of a state-centred nation, the latter can be described as an ethnic nation.
While the former comes somewhat closer to the usually accepted western interpretation
of the term nation state, the latter approximates the usage of the term sub-nation and the
Marxian usage of the term “nation” and “nationality” or ethno-social sub-division. If
development has not meant the inevitable demise of ethnic attachment, perhaps the
reason is that ethnicity is qualitatively different from what it was considered to be. It
appears to be more adaptive and resilient and less tradition-bound than many social
scientists have suggested. That is why ethnic conflict and movements today appear to
be a normal feature of developing as well as advanced industrial societies with varied
consequences for social and political processes.

Western Europe has recently faced renewed militancy by territorial and national minorities
in states that considered such problems as having been solved long ago. Such examples
are the Bretons and Corricans in France, the Scottish and Welsh in Great Britain, the
simmering linguistic conflict between the Flemish and the Wallcons in Belgium, the
conflict in Ulster between the Catholics and the Protestants, the Basque country in
Spain. The Quebec situation in Canada is delicate. In the U.S.A. which used to boast
of being the melting pot of nations, ethnicity has become a major focus for political
action. The large scale inflow of Hispanies, who do not take to the English language,
has started causing worry. Even the pervasive and compelling ideology of socialism
finds itself continually confronted by sub-nationalist demands for home rule. In addition
to what has happened in the U.S.S.R. and East Europe, in China, despite numerous legal
and institutional safeguards, many minority nationalities grudge the cultural and political
domination of the Han majority. In Tibet, for quite some time, the nationalist sentiment
has been openly expressed.

In the Arab world and Western Asia, religious and ethnic minorities (such as the Druese,
the Cophs, the Buluchs, and the Berbers) seek accommodation with the dominant culture;
others strive for self determination (such as Kurds, Saharouis, and Palestinians); still
others seek historical redress for ancient grievances. In Africa, recent history witnessed,
among other ethnic problems, a bloody civil war in Nigeria: massacres and persecution
of one ethnic group by another in Rwanda and Burundi; mass expulsion of Asians from
Uganda and Ghanians from Nigeria; ethnic-political struggles in Mozambique, Zimbabwe,
Zaire, Chad and Angola. There have been disastrous conflicts in the Horn of Africa. The
Latin American countries have failed to solve the internal problems – cultural and
psychological – which by encouraging chauvinistic nationalism have forestalled effective
nation-building. Recent events in South Asia suggest that this region with unique ethnic,
linguistic, religious diversity is rather too much prone to dangerous conflicts.

Thus in every system and regime, ethno-cultural resurgence has put to question the very
basis of nation-state and the concept of nationality. The last three decades of the twentieth
century have particularly been a period during which minority nationalist movements
have multiplied and flourished. It is estimated that more than 75 per cent of on going
major conflicts of today are due to ethnic considerations. As already mentioned, one of
the most important functions of cultural movements is to support ethnic boundary
maintenance or, more properly, boundary reconstruction. Typically, they attempt to

46
repair breaches in boundaries and prevent the loss of group members, especially elite
members. They infuse group identity with a new or revived cultural content that may
command greater allegiance or demarcate the lines between groups more clearly, reducing
the element of individual choice in identity. That cultural movements are employed to
effect, forestall, or reverse boundary changes is, of course, evidence that cultural practices
and institutions are not givens of ethnic identity but may actually follow from it.

18.5 STRATEGIES OF ETHNIC MOVEMENTS

We have seen above that Ethnic movements apart from concern for identity, are political,
economic and cultural manifestations of ethnic solidarity. In many cases ethnic group-
based activities seem to be rational responses on the part of individuals and groups to
contemporary situations encouraged in modern societies. The demands and goals of
ethnic movements differ from situation to situation. These range from simple demands
for protection of language or culture to complete autonomy or separation. Within these
the nature and language of education, the designation of holidays, the development of
cultural programmes and such other policy measures are issues of concern. As mentioned
earlier, particularly in modern systems, where public authority delves into many aspects
of life, culturally distinct groups may well aspire to control that authority in culturally
sensitive areas. These may be demands for establishment of federal systems, or more
powers to states in existing federal systems like being made by some groups in India,
or recognition of special status for state or province as is the case in Quebec, Canada.
In general ethnic demands are of four types:
a) for affirmative discrimination
b) for greater autonomy and unquestioned power
c) autonomy demand related to systematic change, and
d) secession
Similarly various ethnic movements use different techniques to attain their goals
Christopher Hewitt, having conducted a survey of a number of ethnic movements observes
that the strategies generally used are civil war, communal (ethnic) rioting and terrorism.
Civil War is marked by widespread conflict between highly organised and heavily
armed military units. There is either a struggle for control of the state, as in Zanzibar,
or the state fragments and its authority passes to ethnic factions who battle for territory,
as in Cyprus and Lebanon. This type of conflict, threatening a revolutionary transformation
of the pre-existing state, is clearly the most serious kind of ethnic conflict, leading to
very high death rates as well as widespread social disruption and property damage.

Communal rioting is of two types. The first involves clashes between civilian crowds
rather than between organised military units. The violence is spontaneous and the weapons
used are often home-made and primitive. Communal rioting, while it may involve
incursions into the other group’s areas, does not typically involve attempts to gain or
control territory such as occur in civil war situations. Nor is there any serious likelihood
that the government will be overthrown by this kind of violence. In this kind of communal
rioting there is a widespread willingness to attack members of the other community

47
simply because of their ethnic identity. Communal riots of this type occur in communally
sensitive societies though their severity varied considerably.
Another type of communal riot does not involve confrontations between rival crowds,
but rather clashes between soldiers or police and civilians of one ethnic community
together with some looting and property damage. Such confrontations have been
significant in the United States, Israel, and Northern Ireland.
Terrorism is defined as violence carried out by but highly organised groups. It includes
such acts as assassinations, bombings, and small-scale gunbattles. Although such acts
are often committed in association with other kinds of violence, terrorist campaigns of
any significance are not common. The activities of the Irish Republican Army and the
Protestant Loyalist groups have been responsible for the great majority of deaths in
Northern Ireland. Intermittent racial terrorism in the United States has had little social
impact and claimed only a handful of lives. In Canada the separatist “Front de Liberation
du Quebec” was responsible for a handful of kidnappings and bombings. In India
terrorist activities by ethnic movements had been used in North Eastern part of the
country and Jammu and Kashmir. A significant example of use of terrorism is by LTTE
in Sri Lanka.

18.6 SUMMARY
In this unit, we have seen that most countries in the world are populated by several
distinct ethnic groups and a number of them have experienced or are experiencing
ethnic movements of one or the other type. The problems involved in managing group
conflicts in multi-ethnic societies are multifarious and exceedingly complex. The growth
of the ethnic self assertion is in many ways a consequence of these managerial problems
and related developments. In many societies ethnicity has become the main base for
interest demands also. Among the possible causes generating ethnic movements are fear
of loss of identity, economic grievances, political grievances, political mobilisation by
elite etc. The most general complaint is that one community is denied its fair share of
economic and political power. The demands and goals of the ethnic movements range
from redressal of grievances by the State to those of complete autonomy or separation.
Similarly ethnic movements can take various shapes ranging from peaceful constitutional
protests to civil war, with ethnic or communal rioting and terrorism in between.

Whether in the shape of agitations for autonomy, movements for better politico-economic
structure, or struggle for separation, the phenomena of ethnicity is an intrinsic component
of the socio political realities of most of the multi-ethnic states in the world today. It
is becoming increasingly evident that in the post Second World War period both neo-
liberal and socialist claims have not been able to remove the ethno-national question
from the political agenda. Therefore the issue of how to cope with the complexities of
multi-ethnic states and ethnicity remains significant.

18.7 EXERCISES
1) What do you understand by Ethnonationalism?

48
2) Evaluate the processes Modernisation and Resource allocation as causes for the
emergence of Ethnic Movements.

3) Describe and assess the economic factors including internal colonialism as responsible
for ethnic movements.

4) Analyse the nature of ethnic movements and various strategies used by them.

5) Write an essay on Ethnic Movements in the age of modernisation.

49
UNIT 19 POLITICAL REGIMES
Structure
19.1 Introduction
19.2 General Characteristics of Political Regimes
19.3 Functioning of a Political Regime
19.4 Types of Political Regimes
19.4.1 Democratic Regimes
19.4.2 Totalitarian Regimes
19.4.3 Authoritarian Regimes
19.5 Evaluation of Political Regimes
19.6 Political Regimes: Similarities and Dissimilarities
19.7 Summary
19.8 Exercises

19.1 INTRODUCTION
We live in the world of nation-states. There are about 200 nation states in the world
today. Every state has a separate geographical boundary in which people live under their
own political regime. The term ‘regime’ is different from the term ‘system’. While
system implies major concepts, functions and structures, the term regime stands for
specific institutional arrangements, how relationships are arranged, patterned and organised
in a given society. The term political regime denotes the particular political institutional
arrangements: how political relationships are structured, and organised in a given society.
According to Roy Macridis, a renowned scholar of comparative politics, “a political
regime embodies the set of rules, procedures, and understandings that formulate the
relationship between the governors and the governed. In every political regime there are
a variety of political institutions—the legislature, the political party or parties, bureaucracy,
to mention a few—that perform the allotted tasks and roles involved in governance.”

People live in different types of political regimes in which various political institutions
play a great variety of roles and perform differently, although the institutions may carry
the same name label. Thus legislatures or political parties or bureaucracies play different
roles and perform differently in different regimes. Also each political regime is the
product of its own peculiar historical, cultural, economic or social and international
factors, which condition the political behaviour and the attitude of those who govern
and those who are governed. Regimes may also vary in their stability and legitimacy,
degree of institutionalisation, status of their development, and the kind of rules that
determine the relations between the governors and the governed. They differ “in the
organisation of political power, the forms of political participation, the organisation and
articulation of interests, and the configuration of political rights.”

For a comparative study of politics, it is essential that we develop some general concept
that will help us determine the similarities and differences to enable us to arrive at some

50
descriptive generalisations. Thus it is first necessary to establish a general theory or a
framework in terms of which we can identify similarities and differences, classify different
political regimes, and generalise about them, in order to understand our political universe.

19.2 GENERAL CHARACTERISTICS OF POLITICAL

REGIMES
It is difficult to arrive at a consensus on the general characteristics of all types of
political regimes as such. Different theorists identify different characteristics of political
regimes according to the ways they interpret the functions of political institutions or the
specific relationship between various functionaries. Thus for the systems theorist, “a
political regime denotes the particular ways and means in which these functions are
structured and patterned into institutions and procedures and of their specific
relationships.” According to them, as summarised by Macridis, a regime must:

1) Generate commonly shared goals and to do so, it must provide for socialisation, for
a common acceptance of the goals and the institutions through which these goals
are to be realised, i.e. the prevailing ideology.

2) Provide the mechanisms for decision making.

3) Establish mechanisms for articulation of interests and the aggregation of interests

that determine policy.

4) Provide for the ways and means whereby decision makers are selected, together
with the rules for their succession.

5) Maintain order by providing for effective controls against disruptive behaviour.

6) Be capable of self-preservation.

All political regimes try to perform these functions in different degrees through the
institutions they so constitute, and they are assessed in terms of their ability to perform
them.

19.3 FUNCTIONING OF A POLITICAL REGIME

The functioning of a political regime is characterised by four major interacting processes,
each one performed by different institution(s).
1) The Organisation of Command—in essence the state and its agencies, which is
often referred to as “the government”
2) The Organisation of consent
3) The Configuration of interests and
4) The Organisation of rights.
Let us discuss these processes in a greater detail to further analyse the concept of
political regime.
51
The Organisation of Command

As we know, politics and the study of political regimes is concerned with the exercise
of power, irrespective of why and how that power is exercised. We use the term state
to denote the existence of political power within a given territory. Long time back
Harold J. Laski, a noted British political scientist, has defined state as consisting of a
“relatively small number of persons who issue and execute orders, which affect a larger
number in whom they are themselves included: it is of the essence of character, that
within its allotted territory, all citizens are legally bound by those orders.”

Thus the state, as an association, is different from other associations in its purposes,
which are far wider and encompassing in scope than other associations, which is all-
inclusive and has awesome powers over the various components of the society. While
in a society one can move from one association to another or get out of it, it is extremely
difficult to get out of the state that one belongs to and most important, the state has the
monopoly of power and coercive force to secure compliance to its decisions, but at the
same time must secure the loyalty of the majority of its citizens to comply with its
citizens. As long as the majority of its citizens comply, the state can function with a
minimum use of force, but if the majority do not comply, then the state cannot even
exist.

The Formal Organs of Command

Despite their differences, all political regimes have similar formal command structure,
the executive branch is at the top, administration or bureaucracy subordinates it: the
legislature makes laws; and the judiciary applies the laws and settles disputes about the
law. They are also similar in the way that their relationships are arranged by a
Constitution—a written (in some cases unwritten also) set of rules that prescribes the
limits of power, the manner in which power will be used, and the responsibilities and
freedom of the citizens.

The Governing Elite

The study of command structure and the institutions and agencies operating within it is
not limited only to those officially appointed or elected. In many political regimes, the
decision makers, the officials are also part of the governing elite, which, “generally
consists of people with greater income or knowledge and skills, or status and political
influence, including those who occupy decision-making positions.” Industrial leaders,
managers, intellectuals, political leaders, religious leaders, representatives of major
interests and other groups and associations, doctors, lawyers, engineers—they all make
up elite. It must be remembered that in the study of political regimes, we always try to
link the command structure—the government with the elite.

19.4 TYPES OF POLITICAL REGIMES

Political regimes in modern times can be classified as: democratic regimes, totalitarian
regimes and authoritarian regimes.

52
19.4.1 Democratic Regimes
In a democratic society individuals are assumed to be free. Clearly defined and demarcated
“limitations” and “responsibilities” are the two key features to recount the essence of
a democratic regime. Limitations, both procedural (the manner in which the political
power is exercised) and substantial (rights, liberties, various structures etc.) serve as
checks on the powers and authority of the state. While limitations negate the state to
interfere in the activities of the individuals, responsibility demands certain definite and
positive actions on the part of the state and its involvement in various activities with a
view to further individuals’ well-being. All democratic regimes have a Constitution—
short or detailed, written or conventions-based. The Constitution establishes in various
ways the responsibility and accountability of the public functionaries to the citizens. It
clearly spells out the limitations and responsibility of the individuals’ rights, organisation
and structure of government, specific roles and powers which are assigned to the three
major organs of the government: executive, legislature and judiciary. Some Constitutions
make a mention of political parties, army and other consultative bodies too.

The nature of executive in a democracy can be either a presidential or parliamentary or

it may be a combination of the two. In a parliamentary form of democracy, legislature
enjoys supreme power to make laws, control the finances, and make appointment and
dismissal of the head of the government (Prime Minister and his Ministers). However,
in practice, the cabinet and the PM (and bureaucratic agencies) have emerged as quasi
–independent policy making bodies. The parliamentary regime is cabinet government,
whereby the leadership of the majority and its leader (Prime Minister) commands supreme
political power. The cabinet has acquired the totality of the executive power. The
cabinet also qualifies for the accountability, but for that the following five conditions
must be fulfilled as prescribed by Macridis.

1) The political parties must be well-disciplined; their members in Parliament must

vote as one. Cross-voting should be the exception.

2) The parties must be few in number, ideally only two. Parliamentary regimes with
more than two political parties cannot provide for a strong and stable cabinet
government since there will be no clear majority to support it.

3) The right of dissolution of parliament and holding a new election is explicitly and
unequivocally given to the Prime Minister with no strings attached.

4) It is generally expected that the winning party will have a majority and not a mere
plurality of the popular vote. If over a period of time a mere voters’ plurality is
translated into a comfortable parliamentary majority, the strength of the command
structure may become weakened. People will dispute its right to act as if it represented
the majority. This has been the case, increasingly, both in England and in the
Federal Republic of Germany.

5) Finally it is expected that neither one of the major parties will retain a majority over
a long period of time. In most parliamentary regimes the major parties, or party
blocs, alternate in office.

53
In the Presidential types of democracy the president is the head of the state as well as
the government. The Constitution of the US (the most notable example of Presidential
system of democracy), mentions the President of USA as the Commander-in-chief,
foreign policy negotiator, manager-in-Chief, party leader, spokesman of the public interest,
and broker of ideas and policies in the civil society. The President heads the
executive branch whith his own office, and is arranged by a personal staff, the White
office.

The nature and patterns of political regime in France (Fifth Republic, 1958) can be
described as semi-presidential and semi parliamentary regime. The French
president holds the supreme executive power in reality. Also there is a cabinet led by
him who conducts the policy of the nation and is responsible for it before the
parliament.

Participation and elections, two very fundamental premises of democracy, give the
people at large the instruments to determine the major policy guidelines and choose
their representatives accordingly; and enable to evaluate/judge, and on the basis of
performance of their representatives, decide whether to vote for them or not in the
general elections. General public participate in the state activities only by means of
letter-writing to the government or to the press, forming clubs, and voting in the elections.
A political party on the other hand is an association that activates and mobilises the
people; represents their interests, and provides a ground for a political leadership. The
functions of all political parties in the democratic regime have been summed up by
Macridis in the following manner:
1) They represent the views of societal groups and forces and organise and structure
participation and representation.
2) They advocate policies. Policies are embodied in the party programme, fora, or
manifesto
3) Democratic parties have concrete and often limited objectives as opposed to the
populist or utopian parties, which advocate a radical transformation of the society.
At the most, democratic parties aim to reform, not to transform.
4) In their activities, they tried to both belies the citizenry and to aggregate interests
and demands.
5) Most democratic parties aim at capturing and controlling the government, but in a
number of democratising regimes this is never possible because they can never win
the required majority. It is only by forming coalitions with parties they are able to
participate in the government or influence it directly.
6) They provide training for future leaders; they recruit men and women who are
interested in politics and can rise to positions of leadership.

In all democratic regimes the citizens have several rights and interests. In fact no other
feature than the presence of citizens’ rights and interests, distinguishes the democratic
regimes from the non-democratic ones.

54
19.4.2 Totalitarian Regimes
The essence of totalitarian regimes lies in the ideology. Ideology offers a set of
comprehensive propositions about the problems of society. General public is tightly
organised in the name of the ideology, with the goal of disseminating it and imposing
it. All totalitarian regimes are based on the single-party system. The totalitarian regimes
can be classified as the communist totalitarian regimes like erstwhile Soviet Union, and
other Eastern European countries and the Balkans (except Greece), Cuba, Vietnam,
Mongolia, Ethiopia, Angola and Mozambique, Nicaragua, etc. and the non-communist
totalitarian regimes like Nazi Germany and Fascist Italy.

Totalitarian and authoritarian regimes share many common characteristics. In both

authoritarian and totalitarian regimes political power is concentrated and the command
structure is not subject to the limitations and rules of responsibility that we find in
democratic regimes, the political leadership manipulates and controls consent, very little
or no attention is paid to the individual rights—usage of various methods to subordinate
and control interests and interests association, utilisation of force (police and other para-
military force) to ensure the control of public media.

Despite the above similarities some differences should also be understood between the
totalitarian and authoritarian regimes. Firstly, in totalitarian regimes the leadership
develops new institutions to bring societal forces under their control like economy, the
family, churches, universities and schools, and other cultural associations. In authoritarian
regimes, though controls and restrictions are also imposed, they hardly attempt to reshape
and restructure the society and the individual actors.

Secondly, the totalitarian governments tend to be highly ideological in the goals they
set forth, while authoritarian regimes do not develop the same all-encompassing official
ideology. With the use of ideology and the party, the totalitarian regime strives to
organise consent and to develop a broad consensus. A positive communication network
is built with people at large. Authoritative states do not attempt to build a consensus.
The emphasis is laid on obedience.

Thirdly, though both authoritarian and totalitarian regimes endeavour to institutionalise

the political organisations, totalitarian regimes often succeed in legitimising the authority.
Since institutionalisation is related to the levels of modernisation, authoritative states are
backward in the society and the economy than the totalitarian states.

19.4.3 Authoritarian Regimes

Nearly half of the political regimes in the world are based on authoritarianism. They can
be classified as personal regimes (Saudi Arabia), single-party regimes or outright personal
tyrannies, states and bureaucratic and military regimes. Before going into the nature of
the authoritarian regimes, let us first try to find out some causes as to why a society gets
transformed into an authoritarian regime.

Firstly, authoritarianism can be related to the nature of formation of a nation-state.

Sometimes, centralised control and repressive mechanisms tend to evolve with the view

55
to deal with the dissidents-ethnic, regional economic tribal and religious groups. In
some states, especially when they are insecure or weak, the rulers of the day show a
tendency to get authoritarian of course in the name of acquiring strength to deal with
the external forces and provide security to the nation.

Secondly the particular political culture of the country too plays a role in the emergence
of authoritarianism. Macridis opines that authoritarianism has developed in countries
where there has been the absence of the following values:

i) Where there is a highly unbalanced relationship between the civil society and the
state.

ii) Where the middle classes are weak and unable to form associational representative
parties or networks that limit the state.

iii) Where there is a hidden or inherent tendency toward statism or, to put the same idea
negatively, where restraints against the state are few and weak.

Thirdly, authoritarian regimes emerge when fast economic modernisation takes place. In
the process of modernisation, the traditional patterns of economic and social life get
disturbed and the aspirations and demands of the people are also heightened. Authoritarian
rule is often looked-for in order to curb social conflicts and tensions.

Features of Authoritarian Regimes

The following, according to Amos Perlmutter, are some of the important characteristics
of the authoritarian regimes.
1) The military is highly significant and influential in such states.
2) The level of popular participation is very low.
3) Rights especially political rights are either non-existent or nominal.
4) There is normally absence of any ideology to mobilise the masses.
5) While trying to subordinate societal and interest groups, authoritarian regimes do
not undertake restructuring of the society.
Types of the Authoritarian Regimes

There are four types of authoritarian regimes: (A) Tyrannies, (B) Dynastic regimes,
(C) Military regimes, and (D) Single-party regimes.

i) Tyrannies

In tyrannies, the political power is acquired and wielded by a tyrant in a personal and
absolute manner. The instruments of coercion are carefully developed through the police
and the army, to include prevention, repression and surveillance and intimidation. Though
usual services like maintenance of law and order, public health, transportation etc are
delivered in such regimes, the status of the army gets reduced as the personal guards
of the tyrant. In some cases, his guard consists of relatives or, more likely associates

56
who owe allegiance. Thus the tyrant is associated by such organisations as the army,
police, the intelligence services who later develop their own practices and become
somewhat autonomous in their functioning. Some political regimes in Latin America
and Africa since World War II, like Batista in Cuba, Somoza in Nicaragua, “Papa Doc”
Duvalier in Haiti, Emperor Bokassa in Central Africa, Idi Amin Dada in Uganda are
some of the examples of this type of political regime.

ii) Dynastic regimes

Dynastic regimes are different both from the monarchies and the tyrannies in the sense
that power is not acquired on the basis of force. In dynastic regimes political power is
shared by the king’s family. The Sultan of Brunei, after achieving independence, appointed
his family member to various posts. In dynastic regimes the power of the king is
tempered by immemorial customs, conventions, understandings and religious standards.
There is no distinction between the wealth of kingdom and the personal wealth of the
king. In other words, the wealth of the nation is the whim of the king. Another feature
of the dynastic ruler is the lack of people’s participation and representative institutions.
There are some countries like Morocco, which have evolved some form of parliamentary
government with the king actually manipulating the legislature and other bodies dealing
with decision-making. The dynastic kingdoms represent a peculiar combination of
traditionalism and wealth. But a change in the traditional values or a sudden fall in
income may destroy the source that gives dynastic rulers their support. Some
traditional Dynastic regimes like Nepal are in recent times turning into constitutional
monarchies.

iii) Military Regimes

Military government is the most common form of contemporary authoritarianism. The

reasons for military intervention into politics are two fold: Firstly, a strong and genuine
affinity between the officer corps, the governing elite, and the public at large about the
political norms, values and institutions of the political regime. The acceptance of civilian
rule and its institutions is internalised in the officer corps. Army intervention is considered
improper and unacceptable by everybody concerned: the government, the people, and,
most importantly, the officers themselves. Secondly, civilian governance has developed
roots that are so deep and legitimised that the prospects of a successful army intervention
appears very dim even to those among the military who may entertain the thought of
a military takeover (Roy C. Macridis, p.226). Especially in the developing countries
military intervention takes place in special circumstances like breakdown of political
process, counter-revolution, military aid, breakdown in succession.

Military rule can be either direct or indirect through military control, arbitration and
veto. Indirect military control ranging from arbitration to army veto is prevalent in some
pseudo-democratic countries where despite the constitution, regular elections, democratic
power structures, and other democratic processes, the military dictator controls and
influences the decision-making process. In this category of political regimes can be
mentioned countries like Argentina, Brazil, Peru, Bolivia, Uruguay, Guatemala, Colombia
etc.

57
iv) Single-Party Authoritarian Regime

Single party authoritarian regimes whether military or civilian exist in Syria, Iraq (before
the US military attack leading to Gulf War II in April 2003), Tunisia, Tanzania, Egypt,
Kenya and Mexico, where there is a rule of dominant party. In such regimes the single
political party is the only one of the organisations the regime establishes or allows in
order to maintain its rule and gain supports. Single parties are just support agencies to
the government. They provide only limited channels of popular participation; they are
manipulated by the power-holders to provide a countervailing force against other groups
or potential centres of power; after a period of flow, usually associated with a mobilising
phase to achieve national independence. Such regimes have failed to institutionalise
themselves in contrast to single parties in totalitarian regimes.

19.5 EVALUATION OF POLITICAL REGIMES

Thus we have seen that modern political regimes can be classified into three main
categories for the purpose of understanding and analysis: democratic regimes, authoritarian
and totalitarian regimes. On the basis of the above can be drawn some conclusions
regarding the strength and weaknesses of particular regimes. Firstly let us talk about
which regime is more durable and stable. There is nothing to affirm that democratic
regimes last longer than the authoritarian or totalitarian regimes. The communist
totalitarian regimes and authoritarian regimes show discernible durability. The Soviet
Union continued in existence for almost seventy years before it collapsed in early
1990s. China and Cuba are other examples to substantiate the above point. The period
of existence of the totalitarian regimes is much longer than that of some of the democratic
regimes like German Weimar Republic (12 years), Portugal or Spain (10-12 years). The
history of Algeria and Mexico also establish the durability of the authoritarian regimes,
but sooner or later they all eventually collapse.

Second issue is related to the question of adaptability. Every regime, like all other
institutions, must adapt itself to new realities of the society and make use of the openings.
Democratic regimes are found to be more adaptable as compared to the other two types.
Totalitarian and authoritarian regimes are less adaptable to the new conditions and
circumstances as both of them have a system of concentrated power-structure,
homogeneous and cohesive political power, and rigid official ideology.

Third parameter of comparison and evaluation can be the process of legitimisation in

a particular regime. Legitimisation means acceptance by the governed of the authority
of those who govern. It involves the process of participation, socialisation, representation,
political parties, and elections. The level of legitimisation is higher in the democratic
regime than the other two. In authoritarian regimes legitimisation is distorted as there
are uncertain consent and support. In such regimes, sole emphasis is on maintaining law
and order and hence no alternative voice is allowed. In totalitarian regimes, legitimisation
is the product of an ideology—communist or fascist. Roy C. Macridis says, “But we
have no way of testing legitimacy in totalitarian and authoritarian regimes except when
they collapse. If they do not, compliance should not be presumed to indicate acceptance
and legitimacy”.

58
Maintenance of civil order is another parameter of evaluation. Totalitarian and
authoritarian regimes perform far better than democracies in maintaining law and order.
In countries like Egypt and Algeria, or Chile either there are no strikes, demonstrations
etc or they are peaceful. In democracies, though demonstrations are peaceful, yet often
they resort to violence. Thus, as Macridis says, “authoritarian/ totalitarian regimes seem
to bask in the serenity of an orderly society while democracies seem to be constantly
on the brink of anarchy”. However, if we go in deeper analysis it is observed that while
in the democratic regimes there is more organised and collective violence, in authoritarian
or totalitarian regimes there is far more public violence in the form of coercive and
repressive practices by the state and its apparatus. It is worth recalling views of Harry
Eckstein, who argues, “But the persistent coercive repression of large social collectivities
surely denotes political failure of some sort; if it is reasonable to expect polities to
reduce private conflict, it is also reasonable to expect them not merely to displace it onto
the public level”.

The extent to which the governmental agencies reach the societal forces is another
consideration for evaluation. In democracies, the societal forces maintain their autonomy
and independence of thought and action. In totalitarian communist governments and
also in a number of authoritarian regimes, the economy, cultural and religious associations
are immune to governmental penetration. The democratic regimes are more responsive
to the demands of the public than the authoritarian and totalitarian ones and hence they
get greater support from the public.

19.6 POLITICAL REGIMES: SIMILARITIES AND

DISSIMILARITIES
There are points of convergence and divergence in the modern political regimes. Firstly,
in all three, the role and position of legislature has been incapacitated. Legislations are
enacted mainly on the initiative of the executive. The executive solely controls the
army, budget, and foreign policy. While in democracies it is just a platform for debates
and discussion, in the authoritarian and totalitarian regimes, even this role is missing.
Secondly, there has been a growth in the role, power and position of the executive in
all types of political regimes. The executive branch has grown in number and its scope
of activity has expanded. Thirdly, states in all regimes have become welfare states with
increasing role and intervention in the individual’s life. However there can be difference
in degrees. Fourthly, the role and influence of the military has grown, including the
democracies.

The differences between the democratic and authoritarian or totalitarian regimes lie in
the style in which the relationship between the society and state is structured. In
communist totalitarian states, the emphasis was on engaging societal forces into the
state and makes them conform. In democracies, the emphasis is always on separating
society from state. Coming to specific differences in matters of institutional trends we
find that in all democratic countries (whether unitary or federal) there is decentralisation
of decision making. Local and regional autonomy is emphasised. In those states where
the economy is nationalised, there is devolution of powers to the provincial units and

59
independence from the central government. Citizen participation is a reality in all the
democratic societies. There is a trend to strengthen judiciary to impose limitations on
the state and its agencies. Presence of cultural freedom also ascertains the concern of
the democratic regimes to the maintenance of cultural pluralism.

19.7 SUMMARY
A political regime embodies a set of rules, procedures and an understanding that formulate
the relationship between those who govern and the governed. A political regime should
have some commonly shared goals, mechanisms for decision-making, mechanisms for
articulation of interests that determine policy and means of selecting the decision makers.
It should also be capable of self-preservation. There are a variety of political regimes,
namely, democratic regimes, totalitarian regimes and authoritarian regimes.
Though we have a variety of political regimes with their respective plus and negative
points, none of them has been able to provide a perfect solution to the problems facing
present international society. None has been able to turn out prescriptions for promoting
international peace, or to check environmental degradation and create equitable distribution
of resources. All political regimes are faced with several challenges. In the communist
totalitarian states there were problems of individual freedom especially economic freedom.
Democratic regimes face a crisis of authority and participation, which is the product of
their open political structures and institutions. The authoritarian regimes face the problems
of legitimatisation, equitable distribution and allocation of resources and the rising
demands for political freedom. However most problems faced by the political regimes
today cannot be solved within the structure of a political regime. As Macridis observed
a few years ago, “Many problems transcend the confines of a single country, even very
large and powerful ones like the United States and the Soviet Union. Many problems
are worldwide in scope and cannot be packaged in a manner that makes a single state
capable of resolving any of them. Every political regime should be viewed as a building
block of large international edifice, but unless the blocks begin to fit, the task of
building a stable international political order remains beyond reach”.
Even democracies of today are facing lot more challenges than in the past—fighting
terrorism, adjusting to globalisation, adapting to fast sociological changes taking place
in their societies, etc. Thus they will have to work their systems much better than what
they do at present. That means making democratic decision-making effective, political
leaders embracing their responsibilities, set standards that are not only legal, but moral,
rebuilding of the political institutions and civic associations. Without this inner stuffing,
democracy will become an empty shell.

19.8 EXERCISES
1) Discuss the meaning of the term ‘political regime’. Examine the features of the
democratic regimes.
2) Examine the nature of totalitarian regimes and show how they are different from the
authoritarian regimes.
3) Discuss the challenges and problems being faced by various political regimes of the
world today.

60
UNIT 20 BUREAUCRACY
Structure
20.1 Introduction
20.2 Meaning of Bureaucracy
20.3 Weber’s Theory of Bureaucracy
20.3.1 Weber’s Authority System
20.3.2 Characteristics of Weber’s Model
20.3.3 Weber’s Critics
20.4 Marxist Views on Bureaucracy
20.5 Relationship between Political and Permanent Executives
20.6 Functions of Bureaucracy in Modern Times
20.7 Bureaucracy in Developing Countries
20.7.1 Nature of Bureaucracy in Developing Societies
20.7.2 Role of Bureaucracy in Developing Countries
20.8 Summary
20.9 Exercises

20.1 INTRODUCTION
In today’s world, it is almost impossible for anyone not to be confronted by
governmental agencies such as police, tax authorities, municipal authorities, authorities
dealing with public utilities like public transport, sanitation, supply of electricity, water
etc. several times a day within our normal daily activities. The realm of bureaucratic
authorities has considerably gained in size and importance owing to the enormous
horizon of the modern political regimes, which tends to encompass manifold activities
with a view to achieving goals in a more rational manner. No modern state can think
of surviving without the minimum support of the bureaucratic structures, as these agencies
are quite capable of achieving objectives in an extremely efficient manner for big
organisations.

Thus public bureaucracies—civil service, or other administrative agencies—dominate

modern societies and political regimes. These agencies comprising the members of the
executive branch below the chief political executive are normally responsible for
implementing public policies. There has been an increase in the size of government
bureaucracies over the last century or so as a result of the proliferation in the governmental
functions. In other words, the growth of the modern state and the demands of the social
and economic development have given rise to administrative structures and their
multiplication. These bureaucratic structures have assumed immense importance in view
of their technical, intellectual superiority and expertise against their amateur political
executives. Many scholars believe that only a society having legal-rational authority
structures would be capable of sustaining administrative structures of the bureaucratic
model (Dwight Waldo, 1953).

61
20.2 MEANING OF BUREAUCRACY
Bureaucracy commonly is used to refer to all agencies and structures involved in public
administration. Bureaucracy however refers to a particular way of organising such
agencies. Encyclopaedia Britannica defines bureaucracy as a professional corps of officials
organised in a pyramidal hierarchy and functioning under impersonal, uniform rules and
procedures to secure the goals of their organisations.

20.3 WEBER’S THEORY OF BUREAUCRACY

It goes to the credit of Max Weber, the German historian turned sociologist to give a
systematic theory of ‘bureaucracy’ – the patrimonial type prevalent in ‘traditional’ and
‘charismatic’ authority systems and the ideal model of ‘legal-rational’ bureaucracy of
legal rational authority systems of modern times. Max Weber was the first one to talk
about bureaucracy as a big improvement over the haphazard administration. His is not
merely the most oft-quoted theory of public administrative organisations, but also a
starting point for most social science researches on bureaucracy.

20.3.1 Weber’s Authority System

In his typology of authority systems, Weber, on the basis of its claim to legitimacy, has
classified authority as: (i) traditional authority, (ii) charismatic authority, and (iii) rational
authority. In the traditional authority, the basis of acceptance and legitimacy of the
authority is sacredness of the ruler and his orders. Under this system, personal contacts,
loyalties, kinship etc. influence the structure and decisions of the administration. In the
charismatic authority, charisma or the supernatural qualities of the ruler are the basis of
acceptance of the authority. Charisma is the gift from above where a leader himself
knows what to do. A charismatic leader contrasts with traditional leadership of a king
or modern rational leadership of an administrative or elected leader.

In the legal-rational system, the acceptance of authority is sought on the basis of the
rules, which are framed in an impersonal, impartial and rational manner. To Weber, a
bureaucracy is a particular type of administrative structure developed in association with
the rational-legal mode of authority. In his view, only traditional and rational-legal
authority relations are sufficiently stable to provide the basis for the formation of
permanent administrative structures.

Max Weber gave the concept of ideal type bureaucracy with structural and behavioural
features such as rationality, division of work and specialisation, hierarchical authority
system, merit based recruitment and promotion, distinction between position office and
its incumbent, between public and private, emphasis on written documents, office
procedures, rule-orientation, formalism etc. Bureaucracies are organised according to
the rational principles. Offices are ranked in a hierarchical order and their operations are
characterised by impersonal rules. Personnel are governed by systematic allocation of
duties and functions. Recruitment is done on the basis of the merit of the candidates,
or according to specialised qualifications rather than ascriptive criteria. This bureaucratic

62
coordination of the actions of large numbers of people has become the dominant structural
feature of modern forms of organisation. For Weber, bureaucracy is a type of
administrative organisation with above characteristics which once established will continue
because it is the most efficient, most rational form of organisation for exercising legitimate
authority (distinct from power) in a modern society. Since all modern states claim to be
‘legal-rational authority systems’ public administration is carried on everywhere through
a bureaucracy (civil service) modelled upon the Weberian ideal type. To Weber, a
bureaucracy is an administration based on discipline; and discipline is “nothing but the
consistently rationalised, methodically prepared and exact execution of the received
order”.

20.3.2 Characteristics of Weber’s Model

Weber’s model of bureaucracy has the following characteristics:
1) Specialisation and an elaborate division of labour
2) Hierarchy of positions
3) Technical competence as the chief criterion for recruitment and promotion
4) Written rules and regulations
5) Impersonality and
6) Formal, written communication.
Division of labour

The most fundamental feature of Weber’s theory of bureaucracy is a highly developed

division of labour and specialisation of functions. This is done by an explicit and
detailed definition of duties and responsibilities of each hierarchical unit. The allocation
of a limited number of tasks to each office operates according to the principle of fixed
jurisdictional areas that are determined by administrative regulations.

Authority structure

Unlike traditional authority structures, where the inferior-superior relationship tends to

be on personal grounds, inferior-superior relationships in bureaucratic organisation is
based on “rational” and impersonal regulation of authority. There is a definite distribution
of official duties in a fixed way. The authority to issue orders to carry out work is
strictly delimited by rules. Methodical provision is made for the regular and continuous
fulfilment of these duties and for the execution of the corresponding rights. Thus authority
is legitimised by administrative rules and the loyalty of the incumbent is aligned to an
impersonal order, to a superior position, not to the particular personage.

Position and role of the incumbent in a bureaucratic organisation

The role and status of the incumbent in a bureaucratic organisation is characterised by

the following features: selection and recruitment on the basis of formal qualifications
(diplomas, university degrees) that testify applicant’s necessary capability to accomplish
effectively his specialised duties rather than such considerations as family position or

63
political loyalties. His office is his sole occupation, ensuring stability and continuity, a
“life’s work.” It constitutes a “career.” In other words, positions in the bureaucratic
organisations are not offered on an honorary or short-term basis. There is normally an
elaborate system of promotion on the basis of the principles of seniority and achievement.
The system of remuneration is based on the status of his position rather than on his
productivity performance per se. There is a clear-cut separation between the private and
the public sphere of the bureaucrat’s life.

Rules that regulate the relations between organisational members

The presence of a system of control based on rational rules is the most important and
ubiquitous feature of bureaucracy. According to Max Weber, “Bureaucratic administration
means fundamentally the exercise of control on the basis of knowledge. It is this feature
which makes it specifically rational”. This stands in extreme contrast to the regulation
of all relationships through individual privileges and bestowal of favour, which is
dominant in patrimonial organisations, at least in so far as such relationships are not
fixed by sacred tradition.

Formal, written communication

The management of the modern office is based upon written documents. The officials
engaged in a ‘public’ office, along with the respective apparatus of material and the
files, constitute a ‘bureau.’

Weber has justified the rationale of the bureaucratic organisations in a democratic

regime. Firstly, there is the principle of “fixed and official jurisdictional areas”, which
ensures job rights to the employees. Secondly, bureaucracy has hierarchical supervision
that allows the governed the right to appeal to a higher level of authority with the “full”
type of bureaucracy. Weber states that an office manager receives expert training and
the official receives compensation for the services one renders to the organisation.

20.3.3 Weber’s Critics

Weber’s model of bureaucracy has met with a lot of criticism at the hands of behavioural
scholars. Among such scholars who also contributed to the studies of comparative
bureaucratic system, Robert Merton, Michael Crozier, Robert Michels, Monroe Berger,
Alfred Diamant, Ferrel Heady, and Robert Presthus are most prominent. The emphasis
in most of the writings on comparative bureaucracy appears to be on the interaction
between the administrative sub-system and the political system in which it (i.e., the
administrative sub-system) exists, although some attention has been paid to other
dimensions of administrative ecology. Let us examine some of the views of Weber’s
behavioural critics in some detail.

i) Robert Merton

The most general argument against such structures was developed by Robert Merton,
who argued that there is a tendency for “the rules to become more important than the
ends they were designed to serve, resulting in goal displacement and loss of organisational

64
effectiveness.” Robert K. Merton starts by telling us about the miracles of bureaucracy.
Merton is among the first sociologists to emphasise systematically dysfunctional aspects
of bureaucracy: redtapism and inefficiency. According to him, the preponderance of
rational rules and procedures brings about lack of flexibility. Procedural rules become
ends in themselves instead of simply means leading to “goal displacement”. Robert
Merton first identified this problem and applied the term to organisational preoccupation
with its rules and regulations to the point that managers keep the organisation from
meeting its goals. He said that in this system, “goal displacement” occurs as the
“instrumental and formalistic aspect of the bureaucratic role becomes more important
than the substantive one, the achievement of the main organisational goals”. According
to Merton, when one leaves the sphere of the ideal and studies a real organisation, one
can see that a certain bureaucratic characteristic can both promote and hinder
organisational efficiency; it can have both functional effects and dysfunctional effects.

ii) Michael Crozier

The French sociologist Michel Crozier’s study (Michael Crozier, The Bureaucratic
Phenomenon, 1963) of two French government agencies was another important step in
the analysis of organisational power and conflict. In Crozier’s analysis, the social structure
consists of highly cohesive occupational groups, each presenting a unified and rather
hostile front towards the others. Each group tends to manipulate the rules with a view
to promote its own privileges and rights.

iii) Robert Michels

Robert Michels, in his “iron law of oligarchy,” postulates that intensifying complexity
and bureaucratisation of modern organisations is leading to the concentration of power
at the top level, in the hands of a few who tend to rule in a dictatorial manner. He holds
the increasing size of modern organisations and the increasing complexity of the problems
responsible for this. The position of the topmost officials turns to be invincible. A few
can manoeuvre facts to use the communication network against any potential rival. In
the process of repeated performance of duties, specialised knowledge and skills are
acquired which add to his importance in the organisation. Once in control, the
organisational oligarchy always aims at the consolidation of its own position and tends
to sacrifice the general aims of the rank and file rather than its own, whenever any threat
occurs. This finally leads to societal oligarchy. If the organisational systems of such
voluntary organisations as trade unions and political parties cannot work democratically,
then the political institutions of the whole society are undermined at their very roots.
Indeed, a society dominated by large-scale oligarchic organisations eventually develops
an oligarchic political regime.

iv) Fred Riggs

Fred Riggs (1966) is one of the important western scholars who have found congruence
between the administrative behaviour of functionaries and notions of bureaucracy. He
identified Thailand as a bureaucratic polity in which Thai bureaucrats not only formulated
and implemented policies, but also acted as interest groups and at times assumed the
function of the legislature. He feels that the prismatic bureaucracy of Thailand represents

65
a transition between a traditional society in which roles are fused and a modern society
in which they are diffracted, and was characterised by the co-impingement of both
traditional and modern values. According to Riggs “Obviously in such a society, there
could be no separate doctrine or study of “public administration” any more than there
could be separate teachings on economics or religion. Religious ideas were embodied
in myths and teachings, which related to politics, administration and economics but not
per se - more realistically, they simply related to life.

20.4 MARXIST VIEWS ON BUREAUCRACY

Marxist writers view bureaucracy in their own perspective. Whereas Lenin and other
Soviet writers could not admit that bureaucracy had a permanent and “organic” position
in the Soviet system, other Marxists thought that it was at its centre and that it defined
more than anything else the very nature of the regime. From their point of view,
bureaucracy was not only a privileged oppressive group but a new exploiting class, a
class characterised by a new type of oligarchic regime that was neither socialist nor
capitalist and that was rapidly spreading both in the East and in the West. The first
systematic elaboration of this position was attempted by the Italian Marxist Bruno Rizzi
in The Bureaucratisation of the World (1939). For Rizzi, the Soviet bureaucracy
constituted a new ruling class that exploited the proletariat as much as the capitalists had
in the past. It differed from capitalism only in that the new type of domination was
based not on individual but on group ownership of the means of production. In fact, in
the Soviet system the means of production represented not “socialism” but “statism.”
They did not belong to the whole collectively but to the state and to the bureaucrats who
controlled it. In the last analysis, it was these bureaucrats—the technicians, directors,
and specialists holding key positions in the party and state administration—who exploited
the proletarians and stole the surplus value of work. According to Rizzi this new type
of regime, which he called bureaucratic collectivism, was not limited to the Soviet
Union. Similar tendencies could be discerned in fascist countries and even in the “welfare
state” type of capitalist democracies. The Yugoslav Communist Milovan Djilas in The
New Class (1957), a later criticism of the Yugoslav Socialist regime, used arguments
similar to Rizzi’s.

20.5 RELATIONSHIP BETWEEN POLITICAL AND

PERMANENT EXECUTIVES
Power is the most important variable in the study of the bureaucracy. The control of
bureaucracy by political leaders has lately diminished owing to the growth in the size
and discretionary powers of bureaucracies.

The relationship between the political leaders and bureaucracy is quite intricate and
complex, symbiotic as far as the formation and implementation of policies is concerned.
Bureaucratic guidance and support are crucial to the political leadership and bureaucrats
have many assets: their permanence, freedom from electoral worries, their knowledge
of the files, and their control of communication— which they can use to get their way
in encounters with politicians.

66
Weber himself argued that bureaucracy is essentially a directionless force which ‘is
easily made to work for anybody who knows how to gain control over it’, through the
device of changing the top officials. It is true that he doubted the capacity of political
leaders for directing the bureaucratic experts, and became extremely wary of political
leadership. His statement about the ‘over towering power’ of the experts was partly an
argument about the inevitable dominance of executive government over an elected
legislature under modern conditions. Thus Weber voiced anxieties about the control of
bureaucracy, which strike a very modern note, but Peter Self has argued, he did not
envisage the growth of administrative pluralism. Bureaucracy was left by his theory as
a judgement, which, because it was technically competent but politically neutral, would
necessarily be controlled from the top downwards.

Bureaucracies have always been judged against the standards of an effective organisation.
The combination and reconciliation of bureaucratic “efficiency” and democratic
“accountability” is another issue that Weber has addressed in his writings. Earlier the
scientific management school had assumed that bureaucracy could be made to work for
any organisational and instrumental efficiency of bureaucracy. Even human relations
school did question the role of political control.

However, Peter Self argues that Weberian concept has become outdated owing to the
following considerations. Firstly, the bureaucratic exercise of discretionary powers has
grown enormously. It is a fact that in modern government, bureaucracy has become
more and more involved with discretionary forms of intervention, arbitration and financial
support. Secondly, the political environment of modern bureaucracy is characterised by
the complex and variable political pressures rather than by the direct political leadership.
To add to this there has been rise and growth of more individualist or anti-authoritarian
attitudes among officials themselves, which weakens the discipline of hierarchical system.

The study of relationship between the bureaucracy and the politicians shows that there
is a general trend towards strengthening of bureaucracies vis-à-vis the political structures.
To generalise this is however not an easy task, in view of the fact that the specific
situation varies from country to country. In Britain, bureaucrats are recruited and trained
to show political sensitivity, their influence will, therefore, be interpretative. On the
other hand, French political system, being characterised by greater political instability
and the traditions of stronger political authority, makes excessive use of bureaucracy (or
technocracy). Bureaucratic power is concentrated in the two wings of the administrative
system: grands corps and the polytechnicians. Owing their broad based education, highly
elitist education, the bureaucrats are well equipped to exercise power.

Apparently, the bureaucracy occupies a relatively subordinate position vis-à-vis the

political executives in the USA. There is a system of appointment of political executives
on a very large scale at the wish of the President. However, these appointments are done
in a hasty manner. Moreover they are short tenured and temporary in nature and sometimes
the lack of party discipline and programmes make these appointees less significant in
the political system. Consequently, the permanent executives emerge more powerful
and influential.

67
20.6 FUNCTIONS OF BUREAUCRACY IN MODERN
TIMES
In modern democratic political regimes, bureaucracy is entrusted with the function to
implement the rules made by the legislature. Rule-implementation is considered to be
‘mechanical’ and a ‘quasi-automatic process’. However, according to Blondel, this view
is ‘oversimplified’ as administrators help their ministers to prepare the decisions as they
cannot draft all the rules and regulations without the help of the administrators. Hence,
the help rendered by the administrators to their ministers is of immense magnitude in
view of the fact that even rule-making has become a very complex function. The
political regimes are involved in the preparation of both short as well as long-term
socio-economic plans and policies. Thus it would be ironical to say that the administrators
just play a role in the implementation of the rules and programmes formulated by the
state from time to time, rather their contribution in the field of formulation of the rules,
policies, and programmes is immensely significant.

However, according to Blondel, even the process of implementation should not be

considered as “automatic and mechanical”. Rule implementation is also a decision
making process as the administrators have to choose one path from among various
alternatives available to them (J. Blondel).

Much of the administrative work is ‘managerial’ or ‘technical achievement’ in nature.

Technicians are specialists and their aim is the growth of the service and its achievements,
though not all bureaucracies have attained the similar level of specialisation and technical
expertise. For example, French civil service is involved more in technical development
than the British and the American bureaucracies. However, proliferation of public
functions has led to a greater emphasis on technicians in all states. Managerial demands
and the consequent increase in the numbers of specialists in positions of considerable
importance, the relationship between bureaucracy and government has taken a form
different from that which the theory of representative government anticipated.
Bureaucracy is not merely a technical instrument. It is also a social force with interests
and values of its own. As such, it has social consequences beyond its instrumental
achievements.

20.7 BUREAUCRACY IN DEVELOPING COUNTRIES

20.7.1 Nature of Bureaucracy in Developing Societies
In the emerging developing societies, bureaucracy has come to acquire the following
features.

Firstly, as state plays a key role in the process of development, bureaucracy has been
regarded as an important instrument for modernisation, growth and development. However
experiences in most third world shows that bureaucracy has not been able to deliver
goods as effectively as the theorists on bureaucracy had expected. On the other hand,
the structural and behavioural characteristics of Weber’s bureaucracy proved to be

68
instrumental in impeding development. Hence it has been attempted to recast and adapt
Weber’s construct of bureaucracy to the specific realities of developing societies. This
has led to the concept of development bureaucracy.

Secondly, unlike the developed countries there is less differentiation of functions in the
developing countries as a result of which the powers and importance of bureaucracy
crossed its legitimate limits. Fred Riggs argues that the development process involves
a clear-cut separation of spheres of activity, provision of separate structures for various
functions. There has been a proper coordination between bureaucracy and other political
structures.

Thirdly, appointments are done on the basis of merit, which is judged through a public
competitive examination comprising both written and personality tests. However the
intervention of primordial factors such as personal, caste, tribal, ethnic or religious
considerations is still a harsh reality. Favours are bestowed on the basis of non-merit
factors to those who qualify the written tests. Appointment to key posts is done mainly
on the non-merit considerations. Ethnic considerations have emerged as a strong basis
for public appointments. In some states like India there is a system of reservation of
seats to the members of most and other backward castes and classes in the matters of
public appointments. This is done with a view to make bureaucracy a representative
bureaucracy. Such practices tend to limit the ability of states to make effective rules for
the society. There is absence of uniform procedures regarding the selection and recruitment
of bureaucrats.

Fourthly, the politicisation of bureaucracy is another characteristic in the developing

countries. In India, the concept of “committed bureaucracy” was mooted by the then
Prime Minister Indira Gandhi in the late 1960s, implying that bureaucrats should be
committed to the party in power. However, because of a great public cry, Mrs. Gandhi
had to later revise her stance clarifying that what she wanted was commitment to the
basic law of the land rather than the government. But the fact is that there has been
erosion of the principle of bureaucratic neutrality in the country. The appointment to top
officials both at the centre and the states are done on the basis of personal and party
loyalty. The reshuffling and transfers of civil servants before and after the elections have
become a common phenomenon. The situation in African states is worse than the
situation in Asia. In Kenya, Tanzania, Zambia, Nigeria, and Uganda as the policy of
political mobilisation became an established feature of political systems, the political
parties felt it necessary to look for the support of the bureaucratic apparatus. As a result
of this, a variety of pattern of links between the political parties and the bureaucracy
came into play in these societies. Owing to these relationships, the bureaucracies in
these states seem to function in a subservient status vis-à-vis the office of the Presidency
within the framework of African socialist ideology and benevolent welfare capitalism.
The enmity between the political parties and the state bureaucracies have at times
become quite intensive, giving additional impetus to the office of Presidency and to the
institutionalisation of patrimonialism and personal rulership. Such phenomenon is present
in the Latin American countries too. However Botswana is an exception amongst the
African countries where the principle of neutrality is still the basis of relationship
between the politicians and the public servants.

69
Fifthly, another feature of bureaucracy in developing countries is the existence of rampant
corruption within its ranks. It has become so menacing that it is eating into the stability,
efficiency and effectiveness of public services. Not only small payments are offered to
lower level officials for expediting the work, but also huge sums in bribes and kickbacks
for facilitating higher financial and political interests. In Africa public officials are
legally permitted to engage themselves in private business, which only accentuates the
problem.

20.7.2 Role of Bureaucracy in Developing Countries

After the Second World War, these former colonies were to attempt a mammoth exercise
to bring about development in their respective societies. The goals of rapid economic
development were to be combined with the democratic political development.
Development meant nation-building, growth, equity, democracy, and stability and
autonomy. These countries had inherited a colonial bureaucracy. The characteristics of
colonial bureaucracy included centralisation of authority, hierarchical, generalist
administrators, neutrality. Such a bureaucracy was elitist, authoritarian, and paternalistic
in nature. Any organisation of such characteristics as colonial bureaucracy cannot be
effective in playing a role in the development process. Thus, generally, the rational legal
bureaucratic organisation prescribed by Max Weber, and constructed by the colonial
masters to carry out the task of policing and revenue collection, came to be doubted as
the effective tool for development.

However some scholars made a plea to these countries to attempt to strengthen the
centralised, efficient and strong bureaucracies, if they were to achieve the task of economic
and political development. In the words of Joseph La Palombara, a powerful bureaucracy
is said to be essential if one is to override the disintegrating influences of artificial
political boundaries, the competitive forces of familial and tribal structures, the difficulty
for organising and financing political parties, the low energy output of the population
and the tendency of the population to want to expend funds on consumer gadgets rather
than on capital formation. In developing states, powerful bureaucracies are simply
necessary evils that one must learn to tolerate, hoping for the best from a democratic
standpoint.

20.8 SUMMARY
From the above discussion, it can be concluded that despite the vehement criticism and
the dysfunctionalities with which bureaucracy suffers today, it has come to stay as a
vital institution of governance. No political regime of whatever nature and ideology can
do without it. Of course, there are considerable differences about the way the bureaucracy
functions and the kind of role it performs in different political regimes depending upon
the way its members are recruited, trained, and inducted in the political system. Its
specific role in governance would also depend upon the relationship with other political
institutions and the political leadership in the country concerned. In the past one decade,
the emergence of new public management movement in most countries has sought to
downsize the role and apparatus of bureaucracy in most political regimes; but nowhere

70
in the world has bureaucracy come to be completely abolished, which reinforces its
continued importance in shaping the activities of modern political regimes.

20.9 EXERCISES
1) Critically examine Max Weber’s ideal concept of bureaucracy.

2) Discuss the relationship between political executive and bureaucracy in democratic

political systems.

3) Examine the characteristic features and role of bureaucracy in developing societies.

71
UNIT 21 MILITARY IN POLITICS
Structure
21.1 Introduction
21.2 Military and Democratic Regimes
21.3 Causes of Military Intervention
21.3.1 Nature of the Military
21.3.2 Nature of Civil Society and Military Rule
21.4 Character and Characteristics of Military Regimes
21.5 History of Military Intervention in Politics: Some Case Studies
21.5.1 United States of America
21.5.2 Indonesia
21.5.3 Lebanon
21.5.4 South Korea
21.5.5 Thailand
21.5.6 Pakistan
21.5.7 Bangladesh
21.6 Withdrawal of Military from Politics and its Emerging Role
21.6.1 Withdrawal of Military from Politics
21.6.2 Emerging Role of the Military
21.7 Summary
21.8 Exercises

21.1 INTRODUCTION
The unit deals with the study of intervention of military into politics and in recent years
the signs of withdrawal from active politics. The relationship between military and civil
structures of a political regime has been a subject of intense academic discourse. The
participation of the military in politics is not seen as a positive phenomenon, as if the
other democratic institutions are weak or dysfunctional. The crucial question in the
relationship between armed forces and political systems is as to why some states are
dominated by their armed forces while some are not. But, according to Blondel, the
history of military intervention in politics shows that military men everywhere had the
tendency to intervene actively in the conduct of affairs of the state. It has been observed
that there was a tendency during 1960s and 1970s towards an active intervention of
military into politics in a number of countries. But by 1970s and 1980s there emerged
a trend towards withdrawal of military from politics in a number of Caribbean, Central
and South American, Asian, African, Mediterranean European and Middle eastern political
regimes. The reasons for withdrawal as highlighted by Samuel P Huntington are as
follows: the declining legitimacy of authoritarian systems, unprecedented global economic
growth of the 1960s, changes in the doctrine and activities of the Catholic Church and
transformation of national churches, changes in the policies of external actors toward
the promotion of human rights and democracy in other countries, snowballing enhanced
by new means of communication.

72
21.2 MILITARY AND DEMOCRATIC REGIMES
Constitutions and other forms of the law of the land in many countries do provide for
the role of the armed forces. Most of the democracies tend to clearly restrict their
missions for the military to the provision of national security as well as to other secondary
roles in case of emergency only. A number of states in Africa, Asia, and Latin America,
for example, have adopted legal structures which protect democracy by providing for
the right of presidents, the police, and military officers to exercise “extraordinary powers”
on a temporary basis, for the suspension of civil liberties, and for the armed forces to
play a specified role in defending (and, by definition, defining) the permanent interests
of the nation. The relationship between civil society and military in any democratic
society is determined on the basis of the following principles:

a) There should be a leadership of the civilian executive branch of government, which

is accountable to a popular majority through frequent and regular elections. Military
is subject to the control and supervision by all the three organs of the government.

b) The appointments of the personnel of the armed forces are done on behalf of the
civilian head of the state. Civilian leadership is superior to the military services and
departments. The professional military heads of the army, the navy and the air force
are subordinate to civilian departmental heads.

c) Elected legislative representatives of the people enact laws that define the defence
organisation and policies of the nation. The chief executive enforces these directives.

d) The judiciary prevents the military from compromising civil liberties, including
those of the members of the armed services

21.2 CAUSES OF MILITARY INTERVENTION

21.2.1 Nature of the Military
The reasons for the military intervention in politics are not far to seek. Firstly, military
intervention in active politics takes place owing to the basic dissatisfaction or ‘pessimism’
the military tends to entertain about civilian society and the high values it places on
order and discipline. Armed forces are known for their discipline, sense of duty. “If one
adds the fact that the army can contrast its own discipline and alleged sense of duty to
the selfishness and lack of effort they often see in civilian life – particularly among
politicians – and the critical fact that the army has the necessary weapons to overthrow
a regime and silence opposition, one can understand why members of the armed forces
have the mood to intervene in politics on a much broader plane than technicians and
managers of the public sector may have.” The lack of discipline of the civil service and
its laziness only add to the likelihood of military intervention.

The correlation between the level of professionalism in the military and its chances of
intervention into politics has been a subject of intense academic debate. Some writers
hold the view that military professionalism induced civilian control. Samuel P Huntington

73
[Soldier and the State, 1957] says that more professional the military personnel were in
terms of education, sophistication and specialisation, the more apolitical they were
likely to be. On the other hand we have scholars like Janowitz [The Political Soldier:
A Social and Political Portrait, 1960] who opine that the very professionalism enhanced
the chances of military’s involvement into politics, especially in those cases where the
civilian institutions were found to be locale or underdeveloped and civil culture lacking.
Blondel further says that the military will tend to intervene where the legitimacy of the
regime is low. The general discontent and dissatisfaction of the masses would lead
military to conclude that the system is unable to run the country properly and it is the
military that can provide a stable political system.

The armed forces are well placed to take advantage of the difficulties of their governments
and, because it does not require complete agreement within the army to take this action,
coups can take place when only a section of the forces utilises the army’s advantage.

21.3.2 Nature of the Civil Society and Military Rule

Military intervention in politics is dependent on the norms and values upheld by a
particular political regime. The military is unlikely to object to the liberal and democratic
norms while it may be inimical to the radical norms. Thus we find that in the nineteenth-
century Europe many regimes slowly became more liberal and democratic on the basis
of the maintenance of a monarchy to which the military remained loyal, rather than to
the new values. These regimes rested on “dual legitimacy” (e.g. the German Empire
after 1871), in which links between the military and the rest of the political system were
limited and tended to pass through the monarch. In some societies, the military is the
ultimate storehouse of effective deadly force. Militias, or police, to say nothing of
armed citizens, are seldom capable of sustaining direct resistance to an army whose
generals are determined to suppress that resistance. Countries whose other socio-political
institutions are ineffective (as in contemporary sub-Saharan Africa) or participate only
to a limited degree in the political culture (as in post-Independence Latin America) are
correspondingly susceptible to military intervention. In both of these regions, armies
which are seldom capable of waging war against external opponents have regularly
exercised formidable influence over political leaders afraid to challenge the generals
directly.

Appeasement in such a context frequently seems preferable to confrontation. The French

Republic in the late nineteenth century conceded a high degree of autonomy to its armed
forces in good part because of fear of the man on the white horse, epitomised by
General Georges Boulanger. Although his comic-opera attempt to seize the reins of
government in 1888-1889 ended in ridicule and he eventually committed suicide on the
grave of his mistress, a most astute, better-balanced candidate might have succeeded—
or, even in failing, might have destabilised the Republic and threatened its survival.

In most developing countries, military justified itself as a repository of more competent

and stronger leadership—in both protecting and governing the country owing to its
better establishment and better discipline. In Thailand for example, the military asserts
itself as “the protector of the nation.” The common justification used by one military

74
regime after another has been “national security.” When the military developed a high
level of professionalism and efficiency in the 1950s, considerably enabled by the U.S.
aid, the Army under Sarit assumed the role of “the protector of the nation” which
seemingly had limitless boundary. Entering the modern era, the military role expanded
outside conventional military affairs. Besides using national security and national
development as justifications, the military also cites the lack of legitimacy of civilian
governments whenever it chooses to intervene in politics. Characterised by corruptions
and personal rivalries, civilian governments are quoted to be generally short-lived and
vulnerable to military interruption.

The complexity of the political, social and economic system tends to decrease the
military intervention into politics. After the military overthrow of any regime, it is the
bureaucracy which has to take care of the complex problems of the regime, hence
military finds it constrained. Thus, we have examples of some charismatic military
leaders (Ayub Khan in Pakistan), who had played crucial roles in strengthening the
civilian institutions with the help of military. Force alone cannot sustain the authoritarian
system. In South Korea we find that strongest defense against Park, a military ruler, had
seen the high rate of economic growth achieved under his leadership. By 1978, however,
the growth rate had begun to decline and inflation had become a serious problem. Park
adopted a stabilisation plan to cool down the economy, but the plan caused a serious
recession, leading to a succession of bankruptcies and increased unemployment.

Crises tend to aggravate concerns about the faithfulness and devotion of armed forces
to the society. During the Great Depression, Franklin D. Roosevelt referred to army
chief of the staff Douglas MacArthur as one of the most dangerous men in America.
Although this fear had more to do with MacArthur’s showy personal style (which
antagonised many New Dealers) than with any demonstrable evidence that MacArthur
saw himself as a potential dictator, such concerns are not always imaginary. When
Germany’s newly established Weimar Republic faced endemic revolts by right-wing
paramilitary elements, Reichswehr Chief Hans von Keeckt declared himself the only
man in Germany who could make a successful performance and promised that he would
not do so. This reassurance was at best limited comfort to his civilian superiors.

Is the factor of socio-economic crisis sufficient to explain military intervention? However

a study of Thailand throws some other experience. When the Thai military, led by
Suchinda Kraprayoon, overthrew Chatichai’s government in early 1991, it was a surprise
to most political observers of Thailand. During a decade-long parliamentary democracy
since Prem’s administration in the 1980s, military coups were no longer thought to be
a means of power transition in the country like Thailand where the economy was robust.

To a significant degree, military roles in politics are limited by force of habit. But
should the stresses of war or domestic tension overstrain a system’s capacity to respond,
the possibility exists that even armed forces may regard themselves as called upon to
save state and people from themselves. During the American Civil War, General George
McCellan saw himself as called by destiny to restore the Union inspite of the presence
of Abraham Lincoln. Perhaps, however, the clearest case study of the military’s ability
to influence politics involves Japan in the 1930s. The state did not face crises threatening

75
to its existence. The Japanese leaders of the Meiji era (1868-1912) had operated in a
period when the masses were less politically conscious and authoritarian control was
more easily accepted. Hence, a small number of low-ranking army officers were able
to move their country toward an aggressive war by an explosive mixture of moral
conviction and simple assassination. Mao Tse-tung aphorism that political power grows
from the barrel of a gun remains an uncomfortable truth at century’s end—and a challenge
to governments and societies.

21.4 CHARACTER AND CHARACTERISTICS OF THE

MILITARY REGIME
The character of military regime depends upon the nature of control that the military has
over the democratic political structures. It can be from the tolerant, specific and short-
term forms of pressure on the state to the open overthrowing of the democratic institutions.
The military may either “supplant” the old regime and install itself in power or participate
in an operation that replaces one group of political leaders with another, occupying the
sidelines and playing a general role of arbiter. Finer categorises the various military
regimes into following five groups: open-direct rule, quasi-civilian direct rule, dual rule,
continuous indirect rule, and intermittent indirect rule.

Basically, the army either controls the state directly or acts as the essential tool in a
civilian regime. Depending upon the nature and degree of control, the military regimes
can be classfied as follows: Firstly, those states where the military has undertaken by
coups and runs the affairs of the state directly or by being transformed into a presidential
system where officers retain the balance of power (Egypt, Syria, Iraq, Algeria, Pakistan).
Secondly, the traditional states where the military is the main support of the dynastic
regime (Saudi-Arabia, Jordan, Morocco, Gulf States). Thirdly, the democratic states
where the military is clearly controlled by the civilian authorities (Turkey, Israel).
Presidential regimes headed by ex-military men who usually set up a one-party system
relying on the army for support with power concentrated in the president’s hands. The
army can act as a moderator, retaining the right to veto decisions it deems dangerous
to the national welfare, but not getting involved in running civilian affairs. It can also
act as a guardian, where it intervenes intermittently to put things in order, then returns
to the barracks. Finally it can set up a ruler regime where it intervenes directly, assumes
power, and runs the country indefinitely.

Military regimes can be best understood by contrasting them from the democratic form
of government. Democracy as a form of government has been defined in terms of
sources of authority for government, purposes served by government, and procedures
th
for constituting government. A 20 Century political system is defined as democratic
to the extent that its most powerful collective decision makers are selected through fair,
honest, and periodic elections in which candidates freely compete for votes and in
which virtually all the adult population is eligible to vote. Thus democratic regimes
have a common institutional core viz. competitive election in which the bulk of the
population participates, while the military-authoritarian regimes are defined simply by
the absence of this core.

76
Thus military interventions in politics are seen as anti-democratic and repressive. However
in the 1960s this perception tended to change and theories were presented viewing the
military as a progressive force that would accelerate social and political change and lead
third world states from “backwardness” to “modernity”. During the 1970s military
regimes stabilised and coups were on the wane. Military regimes initiated social and
political reforms and some regimes seemingly transformed themselves into civilian
governments. By the 1980s opinions had shifted towards a more critical view of military
achievements. Doubts arose as to whether it really enhanced cohesion, modernisation
and democratisation.

Military interventions are characterised by the excessive use of force. The nature of
military regimes encourages extreme reliance on force and suppression. Secret power-
struggles result in social tensions, radical shifts in state policies following change in
leadership, and a weakening of the professionalism of the military as a combatant force.
Peaceful and orderly succession of power, which is normal feature of democracy, is a
very important feature lacking in this system. Power usually centres on a small clan
close to the leader. Other potential power centres are eliminated. Particularism, patronage
and nepotism flourish. In spite of much rhetoric on national unity, the minorities are
often brutalised and old cleavages deepened.

Military adventurism is another feature of these regimes. A large proportion of national

resources have been diverted into unproductive military build-up rather than to improving
the lot of the poor.

The military promotes its own corporate self-interests by aligning itself with conservative
social forces. The military officers are challenged by the rise of new centres of power
businessmen, professionals, entrepreneurs, academics and technocrats.
Military forces even more than other bureaucracies are similar to authoritarian states in
their denial of the right or opportunity to dissent, in their demand for obedience and in
their use of reprisals against recalcitrant subjects. Hence military regimes cause
suppression of the rights, liberty and equalities of the citizens which democracy promises
and a reign of terror sets in. Functioning of media is also affected. All effective opposition
is excluded from the political system. Corruption, increase in size of bureaucracy and
inefficiency, stifling of the private sector, escape of capital abroad and a weakening
brain-drain have all been an aspect of military rule.
These regimes cause serious setbacks to nationalisation, agrarian reforms, industrialisation
and the control of the mushrooming state bureaucracy, which are key to the process of
development in developing nations.

21.5 HISTORY OF MILITARY INTERVENTION IN

POLITICS: CASE STUDIES
21.5.1 United States of America
In 1782, just after the Revolutionary War (1775-1781), certain officers who felt that
they had received inadequate pay for wartime services contemplated a military revolt

77
against the civilian government. But General George Washington refused to support a
military mutiny, calling instead for disbandment of the army and continuing loyalty to
the civilian government. The successful defense of the American colonies during the
colonial era strengthened local confidence that a militia or volunteers sufficed and that
a standing army was not necessary to ensure security. Colonial legislatures, which
possessed the power of the purse, proved effective in preserving control over military
matters and resisting the English Crown. These bodies became the principal exponents
of American ideas about the dangers of permanent military organisations, and they were
the main advocates of civilian constraints on the military.

Thus during the Revolution, civilian control of the military became an indispensable
attribute of liberty and therefore of democracy. In 1787, when the Constitutional
Convention met in Philadelphia, Pennsylvania, it devoted considerable attention and
devised some structural devices to guard against an unduly powerful central government:
President in dual roles of chief executive and commander-in-chief. During the civil war
Lincoln despite massive war efforts, was firm in preserving civilian control of the
military. Despite the remarkable expansion in the size and prestige of the armed forces,
civilian control was never relaxed during World War I or II. Although the wartime crisis
enhanced military participation in national planning and decision-making, military leaders
displayed no inclination to supplant appropriate civilian influence. What accounts for
the preservation and even the strengthening of civilian control of the military in the
United States?

Americans view the expansion of the military establishment as an unavoidable measure

to ensure the preservation of their freedoms. They perceive civilian control of the
military as an indispensable aspect of the democratic process they seek to preserve.
Civilian control of the armed services is an essential aspect of US governance.

21.5.2 Indonesia
In Indonesia there was a balance of power between the military and the Indonesian
Communist Party (PKI) until it was destroyed in 1965 when six of the most senior
members of the general staff were assassinated in a failed coup led by junior officers
under the leadership of the commander of the presidential guard. In the violent anti-
Communist backlash that followed, the PKI was destroyed as a political force. The
destruction of the PKI left the military as the unchallenged arbiter of Indonesian politics,
with Major General Suharto, commander of the strategic reserve and the chief organiser
of the opposition to the coup, sitting uneasily at the top of the power structure.

In 1958 power was formally transferred to Suharto at the General Session of the
Provisional Consultative Assembly. Then Golongan Karya, was established as the political
instrument of the New Order. The old Sukarnoist political party, the Indonesian National
Party (PNI), the Indonesian Socialist Party (PSI), and the Muslim parties were undermined
from within and forced to merge into two authorised parties, which evolved into the
Indonesian Democratic Party (PDI) and the Muslim United Development Party (PPP).
In the early years of the New Order, the army played a much more overt role in politics
than had previously been the case—so much more that some outside observers might

78
have confused the regime with a military dictatorship. Military officers held the key
positions in the cabinet and in the higher levels of the bureaucracy and were allocated
20 percent of the seats in the legislature.

Military support for Suharto in the period following the attempted coup was not
unconditional. Suharto’s consolidation of his personal power and his style of government
repeatedly brought him into conflict with his generals. Several of the officers who had
played key roles in helping Suharto seize power after September 30, 1965, later turned
against him. In the later stages of the New Order, the power of the military as an
autonomous political actor gradually eroded. During the latter part of his lengthy reign,
Suharto sought to outshine any independent power centres within the military. Frequent
command changes prevented the consolidation of power centres that could challenge
Suharto’s authority.

The military was an important actor in the backroom manoeuvres that went on in the
transition from Suharto to B. J. Habibie and from Habibie to Wahid, but it did not
intervene to force an outcome from the power struggles that played out on the streets
and in the MPR. During his first year in office, President Wahid concentrated on
asserting control over the military. General Wiranto was moved from armed forces
commander to the position of coordinating minister for political and security affairs,
which removed him from the military chain of command. Wahid’s deteriorating political
standing and loss of parliamentary support in the second half of 2000 also weakened his
hand vis-à-vis the military.

Military support was critical to Megawati’s peaceful ascension to the presidency. She
has established a much more harmonious relationship with the Tentara Nasional Indonesia
(TNI) leadership than her two predecessors had. Megawati’s political history would not
have suggested the development of a collaborative relationship with the TNI. As vice
president, Megawati took pains to cultivate the support of TNI leaders, reassuring them
of her commitment to Indonesia’s unity and territorial integrity. Several retired senior
military officers play key roles in Megawati’s government—all are associated with the
reform camp in the TNI (Susilo Bambang Yudhoyono, Agum Gumelar, Abdullah
Mahmud Hendropriyono, Hendropriyono to name a few), which helped to cement a
strong relationship between Megawati and the military.

Thus we find that with the fall of Suharto, TNI tended to retreat from its political role
by formally abandoning of its political functions. Under the new regimes, the military
is still regarded as having a sociopolitical function, but that function is no longer viewed
as being separate from defense.

The most visible symbol of a continued TNI role in the practical political affairs of the
country is the military’s bloc of seats in parliament. Until the mid-1990s, the military
held 100 seats in the House of People’s Representatives (DPR). After the fall of Suharto,
the military and police representation was reduced from 75 to 38 and was scheduled to
be phased out of the DPR and the regional parliaments by 2004, and out of the People’s
Consultative Assembly (MPR), which elects the president, no later than 2009, per MPR
Decree 7 of 2000. More recently, in the constitutional reforms of August 2002, the MPR

79
voted to move up the date of the phasing out of the military and police representation
in the MPR to 2004.

Though reduced in numbers, the military bloc operates under military instruction and
votes as a unit. Thus we find TNI leadership’s strong desire to remove itself from
practical politics. Another reform well underway is the TNI’s withdrawal from day-to-
day practical politics.

The new doctrine and changes in civil-military relations since the fall of Suharto make
it less likely that any president can co-opt the TNI for personal political gain. However,
although the military as an institution has removed itself from such unsavoury practices,
it is increasingly obvious that individuals within the armed forces continue to be involved
in political manipulation. Elements of the military, apparently acting in response to
bonds of personal loyalty and orders outside the institutional chain of command, have
been accused of involvement in all sorts of skullduggery throughout Indonesia. As in
cases of alleged civilian malpractice, however, conclusive evidence is seldom proffered
and impartial investigations are few and far between.

21.5.3 Lebanon
The Lebanese army had always maintained a neutral role in Lebanese politics since its
inception in 1958. Its function was to safeguard internal security and served as a police
force of last resort (may be during elections etc.). However during the period 1958-70
(Shihabist era), we find a tendency towards developing authoritarian power through the
intervention of the military, (particularly the Deuxième Bureau) in politics. But the
army tended to take an active role in politics, following Shihab’s elevation to the
presidency. The army ‘took the form of a political party’ or ‘constituted a military
government’ in civilian garb’. When Shihab assumed presidency, the administration of
the country was chaotic and in a state of breakdown. Shihab reorganised the administration
and made several advances in every branch of the bureaucracy on the one hand and
introduced scientific planning programmes and works and reorganised the Planning
Ministry. Despair at the country’s problems and distrusting politicians in the corrupt
political system, Shihab brought senior military officers, who had direct loyalty to him,
to key governmental positions. These selected officers acted as the President’s agents
within the bureaucracy and became his personal ‘political organisation’. The president
made use of it as a primary security force and as an instrument for carrying out his
programmes. It was through the Deuxième Bureau, an intelligence section of the army,
that the president managed the system and exerted his control in the bureaucracy.

21.5.4 South Korea

Until 1971 South Korea operated under the political framework it adopted in 1963. In
December 1971, Park again tightened his control over the country. He proclaimed a
national emergency and in 1972 he proclaimed martial law, dissolved the National
Assembly, closed all universities and colleges, imposed strict press censorship, and
suspended political activities. Within a few days he presented yusin, the new Constitution
to a national referendum. The 1972 constitution allowed Park to succeed himself
indefinitely, to appoint one-third of the National Assembly’s members, and to exercise

80
emergency powers at will. Having concentrated all power around him, Park suppressed
his opponents cruelly. KCIA agents abducted Kim Dae Jung, Park’s opponent in the
1971 presidential elections, from a hotel in Tokyo in August 1973, precipitating a major
crisis in South Korean-Japanese relations. Kim had been abroad after the election and
remained there after Park declared martial law, travelling between Japan and the United
States and conducting anti-Park activities. Students demonstrating against the yusin
constitution were summarily incarcerated. In March 1976, prominent political leaders,
including former President Yun and presidential candidate Kim, issued the Democratic
Declaration calling for the restoration of democracy. Park had them arrested and sentenced
to five to eight years in prison.

21.5.5 Thailand
The case of Thailand is very interesting in the sense that Thai military, led by Suchinda
Kraprayoon, overthrew Chatichai’s government in early 1991, in a country where the
economy was in good health and there are long traditions of long parliamentary democracy
since Prem’s administration in the 1980s. How can one explain this unexpected 1991
coup in Thailand?
A brief history of Thai military role in politics shows that since the 1932 revolution, by
which Thailand was brought under a constitutional monarchy, Thailand has mostly been
governed by a series of military rule. After a short period of Phahon’s military-dominated
government (1933-1938), the military dictators such as Phibun, Sarit, Thanom and
Praphat dominated politics from 1938 until the student uprising in 1973. Unlike their
predecessors, Phahon who attempted to implement the democratic aim of the 1932
revolution in cooperation with Pridi, these military rulers led increasingly to the
authoritarian rule. In the 1950s, while Phibun was still in power, Sarit emerged as the
real power figure. After Sarit died in 1963, Thanom and Praphat did not enjoy much
support from the palace the role of which was elevated greatly by Sarit from its
suppression during Phibun regime.
In Thailand, the military asserts itself as “the protector of the nation.” The common
justification used by one military regime after another has been “national security.” As
in most developing countries, better established and better-disciplined, Thai military
sees itself as a competent and strong leadership—in both protecting and governing the
country. Even though the military role in national development has already been initiated
since Sarit regime, it had not materialised until the late 1970s, when there appeared to
be a shift in attitudes of some military leaders. In the 1970s, when communist expansion
became threatening, national security was a legitimate justification for the military to
counter communist insurgencies in various rural areas.
Now of course military has returned to its barracks, yet, the fears of a complete return
will not completely go away unless genuine participatory democracy is achieved in
Thailand.

21.5.6 Pakistan
In Pakistan too, Army is instrumental in running the state affairs, which controls
everything, including all the national resources. The period from 1958 to 1969 was a
period of military dictatorship under the leadership of General Ayub Khan. While upto

81
1962 he ruled with the cooperation from the bureaucracy and army, in 1962 he introduced
a quasi-constitutional and civil regime in which, political parties were rejuvenated with
some restrictions. He introduced a system of basic democracy. The next landmark in the
political history of Pakistan was handing over the power to General Yahya Khan in
1969 when Yahya rule was a purely military rule in which no senior bureaucrats were
associated with it. General Yahya became the CMLA, and operated with the collective
leadership of army Generals. Yahya decided to hold general elections despite opposition
from some military generals. Legal Framework Order (LFO) was announced in March
1970, which provided among other things for the formation of National Assembly to
frame the Constitution. Elections were conducted and Sheikh Mujib emerged as the
leaders of the majority party. General Yahya announced the name of Mujib as the next
Prime Minister of Pakistan, but Bhutto, who had a desire to become the Prime Minister
himself (despite his not having a majority), did not agree to this. As nothing could
emerge from the democratic negotiations, the situation only deteriorated with the crisis
in East Pakistan paving way for the military crackdown on March 25, 1971. General Zia
ul-Huq declared martial law once again on July 5, 1977. His rule came to an end after
his sudden death in a plane crash. After a short span of democratic rule under Nawaz
Sharief, the military again intervened in Pakistan in 1999 in the form of coup under the
leadership of General Pervez Musharraf. Thus, the army has been causing frequent
interruptions in the democratic process in Pakistan. Musharraf’s martial law is the last
such attempt which derailed democratic process, the seeds of which had been sown by
the same army way back in 1954 with the imposition of first martial law in the country.

21.5.7 Bangladesh
Bangladesh entered the international society as a parliamentary democracy in 1971, but
soon it was changed to presidential form of demcoracy in 1972. The Constitution was
once more amended in 1973 and emergency was imposed in 1974. In 1975 one party
authoritarian rule was created. The killing of S. K. Mujib and the coup led by Khaled
Musharaf and the Sepoy Revolution of November 1975 brought General Zia-ur-Rahman
to power. Zia became CMLA in 1976 and took over as the President of Bangladesh in
1977. The next military takeover of political power was in 1982 when General H. M.
Ershad declared martial law, suspended th Constitution banned all political activites and
became the CMLA and later the President. His regime lasted until December 1990.

21.6 WITHDRAWAL OF MILITARY FROM POLITICS

AND ITS EMERGING ROLE
21.6.1 Withdrawal of Military from Politics
Presently in most countries, the military has acknowledged its shrunken channel to
political power. Nevertheless, whether it will withdraw completely from politics and
adopt Western-style professionalism remains a question.
Mention should also be made about the withdrawal of military from politics as an
offshoot of democratisation ripples across the world during the 1970s and 1980s. In a
large number of countries, military withdrew from active politics. We may consider the

82
case of Latin American countries. In 1979, 19 governments on the mainland—between
Tierra del Fuego at the tip of Argentina and the Rio Grande River on the Texas-Mexico
border—had military officers as heads of state. Today, there is none. In fact, the only
successful military coup in the Western hemisphere since the end of the Cold War took
place in Haiti, where also civilian rule was restored in 1994. Military governments such
as those in Nigeria and Burma, and military coups such as took place in Sierra Leone
in 1997, are the exception rather than the rule.
In addition, while economic goal is the nation’s top priority, the military faces more
constraints in expanding its role. Due to the higher level of education and modernisation,
coupled with the economy-oriented international environment, the government as well
as the military is more pressurised to respond to the popular demands. Socio-economic
progress has had an impact on the military’s decreased role in politics in the past
decade. Several factors such as the military’s historical involvements in politics, its
attitudes toward civilian governments and democracy, as well as the political culture are
to be taken into account in examining its persistent intervention.
In the post-cold war phase, especially in most western countries including USA there
has been a substantial shrinkage in military expenditures not only in countries like the
United States and the states of the former Soviet Union, but also in regimes like El
Salvador and Argentina, Ghana and South Africa, and India and Vietnam. These cuts
are largely the result of the changed security environment in the wake of the collapse
of the Soviet Union. With few exceptions, the era is now past in which large combat
forces need to be deployed at high states of combat readiness. Though downsizing in
the number of the military personnel has been taking place, still military is the largest,
most financed and, best organised institution in every country. Rather in recent years we
have seen an increasing importance of civil affairs in military operations other than war.
In view of the value of civil affairs, the staff, officers and planners of the conventional
forces are becoming increasingly involved in planning the civil dimensions to military
operations. For example, in Bosnia, the planning for military support to elections was
accomplished by operations and strategic and policies staffs, while our civil affairs
personnel served as critical links between military and civilian planners. While, US is
the first country to recognise the importance of the civil affairs, other countries including
United Kingdom, Republic of Korea, France and Germany are incorporating these types
of skills into their own militaries.
While the central role of the military forces continues to be to look after the national
security, military downsizing in the post-cold war phase has opened up new vistas and
new roles for the armed forces. These functions range from assisting local police forces
in maintaining internal order, to combating environmental deterioration, to providing
basic health and education services, to constructing highways and bridges. These functions
are in addition to the traditional secondary military function like providing emergency
food, shelter, medical care and security to victims of floods, storms, droughts, earthquakes
and civil disturbances.

21.6.2 Emerging Role of the Military

Today military is expected to participate in the peacekeeping operations, promoting
democracy or conflict resolution under the auspices of any international body. We have

83
US civil affairs personnel engaged in all sorts of activities not only within the domestic
limits but also outside too. Such activities include: humanitarian demining, roads and
schoolhouses are built, wells are dug, governments are stabilised, chaos and confusion
are diffused and order is re-established. By making a difference in the lives of the local
populace, these civil affairs personnel are helping to strengthen the goodwill of the
United States in the eyes of the world—clearly, our civil affairs forces are invaluable
diplomacy multipliers. There is a US civil affairs personnel team serving in Rwanda and
Namibia as part of humanitarian demining teams, acting as intermediaries with the host
country of Mali in a medical operation, working on small engineering projects such as
well-digging and road improvement in Belize, continuing to help plan for elections in
Bosnia, coordinating the allocation of humanitarian assistance flowing into Cambodia
and also assisting the government of Cambodia to establish an infrastructure capable of
providing necessary governmental services to its people, and working with non-
governmental agencies and private entities on civic action projects in Laos, where up
until a year ago, no U.S. military personnel had been permitted.

Samuel P. Huntington (The Third Wave, 1991) has talked about the phenomenon of
democratisation in the late 20th century. Categorising the history of democratisation
process into three different phases, he has mentioned three different waves of
democratisation: (1) first wave, 1828-1928, (democratisation in Western Europe, Australia,
Canada, Chile, Eastern and Central Europe); second wave (1943-1962), (democratisation
of West Germany, Austria, Italy, Japan, South Korea, India, Philippines, Israel, Nigeria
and Jamaica); and third wave beginning in 1974 (Portugal, Spain, Greece, fall of Berlin
wall and demise of communism in Europe in 1989 and disintegration of the USSR in
1991). Huntington lists following reasons for military regimes shifting to democracy:
the legitimacy dilemma, unprecedented economic growth, and change in the role of
revision, role of mass communication in promoting democratic culture and role of
external actors in supporting democratic political systems.

The most pressing factor leading to the downfall of military regimes is the international
pressures favouring democratisation.

The innovations in fast means of travel and communications also played a major role
in spreading the democratic tide across the world in less than a decade. The tele-
revolution played a major role in the fall of communism in the former USSR and
Eastern Europe. The success of democracy in Spain and Portugal had snowballing effect
on other liberal cultures. Similarly, Marcos’s downfall had demonstrating effects elsewhere
in Asia.

Establishment of democratic institutions and processes emerged as a pre-condition for

foreign-aid especially in erstwhile communist countries like Albania, Armenia,
Azerbaizan, Belarus, Bulgaria, Estonia, Georgia, Kazakhstan, Latvia, Lithuania, Moldavia,
Slovakia, Ukraine, etc. Hence, we find that in some countries, (the US and its allies)
have been instrumental in facilitating democratisation right since 1940s (in Austria,
Belgium, Greece, West Germany, Iceland, Italy, Netherlands, Norway, and
Luxembourg).

84
21.7 SUMMARY
The participation of military in politics is not seen as a positive phenomenon. It is
usually restricted to national security and for a secondary role in a nation in case of an
emergency. A number of countries experienced a tendency during the 1960s and 1970s
of direct military intervention especially in Latin American countries.

The reasons for military intervention are related to their professional nature. Dissatisfaction
with the lack of discipline and sense of duty which the military perceives in civilian life
could be a likely cause. Nature of civil society too is a cause. The military cites lack
of legitimacy of the civilian government and its own role as protector of the nation as
well as a socio-economic crisis in the country as cause for intervention.

We can give the characteristics of the military government as excessive use of force,
military adventurism, promotion of its own corporate self interest and hence suppression
of rights, liberty and equalities of citizens.

The spread of democratisation in the 1970s and 1980s led to the withdrawal of military
from politics. Today all nations give top priority to economic goals thus constraining
the military’s role. Higher levels of education and modernisation also put pressure on
the government to respond to popular demands. Although there is lower priority being
given to the military, it remains the largest, most financed and best organised institution
in all countries. Conventional forces are becoming more involved in giving a civil
dimension to military operations. Now military is expected to participate in peace keeping
operations, promoting democracy or conflict resolution through the auspices of an
international body. As long as the military fulfills its main duty of providing security
to the nation, its involvement in non-combatant roles can be seen as helpful for the
consolidation of democracy.

21.8 EXERCISES
1) Why are military interventions in the government not considered as legitimate?
2) Account for the withdrawal of military from active participation in politics in recent
years.
3) With the help of two case studies (of any two countries) explain military intervention
in politics.
4) What is the emerging role of the military in politics?

85
UNIT 22 FEDERALISM: PATTERNS AND TRENDS
Structure
22.1 Introduction
22.1.1 Dislocating the Agenda of Nation Building
22.2 Debating the Term and its Utility
22.3 Patterns of Federalism
22.3.1 Unions
22.3.2 Consociations
22.3.3 Confederations
22.3.4 Asymmetrical Federal Arrangements
22.3.5 Leagues
22.4 Structure and Typology of Federalism
22.4.1 Distribution of Powers
22.4.2 Allocation of Financial Resources
22.4.3 Principle of Bicameralism
22.4.4 Supremacy of Constitution
22.5 Summary
22.6 Exercises

22.1 INTRODUCTION
Over centuries and decades, federalism has been evolving through several experiences
of ruler vs. subjects, public vs. government, and constituent units vs. federal unit which
in common signify the necessity and importance of the human concern for widening the
space for ‘unity’ in diversity. It has been passing through difficult terrain of trial and
error, differences and conflicts, compromises and disagreements as well as tolerance
and denial in the volatile field of power and politics. Federalism, which succeeded in
most of the modern liberal democracies operational in modern societies, has now entered
a new phase of broader political integration whereby it is no longer constrained by rigid
notion of Austinian State sovereignty. Modern developments in transportation, social
communications, technology, globalisation and other modern means of interactions have
all contributed to such a paradigm shift in the modern world. On the other hand, the
Austinian sovereignty is held in high esteem in non-modern countries (dysfunctional
liberal polity with illiberal/non-liberal social bases), thus according primacy to territorial
unity over the need for acknowledging popular sovereignty and the viable projects for
nation building. However, the relevance of federalism has remarkably grown over the
years due to its inherent viability of institutional and operational mechanisms in forging
unity in diversity.

Federalism is one of the most important and dynamic aspects of discourse in the political
sphere of democratic governance and unity. It is basically intended to create and sustain
a united polity and coherent society in multicultural and diverse societal realities.
Federalism is not a descriptive but a normative term that advocates multi-layered

86
governments combining elements of self-rule and shared-rule. It is premised upon the
expectation and rationality of promoting unity in diversity by accommodating, preserving
and representing distinct identities within a larger political union. In the opinion of
Ronald L. Watts, the essence of federalism as a normative principle is the perpetuation
of both union and non-centralisation at the same time. In other words, federalism aims
at achieving some degree of political integration based on the wisdom of diversities to
compromise upon the common goal of sustaining unity. What we can call more
appropriately as the federal exercise of diversified territorial and non-territorial ethnic
groups to legitimise the principles of democratic governance.

Daniel J. Elazar looked into the rationality of political integration rooted in the principle
of self-rule and shared-rule. He says that political integration on a federal basis demands
a particular set of relationships, beginning with the relationship between the two faces
of politics, power and justice. On the one hand, politics deals with the organisation of
power, in the words of Harold Lasswell, with “who gets what, when and how.” Politics,
however, is simultaneously concerned with the pursuit of justice—with the building and
maintenance of good polity, however defined. All political life represents some interaction
of these two faces of politics, whereby the organisation and distribution of power are
informed by some particular conception of justice, whereas the pursuit of justice is
shaped (and limited) by the realities of power. In a limited form, federalism is generally
studied as the subject of the distribution and sharing of power but in its broadest sense
is presented as a form of justice with particular reference to autonomy and participatory
polity. Federalism is supposed to have the attributes of establishing rational and democratic
relationship between justice and power, thus retaining the great urge for unity along
with great respect for territorial and ethnic identities.

22.1.1 Dislocating the Agenda of Nation-Building

There have been quite disastrous results in many multicultural and bi-communal societies
which earlier had the experience of colonial rule or which adopted an alien system of
governance with the prime purpose of seeking equality and justice. It is not important
for any national leadership to simply borrow alien concepts and principles of managing
society and polity in pursuit of the free exercise of freedom. It seems rather more
important for them to look into the aspect of voluntary conformity and suitability of
political mechanisms for governing a society. One can take some fundamental objectives
such as constitution-making, state building and nation-building as the most unavoidable
tasked responsibilities for a multicultural nation and a multinational state. How far the
national leadership of post colonial or west-ward looking countries have looked to these
dimensions of national solidarity at the broader level?
The experiences have been reversed on this question where respective national leadership,
who claimed to represent masses and nationalities, adopted the principles of governance
and representation on a colour-blind premise. There are a number of cases where major
national group or community has been occupying all the privileges and incentives
created by the modern notions of power and politics by depriving and marginalising
other smaller national groups or communities which are generally referred as minorities.
As a result national leadership of some non-modern societies (which do not generally

87
accept this kind of sweeping remark and generalisation) have taken up the western
wisdom in the reformative (in some cases symbolic only) form to cater to the needs of
their multicultural societies. Some countries in Africa, Asia and Eastern Europe have
responded more positively unlike those who idealised modern schemes of governance
in non-modern societies. Therefore, it seems reasonable to also question the pre-conceived
rationality for example of protecting minorities under a federal-democratic polity.
But there has been very minimal attention to realities beyond institutions. They are
individuals, masses, communities or groups. The basic purpose of any political set up
is to seek strength from its social base where people, either homogeneous or multicultural,
matter at the beginning and the end. As per the available information and findings,
modern societies of Western Europe and Canada did take the interests of national
minorities and co-founders of the procedural republic who differed with national majority
section on ethnic factors (language, religion or culture based). The federal polity succeeded
in most of these modern societies mainly because of important factors of territoriality
and the indoctrination of liberal-contractual individualism. Most of them have national
minorities who have strong and impressive zonal existence which otherwise is not the
same in those countries where several religions, sects and races lived and cohabited for
centuries.

22.2 DEBATING THE TERM AND ITS UTILITY

The word—federalism as a political doctrine of political management has never been
free from its controversial interpretations. It seems to be eligible for both traditional and
modern societies as it exists in both. It is sometimes taken as exclusively liberal and
sometimes quite accommodative. On the one hand, federalism is focussed on the polity
of territorial unit. On the other, its logical territorial interpretation also implies the
greater need for its relevance to societal needs. Federalism seems to be comprehensive
and inclusive than it is generally described. The practical necessity of federalism requires
it to be socially viable and answerable. But the main problem is that it has been
described more as subject of liberal discourse. It is generally said and rightly so, as per
its historical growth has taken place, that federal principle and arrangements suit the
modern temper. As basically covenantal arrangements, they fit a civilisation governed
by contractual relationships.
The whole edifice of federalism is based on the liberal premise of modern society in
which individuality and civic community form the basis of compromise and relationship
among persons and groups for achieving highest form of political integration. Federalism
does not entertain traditional kind of group rights-based pluralism but rather post-
traditional pluralism. At the very initial stage, federalists argue that civil society has its
own origins in a covenant or compact and must be based on consent. Federal principles
grow out of the idea that free people can freely enter into lasting yet limited political
associations to achieve common ends and protect certain rights while preserving their
respective integrities. The federal idea rests on the principles that political and social
institutions and relationships are best established through covenants, compacts or other
contractual arrangements rather than, or in addition to, simply growing organically.
Therefore, federalism gave its impression of success of being territorial in political
prescription which better served the interests of modern societies. People having linguistic
88
and religious (mainly sectarian) homogeneity with territoriality were identified as sub-
national federal units which shared powers with federal government under the principles
of self rule and shared rule in Europe, USA, Canada, India and in other countries. But
federalism has not so far broadened its conceptual premise to include the interests of
dispersed minorities though its interpretations and explanations by scholars indicate
adequate space for minorities in polities.
It is the best efforts made in the respect of forging everlasting human relations that can
only be possible for them when they operate in liberal premise or in modern civic sense
of organising relations. This has been possible in those societies where communities
have produced individuals of society not unified but united on certain terms and conditions
for sharing powers and justice. Such a description is hardly to match with the experiences
of many societies where the base of relationships could not be made either at the
personal of group levels while stepping into a modern system of governance yielding
power and justice. But it does not mean that federal principles are meaningless for non-
modern societies or where consensus lacked in state and constitution building. This may
not be applicable in universal form but it is certainly very suggestive in following the
just pattern of relationship to share power and justice.
Even in the world of its origin, particularly since 19 th century, federalism has extended
its length of relevance from political to social. It deals with the proper relationships
among people as individuals, or in families and groups, as well as in their capacity as
citizens, whereby they relate to each other federally, that, is as partners respectful of
each other’s integrity while cooperating for the common good in every aspect of life,
not just in political realm. Federalism also emphasises the existence of essentially
permanent religious, ethnic, cultural or social groups around which political life must
be organised. Whether or not the polity is formally structured around those groups, they
serve as its pillars. So the federal principles of governance also provide an opportunity
to consider both citizenship rights and differential rights. It is another matter how do we
organise it in the context of the societal needs?
Most federal polities are not consciously informed by the idea of federalism as a social
phenomenon and tend either to ignore or reject it. The assessment of social dimension
is based on the degree of what can be termed consociational behaviour present in
apolitical polity. Under the essential territorial category, otherwise advocated by many,
of federalism, territory becomes the basis for political action. Every interest is located
in formally defined political territory which can gain some measure of expression more
or less proportional to its strength, simply by making use of the country’s political
mechanisms. Elazar says that territorial division of power can also be used to protect
minorities and minority communities by allowing them greater autonomy within their
own political jurisdictions. Thus it is very clear that federal territoriality does not mean
to deprive minorities within the territorial federal unit of their due rights in power-
sharing and federal commitment to justice.

22.3 PATTERNS OF FEDERALISM

Possibly one can take up the subject of the pattern of federalism at three levels—
‘internal crust’ (basic features), ‘broad spectrum’ of non-unitary forms of governance,

89
and country-specific pattern of federal polity. Meaningful study of federalism necessitates
efforts to look at federal political system (patterns) and political process (trends) which
are concerned with organising governing constitutionally in a certain way and then to
live up to the constitutional demands. In the earlier stages of the history of modern
federalism, structural considerations were not only primary but were also essentially, in
the words of Elazar, ‘the be-all and end-all” of the concern for federal arrangements. As
a result, the construction of adequate federal structural would result in functional
federalism. It is, therefore, important to find common structural characteristics of
federations as a specific form of federal political system, which can be identified to all
federal systems. Elazar found three most essential characteristics and operational
principles. They are written ‘constitution’, ‘noncentralisation’ and ‘areal division of
power.’ To him all constitutions follow one or another of five basic models: the
constitution as (1) frame of government and protector of rights; (2) code (which reflects
the reality of polities in which the character of the regime is sufficiently problematic for
changes in the authority, powers, or functions to require explicit consent); (3) revolutionary
manifesto or social character; (4) (tempered) political ideal; (5) modern adaptation of an
ancient traditional constitution.

Quite similar to above findings, Ronald Watts counts the following structural
characteristics: two orders of government each acting directly on their citizens; provision
for the designated representation of distinct regional views within the federal policy-
making institutions, usually provided by the particular form of the federal second chamber;
a supreme written constitution not unilaterally amendable; an umpire to rule on disputes
between governments; and processes and institutions to facilitate intergovernmental
collaboration for those areas where governmental responsibilities are shared or inevitably
overlap. Recent writings of Watts confirm the notion of two or more orders of government
combining elements of shared-rule for some purposes and regional self-rule for others
as “basic essence” of federalism. He further says that it is based on the objective of
“combining unity and diversity”: i.e. of accommodating, preserving and promoting
distinct identities within a larger political union. What basically distinguishes federations
from decentralised and confederal governance is that in unitary systems the governments
of the constituent units derive their authority from the central government, and in
confederations the central institutions are empowered by the constituent units. In a
federation, each layer of government is empowered by the constitution.

However, it is important to mention that some polities can be identified as hybrids

incorporating features of different political experiences. In some federations like Canada,
Malaysia, South Africa, India and Pakistan, the federal governments have overriding
powers over the constituent units. They have been labelled as quasi-federations on
different occasions of their development. On the other hand, predominantly federations
like Germany and Switzerland have confederal elements. Similarly, the European Union
which began as a modern European confederal arrangement is now entering in a decisive
phase of being a federation. In the modern and post-modern epochs federalism has
emerged as decisive means of accommodating diversities for their distinctive expressions
on the one hand and building united polities on the other.

Federal arrangements employ different ways for the application of federal principles. In
the words of Elazar, federalism can be considered a genus of political organisation of

90
which there are several species. Europe knew of only one federal arrangement,
confederation. Two centuries ago, the United States invented modern federalism and
added federation as a second form, one that was widely emulated in the nineteenth
century. He defines federation as a polity compounded of strong constituent entities and
a strong general government, each possessing powers delegated to it by the people and
empowered to deal directly with the citizenry in the exercise of those powers. Since
World War II, some new federal arrangements have developed and employed to pursue
federal principles of governance.

Federalism, as may be normatively understood as both political and social-cultural

phenomenon with the basic objective of securing unity in diversity, cannot overlook
several varieties of political arrangements deeply associated with the term federalism.
Elazar originally identified six varieties of federal arrangements in 1987 which later
became sixteen forms of autonomy or self-rule. Six include unions, consociations,
confederations, asymmetrical federal arrangements, leagues, local and non-governmental
federalism other than federations. Elazar identified three principal models of modern
federalism—the American system, the Swiss system, and the Canadian system.
Federations are compounded polities, combining strong constituent units and a strong
general government, each possessing powers delegated to it by the people through a
constitution, and each empowered to deal directly with the citizens in the exercise of its
legislative, administrative and economic powers, and each directly elected by the citizens.
Ronald Watts identifies 25 countries that meet the basic criteria of a federation.

Introduction of modern federalism to build the United States as a federation was basically
a new political arrangement as a supplementary alternative to Jacobinism and modern
nation-state which claimed that its combination of territory, government and public
should be considered exclusive, embracing a single united people and possessing a
common centre. Moreover, nation-state is supposed to be exclusive in their sovereign
powers which do not suit federal solution. The Americans, opposed to the sixteenth-
century European view of the sovereign state, found sovereignty vested in the people
who set limits on governmental authority. To Elazar, twenty-one additional states are
not formally federal but have, in some ways, incorporated federal arrangements, principles,
or practices into their political systems to accommodate the heterogeneity. They can be
grouped into three basic categories: legislative unions constitutionally decentralised
unitary systems, and consociational unions on a non-territorial basis. Technically unitary
states (like UK) differ from undiluted unitary systems (like France) because the former
uses federal arrangements to accommodate diversities within that union.

22.3.1 Unions
Unions are polities that were consciously and deliberately united or compounded out of
what were formerly separate identities either by consent or force in order to preserve
integrity of constituent units which in return respect their respective integrities exclusively
through the common organs of the general government rather than through dual
government structures. New Zealand and Lebanon are examples. Belgium, prior to
becoming a federation, had sound federal principles for the unity of Flemings and
Walloons. A legislative union can be defined as a compounded polity in which the

91
constituent units find their primary constitutional expression through common institutions.
The United Kingdom is a long-standing legislative union. It is a compound of four
countries and several offshore islands. Its polity is based on political arrangements that
guarantee Scotland its own local administration, law, church, and central bank; Wales,
a measure of cultural home rule and administrative autonomy; Ulster, home rule with
its own legislature; and the islands of Guernsey, Jersey, Man, and Sark off the British
coast, substantial constitutional autonomy in their internal government. Legislative unions
generally unite unequal polities.

22.3.2 Consociations
The constitutional decentralisation of unitary states, an ancient device, has appeared in
different forms. The Netherlands, union of original provinces, provides for considerable
devolution to the provinces and their municipalities. In decentralised unitary states,
local governments avail constitutional guarantees for considerable autonomy in some
areas, but local powers are guided by the central government. Consociations are non-
territorial federations in which polities are divided into permanent transgenerational
religious, cultural, ethnic or ideological groupings known as ‘camps’, ‘sectors’, ‘pillars’
federated together and jointly governed by coalitions of leaders. In other words,
consociations are federalised unions of ethnic (including tribal) groups that, though not
organised territorially, have acquired corporate characteristics of their own and secured
constitutional arrangements to preserve their respective integrities within a common
polity. Arend Lijphart, Gerhard Lembruch, and others have termed such polities
consociational, borrowing the term from Johannes Althusius. The Netherlands, Belgium,
Lebanon, and Cyprus (1960-63) can be called consociations. Consociational arrangements
seem to have a road-map for power-sharing.

22.3.3 Confederations
Confederations are built upon several pre-existing permanent national communities which
join together to form a common government for certain limited purposes (for foreign
affairs, defence or economic purposes). The common government is dependent upon
constituent states. Confederations disappeared during the modern epoch because
confederal schemes failed to mobilise political support to maintain themselves in an age
of exclusive nationalism. Confederations such as the Holy Roman Empire, the medieval
city leagues of Germany, Belgium, and Italy and the United Provinces of the Netherlands
either disintegrated or were constituted as consolidated states. Switzerland (during 1291-
1847) and the United States (1776-1789) were confederations. At present the European
Union represents as confederal body. Demise of confederal arrangements is rooted in
the idea of the nation-state possessing complete sovereignty and encompassing a single
nation.

22.3.4 Asymmetrical Federal Arrangements

Asymmetrical federal arrangements are sought for uniting smaller states with a larger
polity and they are premised upon the federal principles of internal autonomy and self-
government for the former. Such arrangements are sometimes known as free association

92
manifested in associated states, federacies and condominiums. The Netherlands Antilles
and the Netherlands and Puerto Rico and the United States are particularly good examples
of associated states and federacy, respectively. There are more than twenty such
arrangements. Associated states are similar to federacies, but they can be dissolved by
either of the units acting alone on prearranged terms established in the constituting
document or a treaty. The relationship between New Zealand and the Cook Islands is
an example. Condominiums are political units whose governance is shared with two or
more external political entities in such a way that the inhabitants have substantial internal
self-rule. Andorra functioned under the joint rule of France and Spain during 1278-
1993.

22.3.5 Leagues
Leagues represent a combined effort of entirely independent polities in some lasting
ways to be managed by common secretariat rather than a government. Members can
voluntarily withdraw from the league.

Local and non-governmental federalism is applied on the local plane and are growing
in number and scope. Federalism is here introduced as a solution to look into local
issues. The Canadian experiments, particularly in Ontario are good examples of the use
of federal principles and arrangements. The Indian experiment of strengthening local
rd
self-governments by enactment under 73 and 74th constitutional amendments can be
reasonably brought in the category of local federalism. This has been called as the third
tier of Indian federal polity but it is basically local federalism because it seeks political
integration ranging from metropolitan rural regions. However, it is open for debate and
discussion. Non-governmental associations are also organised along federal principles
in modern democratic countries. Labour unions and business, both public and private
are examples.

22.4 STRUCTURE AND TYPOLOGY OF FEDERALISM

Federalism is still a highly debated subject matter in different parts of the world because
of the lack of universality of structural and operational factors. This has been so due to
its origin and operational dynamics in different circumstances. The historical experiences
of a country in dealing with matters of distributive governance, autonomy and common
desire for co-existence, based on compromises and other factors basically determine the
structure and process of federal governance in that particular country. Similarly the
dynamics of operational reality and pattern of interaction between constitutional
institutions and societal build the federal edifice which may differ from country to
country. Most of the federations, which resulted through democratic means and practices,
have a common feature—desire for federal unity in general and constituent autonomy
in particular.

Elazar found federalism as much a matter of process as of structure, particularly if

process is broadly defined to include a political-cultural dimension as well. Watts says
that the specific form of allocation of the distribution of powers has varied relating to
the underlying degrees and kinds of common interests and diversity within the particular

93
society in question. Different geographical, demographic, historical, economic, security,
linguistic, cultural, intellectual and international factors and their relations have been
significant in contributing to the strength of the motives for union and for regional
identity and therefore affected distribution of powers in different federations.
Constitutional structural patterns of a federation are greatly affected by the working of
the government and fundamentally of society. Social forces and territorial identities thus
affect and influence operational aspects of federalism. The relationships between a
society, its constitution fabrics and processes are not static but involve continual mutual
interaction. Therefore, a federation becomes a subject of deep analysis of the interplay
of forces that affect each other and the finality of that political exercise.

Daniel J. Elazar, Ronald L. Watts, John Kincaid, Daniel Thurer, Wolf Linder, Thomas
Fleiner, Nicholas Haysom, and some other scholars have been concerned over the
impact of changing nature of the world, regional configurations, and domestic
transformations upon the evolution of federations. The first arises from the impact of
globalisation, which has been instrumental in the increased merging of domestic and
international policy issues. This has radically affected international relations and foreign
policies within federations. Constituent polities of federal governments are now frequently
involved directly both in trans-border arrangements with the constituent units in
neighbouring countries. A second major issue arises from the dynamics of multi-cultural
diversity, ethnic bargaining, internal tolerance and the frequency of multi-cultural conflicts
in federal societies. A third issue is about the appropriate assignment of responsibilities
and of the fiscal resources to different federal layers.

22.4.1 Distribution of Powers

The most fundamental characteristic of federations is the constitutional distribution of
powers between two or more orders of government. Several devices are therefore required
to maintain twin federal principles legitimising the scope of independence and inter-
dependence of federal government (common polity) and constituent polities, each have
a substantially complete set of governing institutions of their own with the right to
modify those institutions unilaterally. Both separate legislative and administrative
institutions are necessary. The main purpose of federal pattern is to enable each
government to operate within its area without dependence upon the other and to have
the structural wherewithal to cooperate freely with the other’s institutions. Thus the
structural pattern of federalism seriously assigns the task of the distribution of powers
in federations.

In Anglo-Saxon tradition, each order of government has generally been assigned executive
responsibilities in the same fields for which it has legislative powers. Classical examples
are the USA, Canada, and Australia. This pattern reinforces the autonomy of the legislative
bodies by assuring each government to implement its own legislation. In Canada and
Australia where the parliamentary executives are responsible to their legislatures, it is
only in legislative and executive jurisdiction that the legislature can exercise control
over the body executing its laws. In some federations, there are constitutionally mandated
provisions for dividing legislative and administrative powers between different layers of
government. They are to be distinguished from temporary delegations of legislative and

94
executive authority that also occur in many federations. Constituent polities in Switzerland,
Austria, Germany, India and Malaysia are constitutionally responsible for implementation
and administration of a wide range of federal legislation.

In most federations, federal governments have exclusive jurisdiction in the matters of

international relations, defence, the functioning of the economic and monetary union,
major taxing powers and inter-regional transportation. Constituent polities are assigned
with social affairs (including education, health services, social welfare, labour services),
maintenance of law, security and order, and local governments. Some matters like
foreign relations and finance have become areas of serious concern for constituent
polities which, in some federations, have asserted to play important role together with
federal governments.

In European federations like Switzerland, Austria and Germany, administrative

responsibility has not coincided with legislative authority. As a result, constituent
governments are constitutionally assigned the administration of many areas of federal
legislative authority. This enables the federal legislature to lay down considerable uniform
legislation to be applied by the constituents in ways that take account of varying regional
circumstances. The trend, however, has not been corresponding to the structural pattern.
Even in the Anglo-Saxon federations, federal governments have transferred substantial
responsibilities related to federal programmes to the constituent polities often by providing
financial assistance through grants-in-aid programmes. As a result, federal-constituent
sharing in the latter’s sphere. Differing trends are also found in Malaysia, India and also
in Belgium and Russia.

There are variations in the form of the distribution of legislative authority. In federations
like Canada, Switzerland and Belgium, most of the legislative powers rest either with
the federal or constituent polities. The fields of exclusive jurisdictions are more specifically
defined in Swiss and Belgium federations. On the other hand, exclusive jurisdictions
assigned to the federal governments of the USA and Australia are very much more
limited with most federal powers being identified as shared concurrent powers. In Austria,
Germany, India and Malaysia, there are fairly extensive categories of exclusive
jurisdictions and concurrent powers. By contrast to a wide concurrent jurisdiction in the
USA, India, Australia and Malaysia, only agriculture, immigration, old age pensions
and benefits, and export of non-renewable natural resources, forest products and electricity
energy are specified concurrent subjects in the Canadian constitution. The Canadian
exception can also be found in the concurrent area of old age pensions in which provincial
law would prevail in case of conflict with federal law. As a result Quebec has its own
pension system.

In most federations (like the USA, Switzerland, Australia, Austria, Germany, Belgium
and erstwhile Czechoslovakia) the residual powers, not mentioned in the constitution,
rest with the constituent polities which are created by a process of aggregating previously
separate polities. The residuary powers rest with the federal government in federations
which evolved through devolutionary efforts of the centralised system, like India, Canada
and Malaysia. The residuary powers become significant subject of attention when the
lists of legislative powers are not expansive. They are relatively insignificant in case of

95
federations like India, Malaysia and to a lesser extent Canada than in case of the USA,
Australia and Germany where constituent powers are enumerated but simply covered by
a substantial unspecified residual power. The trend in the latter’s case is directed towards
centralisation. In practice the courts read the maximum “implied powers” into the specified
federal authority at the expense of the scope of residual powers of the constituent
polities. In India, Malaysia and also Canada, extensive emergency and overriding powers
rest with the federal government to interfere into constituent matters.

22.4.2 Allocation of Financial Resources

Allocation of financial resources is one of the most crucial subjects of interests in
federalism. Constitutions of most of the federations specify the revenue-raising powers
of federal and constituent governments. The federal governments usually retain major
taxing powers such as customs, excise and corporate income taxes. In case of India and
Austria, personal income tax has remained exclusively federal. Federal and constituent
governments share sales and consumption taxes in most federations. Despite the tax
sharing factor, the federal governments seem to predominate because of the federal
power to prevail over the concurrent area and because of the limited revenue-raising
sources with the constituent polities. Besides, there are two important sources for raising
funds—public borrowing and profit of public corporations and enterprises. The distribution
of expenditure powers in each federation corresponds to the legislative and administrative
responsibilities of each government. Wherever, the administration of many federal
legislation is constitutionally assigned to the constituent polities as in Switzerland,
Austria, Germany, India and Malaysia, the constituents have broader expenditure
responsibilities. Spending power of governments in a federation is generally not restrained
by listed legislative and administrative jurisdiction. Federal governments have used
their general spending power in areas of exclusive constituent jurisdiction by providing
grants. As a result, they possess a “general” spending power, which normally become
contentious in intergovernmental relations. The constitutions of the USA, Canada and
Australia do not specify a general spending power but in case of India and Malaysia the
federal governments are clearly empowered to provide grants to the constituents.

Most federations have the arrangements for correcting vertical and horizontal financial
imbalances by making financial transfer from one level of government to another.
Besides the proportionality factor, conditional and non-conditional transfers also affect
the degree of constituents’ dependence. Federal transfers to the constituents, “golden
lead” as it is referred to in Germany, may undermine their autonomy in many regards.
Equalisation transfers scheme (for the remedy of regional disparities in wealth among
regions within a federation) are quite common among most federations except the USA,
but the scope of transfers has been greater in some such as Germany, Canada and
Australia than in others such as Switzerland. The equalisation scheme is based on
agreed formula in Switzerland, Canada, Germany, Austria, Malaysia, Belgium and Spain
than in India and Australia based on the recommendation of standing or periodic
commissions.

Federations have also developed institutions and processes to deal with imbalances. In
Federations characterised by a separation of executive and legislative powers within

96
each layer of government (the USA and Switzerland), the primary arena is federal
legislature to deal with imbalances than in other cases characterised by fused parliamentary
executives, where the primary arena has been that of executive federalism, i.e. negotiations
between the executives belonging to the two layers. The Federal government in India
and Australia play the main role in establishing expert commissions for determining
distributive formulae, which collect representations from the constituents. Malaysian
National Finance Council, composed of federal and constituent representatives, is the
second pattern. In Germany, Austria, Switzerland, Belgium and the USA, representatives
of the constituents in the federal legislature are involved in approving grants process to
the constituents. Canadian experience is the fourth pattern where equalisation formulae,
other tax transfers and tax agreements are determined by the federal government. Most
notably, India, Australia, Malaysia, Germany and Canada have come up with a variety
of intergovernmental councils, commissions and committees to facilitate adaptation of
the financial arrangements.

Entrusted with one of the important tasks of building relationships between governments
as being partners within a federation, most federal constitutions have developed some
means to facilitate extensive cooperation, and coordination. Informally they are carried
out through direct communications, between ministers, officials and representatives of
federal and constituent governments and formal institutions like standing and ad hoc
meetings involving ministers, legislators, officials and agencies of different governments.
A noteworthy feature is the prevalence of “executive federalism”, Canada, Australia,
Germany, India and Malaysia) i.e. the predominant role of governmental executives
(ministers and their officials), in intergovernmental relations in parliamentary federations
where first ministers and cabinet ministers responsible to their legislatures tend to
predominate within both layers of governments. In addition, there have been inter-
constituent relations, which are dealt with cross-boundary issues affecting neighbouring
constituents. Sometimes inter-constituent cooperative efforts have been extended to
cover all the constituents within a federation. This is referred to as “federalism without
Bern” in Switzerland and “federalism without Washington” in the USA.

22.4.3 Principle of Bicameralism

Most federations, except Ethiopia, the United Arab Emirates and Micronesia, have
adopted the principle of bi-cameralism, representing the federal second chamber for
equal representation of the constituents. However, there is enormous variation among
federations in the method of selection of members, the composition, and the powers of
the second chamber, and consequently its role. In Australia, the USA, and Switzerland,
the citizens of the constituent polities directly elect its members. They are indirectly
elected in Australia and India. In Germany, the members of the Bundesrat are delegates
of their Land cabinets, holding office in the federal second chamber ex-officio as members
of their Land executive and voting in the Bundesrat in a block on the instructions of
their Land governments. In Canada, members of the second chamber are appointed by
the federal Prime Minister and hold office until their retirement at 75. Malaysia, Belgium,
and Spain have a mixed membership through indirect elections and appointments. Where
there are parliamentary executives, the house that controls the executive inevitably has
more power, consequently limiting the role of the second chamber. This has raised

97
question over the effectiveness of the constituents within parliamentary federations,
except that of the Australian Senate and German Bundesrat. South Africa has adopted
the German model with some modifications.

22.4.4 Supremacy of Constitution

The supremacy of the constitution is also one of the most important aspects of federalism
for effective implementation in guiding the federal and constituent governments. Given
the dynamics of federal relations and complexities, the factor of inter-dependence,
competition and possible conflict, most federations have prepared themselves to resolve
conflicts through electoral or judicial means. Most federations rely upon the combination
of these processes. Electorates express and support their preferences by voting in periodic
elections at both layers in federations. In the case of Switzerland, the electorate can play
adjudicating role through legislative referendum. In addition to mandates, most federations
have relied on judiciary—Supreme Courts serving as final adjudicator in the USA,
Canada, Australia, India, Malaysia and Austria. Some federations like Spain, Germany
and Belgium have Constitutional Courts. The Swiss federal Tribunal may rule on the
validity of cantonal laws. However, there are some questions about the extent of
governmental influence on the court and its composition.

So far as the issue of the constitutional amendment is concerned, one has to look into
amending powers of the layers of the governments. Federalism requires balance between
rigidity and flexibility by providing different amendment procedures for different parts
of the constitution. The Canadian constitution has five different procedures for amendment
involving varying degree of rigidity. Both Houses of the federal legislature (of USA,
India, Malaysia by special majority, Switzerland and Canada by simple majority) are
generally engaged in the approval of amendments concerned with the distribution of
powers and integrity of the constituent governments. In addition such amendments
require either approval by a special majority of the constituent legislatures, as in the
case of the USA and Canada, or a majority of state legislatures as in India, or by
referendum requiring a double majority and majorities in a majority of constituent
governments in case of Switzerland and Australia. In the case of Malaysia, major
amendments affecting the Borneo constituents require their concurrence.

As it was pointed out earlier the interplay between the federal structures and societal
forces determine trends in federal polities which can be observed in modern societies
pursuing regional autonomy and inclusion of minorities. The structures can be decisive
elements of enforcement in statist paradigm pursuing nation-states. But the federal
notion itself is in conflict with the location of sovereignty in nation-states. Trend has
been quite disturbing in countries where communities, better expressed as minorities
and majorities, have remained attached to their group consciousness, thus historical in
their character and manifestations. Unlike the modern societies, the individualist paradigm
remained infertile in the historical societies, thus identifying them as countries of people
rather than of individuals and public.

Two examples can be taken under this category—Nigeria and India. The former has a
more positive trend because of its federal farsightedness in terms of consociational

98
management of the polity. The latter has approached consociational approach in dealing
with the State of Jammu and Kashmir together with some special rights to tribal dominated
states and sub-state regions. But the sizeable minorities particularly are not only
marginalised but the soft victims of prejudiced forces operating at different levels in
violent and normal situations. For example, the federal autonomy to the state (take the
case of Gujarat and many more earlier) enshrined in the Indian Constitution, which
resisted any kind of intervention from the Union, failed completely to save the lives,
properties and the rights of minorities (guaranteed under provisions of the Fundamental
Rights, Indian Penal Code and Criminal Procedure Code, Service Rules and instructions
of the National Human Rights Commission). Therefore, Indian federalism could not
qualify the test of creating a non-majoritarian and compounded democracy to ensure
even security to the individuals belonging to minorities. Moreover, there is strong tendency
of centralisation in Indian federalism.

Therefore, the trend of federalism in historical societies is different from their modern
counterparts. That trend is largely influenced by the vision and constructive efforts of
governmental and non-governmental structures and processes, which are the results of
cooperative efforts among individuals belonging to different groups and regions. Examples
are the more achievements and fewer failures of the American, Australian, Canadian,
Austrian, Belgian, Swiss and German federalism. Their respective internal tolerance and
solidarity in their democratic exercise of powers of multicultural societies are now being
influenced positively by the forces of globalisation and technological advancements. As
a result, they were united in their efforts in taking up issues of federal solutions and
federalisation like their active role in Bosnia Herzegovina, and building a united single
Europe.

In other words, their federal efforts and political initiatives have finally shifted towards
federalism which originally evolved from confederal arrangements. Even a non-federal
country like Italy adopted regionalism kind of federal solution in of its areas. In Italy,
five ethnic minorities were given special status regions in Valle d’ Aosta (French
speaking), Alto-Adigo (German speaking of South Tyrol), Sardinia and Sicily where
most active separatist movements were granted special status regions. Similarly Friuli-
Venezia Giulia (Slovene minority) was granted special regional status with 15 ordinary
regions. Belgium reconstructed its consociational arrangement for making it more
egalitarian and federal in character. Spain, consisting of 17 autonomous communities
possessing the right to self-rule, is further required to look reasonably into demands of
the Basque country. Thus, modern federalism which has been taken up by the modern
liberal democratic countries as a political package of collective participation and
development for all individuals and regions, has not been sincerely tried by non-liberal
and traditional societies where challenges are multiplying day-by-day.

22.5 SUMMARY
Federalism is intended to create and sustain a united polity and coherent society in multi
cultural and diverse societal realities. It is a normative term which advocates multi-
layered governments combining elements of self-rule and shared-rule accommodating
and representing distinct identities within a larger political union. Federalism is supposed

99
to have the attributes of establishing a rational and democratic relationship between
justice and power, thus retaining the urge for unity along with respect for ethnic identities.

In order to have an understanding of federalism it is essential to look at the different

patterns on which federal political systems are structured. These are unions, consociations,
confederations, asymmetrical federal arrangements, and leagues.

One of the fundamental characteristics of federations is the distribution of powers between

two or more orders of governments. The specific form of allocation of distribution of
powers varies relating to the underlying degrees and kinds of common interests. Other
subjects of interest are the allocation of financial resources and the adoption of the
principle of bicameralism. In federalism the Constitution is regarded as supreme. Thus
federalism is aimed at creating a trend of governance based on the principles of non-
majoritarianism, non-centralisation, autonomy to regions/constituent and participatory
opportunities and rights to all individuals.

22.6 EXERCISES
1. What do you understand by the term federalism?
2. Does federalism take into consideration the interests of ethnic minorities?
3. What are the differences between a confederation and a federation?
4. Describe any two kinds of federal arrangements.
5. Why is supremacy of the Constitution regarded as an important aspect of federalism?
6. How is power distributed in federations like U.S.A, Canada and Australia?

100
UNIT 23 PARTIES AND PARTY SYSTEMS
Structure
23.1 Introduction
23.2 Definition of Political Parties
23.2.1 Marxist Concept of Parties
23.2.2 Contemporary Views about Parties
23.3 Classification of Political Parties
23.3.1 The Elitist Parties
23.3.2 Mass Parties
23.3.3 Intermediate Type Parties
23.3.4 Hitchner and Lavine’s Classification
23.4 Party Systems
23.4.1 Two-Party Systems
23.4.2 Multi-Party Systems
23.4.3 One-Party Systems
23.5 Role and Evaluation of Party Systems
23.5.1 Evaluation of Party Systems
23.6 Summary
23.7 Exercises

23.1 INTRODUCTION
Political parties are essential for the effective working of modern democratic states.
Professor Harold J. Laski had underlined the importance of parties when he wrote,
“There is no alternative to party government, save dictatorship, in any state of modern
size. Government requires leaders, leaders require not an incoherent mob behind them,
but an organised following able to canalise the issues for an electorate with a free
choice.” This statement correctly separates dictatorship, which is one person’s arbitrary
rule, from democracy where people make free choice of their representatives to rule, on
their behalf. A dictator like Hitler or Mussolini may also lead a party, but then it is a
group of sycophants, not a competitive organisation. As Laski says government requires
leaders, who in turn must be supported by organised people. A mob has no place in a
democratic polity. The organised parties identify issues on which they seek popular
verdict. Periodic elections provide opportunities to the parties to present these issues,
and if supported by the people they become bases of governance by the representatives
elected by the people.

Political parties have multifarious duties to perform. They are the most significant sub-
actors who participate in and regulate the political process. They put up candidates,
canvass support for them, and if voted to power they govern the state for the specific
period. There are different types of party systems but the two-party system is generally
found to be in a position to offer two clear alternatives before the electorate, and also
provide stable government which is responsible, and an opposition which, in a responsible

101
manner, keeps the ruling party under constant vigil and check. Democratic process is
not allowed to derail. However, many countries have multi-party systems with a large
number of parties. These parties provide wider choice to the people, but often lead to
instability of government. Political parties are certainly essential to the functioning of
democracy. They perform different functions within and outside the realm of politics.
Their leadership and policies, internal practices, and the patterns of interaction with
other parties and institutions can have profound consequences for the system of
governance. As Zoya Hasan says, a party is “a keystone political institution in
representative regime”, and parties regularly fulfil three crucial functions. These are:
nominating candidates for public offices, formulating and setting the agenda for public;
and mobilising support for candidates and policies in an election. Other institutions also
perform some of these functions, but as A.H. Somjee says, what distinguishes parties
is their emphasis on linkage. Parties are seen, both by their members and by others, as
agencies for forging links between citizens and policy-makers. Their important
justification is in creating a substantive connection between the ruler and the ruled. But,
Giovanni Sartori pointed out that it did not mean that party members are not self-
seeking. “The power-seeking drives of politicians remain constant. Even if the party
politician is motivated by crude self-interest, his behaviour must depart – if the constraints
of the system are operative – from the motivation. Parties are instrumental to collective
benefits, to an end that is not merely the private benefit of contestants. Parties link
people to the government.”

In this unit you will study various aspects of parties and different types of party systems
with their varying roles. Naturally, illustrations will be given from different countries
while examining their parties and party systems.

23.2 DEFINITION OF POLITICAL PARTIES

Political parties are the most important agencies that participate in political processes in
a modern state. A party may be defined as an organised group of people, having a clear
ideology and based on certain well-defined policies and having clear objectives. A party
has a definite leadership, and its ultimate goal is to gain political power and regulate
political process by using the power acquired, normally through democratic elections.
The above two sentences should enable you to understand the meaning and purposes of
political parties. Edmund Burke had defined the political parties in 1770 thus: “Party is
a body of men united for promoting by their joint endeavours the national interest upon
some particular principles in which they are all agreed.” Professor Laski’s definition
mentioned in last section explains the meaning of parties. These are big or small groups
of people which are organised to establish their legitimate control over the government
of the country, through the process of elections. Representative government cannot
function without them.

Explaining the meaning of political parties, in the context of Great Britain, Herman
Finer had said that, “The political parties are the two-way communications that bind 50
million people to the 630, who in Commons, exercise omnipotent power.” When Finer
wrote this several decades back, the British population was around 50 million, and
membership of House of Commons then was 630. There are now 659 members in the

102
House. Politics is the struggle for power, and in this struggle organised groups can
surely be more effective than unorganised mobs. Some of the parties adopt revolutionary
route, while most of them take to evolutionary process and constitutional means. The
British responsible government had grown along with the evolution of political parties.
It is in this context that Bagehot had said that, “Party government is the vital principle
of representative government.” By way of contrast, Laski had opined that, “… nothing
appears to us so definite a proof of dictatorship as when the dictator destroys, as he is
logically driven to destroy, all political parties save his own,” The primary goal of the
parties is to install its leaders in the government, and to ensure their continuation as long
as possible. For this purpose, they adopt various methods of securing popular support,
including public rallies, distribution of literature, use of media and even organising
musical evenings.

Lord Bryce had stated that, “no free large country has been without them. No one has
shown how representative government could be worked without them. They bring order
out of chaos of a multitude of voters. If parties cause some evils, they avert and mitigate
others.” Political parties may not be provided for in a country’s constitution, yet they
shine on the political horizon of the state. Parties alone link the profile with the legislature
and the executive. Actually the nature of any political system largely depends on the
features of its party system. According to R. Bassett, “… the working of any system of
representative government is in large measure determined by the nature of the political
parties which separate it.” There are other eminent scholars who have said more or less
the same thing in their own words. For example, R.M. Maclver defined a party as “ an
association organised in support of some principle or policy which by constitutional
means endeavours to make the determinant of government.” And, R.N. Gilchrist had
written that, “A political party may … be defined as an organised group of citizens who
profess to share the same political views and who, by acting as a political unit, try to
control the government.” Here it must be emphasised that to be a successful party, its
members must generally share the same political views, so that they may act as a single
political unit.

23.2.1 Marxist Concept of Parties

According to the Marxist view parties represent classes. This situation can be remedied
only with the successful completion of class-struggle resulting in the victory of proletariat.
The party that represents the working people alone has the right to exist. The bourgeois
parties do not represent true democratic process. Therefore, they must be eliminated.
According to Lenin, a party (i.e. the Communist Party) is a well-organised group of
chosen elite intellectuals and political activists. It is said to be, a chosen group of
intellectuals in the sense that their intellectual knowledge of Marxism maintains purity
of Marxian principles and ideology, and shows the correct path to the party. It is a
chosen group of political activists in the sense that election processes and party training
enables them to be totally loyal to the party and a cause of revolution. This definition
of Lenin is obviously suitable for communist parties. Such a party exists permanently
in the midst of workers’ movements. It propagates revolutionary ideas, and imparts
training of the art of revolution. It assists the working classes in the achievements of its
objectives. Prior to the revolution, during the bourgeois period, the party must play a

103
vital role. The party is required to be instrumental in the destruction of capitalist order,
and establishment of dictatorship of the proletariat. According to Lenin, if the party has
to play the role of vanguard of working people, then it is essential that it must have full
knowledge of revolutionary ideas and rules. The objective of the party is to protect the
interests of the proletariat. The Communist Party alone knows what is in the interest of
working people. Lenin was of the opinion that the party’s position is similar to a
military organisation in the proletariat’s struggle to secure power and in its maintenance.
The party is vanguard of the working people which has a pivotal role in class
consciousness, and is ever ready to make sacrifices in the interest of the proletariat. The
Marxist ideology unites the working people and the party, and its organisation makes
it all-powerful.

Communist parties enjoyed constitutional sanction in socialist countries. All other parties
were abolished in these countries. There was practically no difference between the party
and the government. This is true even today in the socialist countries ruled by the
communist parties. The 1977 Constitution of the former Soviet Union described and
analysed Lenin’s leadership for the success of the Great Revolution of 1917. The
Constitution appreciated the role of the party in the revolution and subsequent governance.
The 1982 Constitution of the People’s Republic of China declares the National People’s
Congress, under the leadership of the Communist Party, as the highest organ of state
power. It declares the party chief to be head of the armed forces of the country.

According to Marxist interpretation of political parties, the parties in capitalist countries

represent the class interests. Thus, they are instruments of protection of different classes.
They become source and leaders of class conflict. In the capitalist countries, the
communist parties protect the working people against capitalist exploitation. They
propagate revolutionary ideas, and prepare the proletariat for revolution. Once the
revolution succeeds, the communist parties ensure its protection.

23.2.2 Contemporary Views about the Parties

Writing about the newly independent countries of Africa, Coleman had stated that
political parties are groups of people, formally organised with a view to establish and
maintain formal control over the policies and service-class of the actual, or likely to
emerge, sovereign states. This may be done by these groups alone or in combination
with other similar groups, through the process of democratic African parties as organised
groups aimed at securing political power through elections. He had specified this role
for already independent countries or those likely to become independent. Expressing
agreement with this view James Jupp had said that any group of people, organised in
some manner, with a view to establish control over political institutions of the given
society may be described as a political party. Thus, a party requires to be a group of
people, formally organised, and having the goal of fighting and winning elections to
control the political institutions of the state. These institutions are organs of government,
at various levels, and organised groups of people, we may add, should have clearly
defined policies for governance.

Sigmund Neumann analysed the political parties on the basis of their ideologies. He
drew some valuable conclusions. He opined that in view of sharp differences between

104
the democratic and authoritarian parties, it was impossible to give a single acceptable
definition. Nevertheless, he said that the purpose of setting up a party is uniformity
within, and distinction from other groups. Essentially, each party has partnership within
a specific organisation, and separation from others on the basis of its particular programme.
This definition is obviously true in case of two or multiparty democratic societies.

On the other hand, in a one-party system there is total absence of competition and
distinct policies and programmes. In fact, many people refuse to accept the parties, in
a single party system, as formal political parties. For them a party must have a second
part, or a competitor, which is missing in one-party states. Thus, in one-party system,
the party becomes totalitarian. Once it manages to acquire power, it retains it by one
means or the other. However, Neumann expressed the view that even in one party states
opposition does exist in one form or the other. Even if there is no opposition, the
authoritarian party always feels insecure due to fear of possible revolt or opposition.
According to Neumann, political party is representative of social interests which acts as
a bridge, a link, between the individual and the society. The success of democracy
depends on the efficient working of parties. Whether the government is parliamentary
or presidential democracy, it cannot succeed in the absence of parties. An unorganised
mob of people cannot govern the state. Its organised form is a political party. The first
President of the United States, George Washington had advocated partyless democracy.
But that could not materialise. Soon, two parties emerged in that country. As a matter
of fact, deeper study of formation of the U.S. Constitution would reveal that there were
two groups even in 1787. They were supporters and opponents of a federal system, and
became fore-runners of the two American parties. In India, for some time there was talk
of partyless democracy. But this view, expressed under the leadership of Jayaprakash
Narain, was more idealistic and hardly practical.

In his analysis of political parties, Maurice Duverger had said that the primary objective
of the parties is to acquire political power, or to share the exercise of such power.
Duverger wrote “… political parties have as their primary goal the conquest of power
or a share in its exercise. They try to win seats at elections, to name deputies and
ministers, and to take control of the government.” That is why, evolution of political
parties coincided with the growth of parliamentary system and electoral processes. The
origin of the parties may be traced in the practice of collection of election funds for
candidates and in the committees constituted to secure supporters and workers for the
victory of candidates. Gradually, members of the legislatures holding similar views and
beliefs in similar ideologies came together leading to the birth and growth of political
parties. While common ideology became the basis of parties in Britain and other European
democracies, that was not the case in the United States. The American political parties
do not have clearly distinct ideologies. These parties came into existence as an outcome
of the process of selection of presidential candidates, managing their campaign, raising
campaign funds and selecting candidates for numerous other electoral offices in the
United States. These parties are even now more concerned with electoral processes,
rather than ideologies.

Duverger is right in concluding that political parties have been established even in those
countries where elections are not held and where even legislatures do not exist. Parties

105
are found even in the countries which conduct pseudo-elections and have pseudo-
parliaments. The so-called elections are held with only one candidate in each constituency,
who invariably wins and consequently all members of the legislature belong to only one
party. These are called one-party systems. Duverger argues that these ‘parties’ cannot
genuinely be described as parties. The word ‘party’ is derived from the Latin terms
‘Pars’, which means part. Therefore, where there is only one party, it is not a part of
the whole—meaning part of many parties. Nevertheless, parties are used in the dictatorial
or authoritarian regimes to create the ‘farce’ of elections and ‘legislatures elected by the
people’. Duverger says, “… the dictatorship uses the single party to establish the
appearance of electoral and parliamentary process and give itself a democratic façade.”

Duverger held the view that in the second half of the twentieth century parties were
usually associated with ideologies. Marx and Lenin had seen parties as representatives
of conflicting classes, but several contemporary scholars like M.I. Ostrogoski, Roberto
Michel and Maurice Duverger emphasise structure of political parties. These and other
writers lay emphasis on what the parties do, not on what they are. It has become
essential for comprehensive study of the parties to analyse their ideologies, social
foundations, structures, organisations, and strategies. Political parties can be classified
essentially on two bases. These are: structure of parties, and the party system. One
cannot ignore other aspects and mutual relations of parties while analysing the structure
of parties. From the point of view of structure, Duverger classified study of parties into
two categories, which are internal organisation and external organisation.

23.3 CLASSIFICATION OF POLITICAL PARTIES

The classification of political parties that was presented by Maurice Duverger in 1951
became popular, and is now generally accepted. He had classified parties as (i) the
elitist or traditional parties, and (ii) mass parties. Later a third category known as the
intermediate type of parties was added. This classification is generally organisation-
based categorisations.

23.3.1 The Elitist Parties

The parties which are not cadre-based and do not have their support among the masses
may be described as elitist or traditional parties. These parties do not throw their doors
open to one and all. They are selective in admitting members. The elitist parties are
normally divided into (a) the European Type and (b) the American Type.

1) The European type: Most of the political parties set up in the nineteenth century
are elitist in nature. Many contemporary parties who follow the same approach also
come in the elitist or traditional category. Whether these parties are liberal or
conservative or progressive, they are against admitting anybody and everybody to
their membership. These parties emphasise quality rather than numbers. They seek
support of prominent and influential persons. The wealthy people occupy prominent
place in these parties. The European parties have their bases in local committees,
and have minimum control of central party organisation. However, unlike many
parties of Continental Europe, the Liberal and Conservative Parties of nineteenth

106
 century Britain had a powerful central organisation. Now in the twenty-first century
central control is increasing in many parties of European and Asian countries also.
Similarly, there is a clear distinction in the working of Britain and other European
parties. Party whips have a major say in maintaining discipline in these parties
inside the legislative bodies. Members of legislatures invariably vote according to
the party whips, and often even speak according to wishes of party leadership.
Those who defy the whips in Britain or India may be punished by the party which
may even include expulsion of defiant members. Legislators in many other countries
are free to vote as they wish. They do not care for party discipline. The disciplined
parties may be described as ‘rigid’, whereas others can be called ‘flexible’ parties.
It is generally believed that elitist parties are flexible while mass parties are rigid.
However, elitist parties in Britain, being disciplined, are exceptions. But in case of
large scale defiance of party whip, the leadership may look the other side, and take
no action. For example, in February 2003 as many as 122 Labour Party members
of House of Commons voted against a resolution that sought use of force against
Iraq. As Prime Minister Tony Blair was keen on waging a war (in collaboration
with the US) against Iraq, the vote of 122 MPs of his own party was massive
defiance. Yet, no action was taken against such a large number of members. Since
generally British parties are far more disciplined than in other countries, even though
they are elitist parties, they may be described as ‘rigid elitist parties.’ The British
parties are symbols of liberal democratic system. With the growth of mass parties,
even British parties tried to expand their membership, but they could not succeed.
In the modern electoral fights, large number of workers is required by the parties.
Therefore, they admitted large number of members, yet they did not change their
basic features.

2) The American Type: The parties in the United States are different from British
parties in several respects. But, the prominent differences are (i) the nature of
presidential government in a federal set-up, as against British parliamentary
democracy in a unitary state and (ii) the U.S. parties have remained limited to the
elite, away from the masses. The U.S. parties, as mentioned elsewhere, are essentially
election-oriented. The system of party primaries was introduced in the early twentieth
century. In the primaries, common citizens, who so desire, participate in the selection
of candidates for various elected offices. This system has adversely affected the
power of local level party bodies. The primaries have brought party organisation
under the control of the people. At the same time highly expensive and complicated
electoral process has compelled the parties to strengthen their organisations. The
dual process of strengthened party structure and increasing influence of the people
has moved the American parties closer to the masses, yet they have not become
mass parties. American parties are led by professional politicians, many of whom
are not democratically elected. Despite this, American parties have been able to
establish better contacts with the masses than most of the European parties. An
important feature of contemporary US parties is that their local committees have
become very powerful; state committees enjoy lesser powers; and the central
organisation is rather weak. Duverger had commented that, “ discipline does not
extend to the top of political hierarchy; although very powerful at the local level,
it is weaker on state level, and practically non-existent at the national level.” Another

107
 feature of American system is lack of party discipline among the members of the
Congress. They speak and vote according to their individual decisions. In this
respect they are closer to some of the multiparty democracies rather than the British
parties.

23.3.2 Mass Parties

The system of parties based on common man’s support began emerging in the early
twentieth century. British Labour Party had its origin in the working people’s movement.
Later, the communists adopted the system of mass support. Several parties in the newly
independent third world countries are generally mass parties. Some of the parties of
European countries, like the Christian Democratic Parties and the Popular Republican
Movement (P.R.M.) of France may also be placed in the category of mass parties.

1) Socialist Parties: Initially, masses were contacted to donate funds for the labour
candidates. These candidates were considered revolutionaries, and industrialists and
big business houses declined to give them any financial contribution. In fact these
elements were quite opposed to these candidates. In Britain trade unions provided
support to these candidates. Later they organised themselves as the Labour Party.
The mass parties tried to enlarge their membership, and took contributions from
their members. The mass parties preferred contributions from common men and
women, rather than the rich business houses. These parties, therefore, did not develop
into elitist parties.

The British Labour Party was described as the pioneer of the socialist parties the
world over. Democratic socialist parties in several countries followed the British
Labour Party. These parties believe in socialism to be brought about by the peaceful
democratic means of parliamentary process. They believe in rule of law, rather than
violence or revolutionary methods. They sought to abolish capitalism through
legislative measures. But, with the commencement of rapid liberalisation in the
decade of 1990s, the talk of destruction of capitalism suddenly gave way to adoption
of a capitalist path even by democratic parties including the British Labour Party.
Under the leadership of Tony Blair, Britain adopted the ‘New Labour’ as their
socialist party.

From the Sociologists’ point of view, the socialist parties often face a struggle. They
have strange type of conflict between two groups. One, members of the party who
elect party leaders and establish party committees; and two, ordinary citizens who
elect members of the parliament. Party members try to have their demands conceded
as they are organised, and the ordinary voters are not. Socialist parties accept the
superiority of the parliament. Therefore, they respect their members of parliament.
On the other hand, legislature is ineffective in communist and fascist countries, as
the real power is vested in the party concerned. Therefore, party leadership dominates
over the members. Many countries in the world had or have socialist parties as
important actors in the liberal democratic processes.

2) The Communist parties: The communist parties based on the ideology of Marx
and Lenin seek close contacts with the masses. Initially, European communist parties

108
 were organised on the pattern of socialist parties, but after 1924, they were reorganised
on the directions of Communist International headquartered in Moscow. They
followed the pattern of Soviet Communist Party. The communist parties everywhere
are much better organised and disciplined as compared to other parties. These
parties attract workers and peasants. But, unlike other parties, their local units are
generally not regional in nature; they are organised at places of work. The primary
units, or cells, maintain close contacts with the members in their workplaces. This
makes it easier for them to convey the party directions and to have them implemented.
Besides, the problems of members of a workplace are common. They enthuse
greater unity.

Communist parties follow the principle of ‘democratic Centralism’, which implies

democratic participation of members in party structure, but centralised decision-
making and supervision. However, critics say that there is hardly any democracy in
these parties, as all decisions are made by a handful of top leaders, who ensure strict
obedience and discipline. At different levels in the party, discussion does take place,
but directions of the leadership can never be violated or defied. All information
about views expressed in these discussions is conveyed to the party leadership.
Parties in the former Soviet Union and in East European countries followed this
pattern, which is also observed in China, Vietnam and other communist countries.

No other party anywhere in the world, except perhaps the Fascist parties, is so
rigidly based on ideology as the communist parties are. They try to strictly follow
the Marxist-Leninist ideology. The Chinese Communist Party had its own Maoist
interpretation of Marxism-Leninism. But, in the post-Mao period the party has
certainly deviated from the rigidity of Mao. Liberalisation and opening up of economy
in China has altered the pattern, though it still swears by Marxist ideology. Communist
parties in liberal democracies, as in India, still keep on insisting on the relevance
of Marxism-Leninism.

3) The Fascist Parties: Fascism is totally opposed to communism. Unlike the

communist parties, fascists advocate an all-powerful state. However, there is one
similarity. Both believe in one-party rule, and in destroying the entire opposition.
They both use force to implement their policies. The fascist parties support open
competition and capitalism, but they, like the communists, blindly follow one leader.
The disobedience to the leader may mean elimination of members. The Italian
Fascist dictator, Mussolini had himself said that his party wanted to follow the
communist techniques. Fascists talk of mass-base, but they use armed forces to
inculcate military discipline and impart military training to the masses. The fascist
youth are not only given military training, but they even wear military uniform,
carry out daily disciplined exercises, and are often punished for defiance. The
fascist leader takes the route of force to assume power, even as pretension of
democratic process may be propagated. Fascism comes to power with the support
of capitalists and big business houses. It is vehemently opposed to communism, and
destructive of democracy. Violence and wars have been important part of fascist
programme.

109
23.3.3 Intermediate Type Parties
According to Maurice Duverger, there is a third category of political parties that may
be described as the intermediate type. These are different from both elitist and mass
parties; yet they are closer to the mass parties. These are:
1) Indirect Parties: At times a number of big or small committees perform political
functions leading to the setting up of a political party. This may be described as an
indirect party. The birth of British Labour Party in 1906 was held in somewhat this
situation. At that time, the Labour Party did not directly admit members of the
party. It began functioning with the association of trade unions, cooperative societies,
the Fabian Society and other intellectual bodies. These bodies selected candidates
for election, collected funds and carried out their election campaign. Later socialist
parties had similar origin in countries like Belgium, Norway and Sweden. In these
countries these parties were born in 1940s. Earlier, the same pattern was followed
in the formation of Christian Democratic parties in Belgium (1919) and France
(1936). All these parties came into existence like traditional parties, but with the
difference that their members came not from rich classes, but from amongst the
workers and intellectuals.
2) Parties in Developing Countries: In the post-Second World War period a large
number of political parties have come into existence in the third world developing
countries, which Duverger prefers to describe as undeveloped countries. In some of
the developing countries, the parties followed the pattern of the United Kingdom or
the United States, while in some others one party was established following the
Soviet example. In some of the African countries two parties each were formed in
their own style. All of them have been described as intermediate type because they
were yet to be fully organised as disciplined parties. In post-independent India many
parties have been formed. Some of them could not last long. The Swatantra Party
was a breakaway group of the right wing of the Congress, but it disappeared. Very
large number of small parties or regional parties came into existence. But after a
while two or more of them merged into one party, or formed their own party. In the
first category are those who separated from the Congress, but after a while rejoined
it. In the second category are those who got together as, for example, Janata Party
in 1977. But, this experiment did not last long, and many groups emerged out of
it. However, one such group, the Bharatiya Janata Party (essentially the new avatar
of former Jana Sangh) has grown into a national party, and became leader of a
ruling coalition of 1998. In India, there are parties that still follow the Soviet pattern
of Communist Party.
There is one problem with this classification of Duverger. At times it becomes difficult
to distinguish one from the other. In his own words, “In all mass parties, the leaders
form a group quite distinct from the rest of the membership and from the party militants:
this inner circle resembles some with the leadership of traditional parties submerged, as
it were, in the heart of a mass organisation.”
23.3.4 Hitchner and Levine’s Classification
In their classification of political parties, Hitchner & Levine opined that normally people
are associated with one party or the other on the basis of their personal views, and that

110
the party membership depends on several other socio-economic forces. Nevertheless
people do associate themselves with one party or the other, taking into account their
class, economic interests, hereditary interests, and interests of a particular group. Hitchner
and Levine classified contemporary political parties into three categories. These are
pragmatic parties, doctrinal parties and interest parties.
Pragmatic parties are normally not committed to any particular ideology. Their policies
are adjusted according to the requirements of situations. Most of these parties are
usually influenced more by the leader of the day and less by the party ideology. The
American parties, the British Conservative Party (and now even the Labour Party),
Canada’s Conservatives, India’s Congress Party and Australia’s Conservative party all
come in this category. It is believed that the parties are more pragmatic in the two party
systems. This is so because they have to represent, from time to time, different socio-
economic interests.

The parties that are committed to a particular ideology and believe in certain principles
may be described as the doctrinal parties. The policies are often changed or adjusted
according to domestic or international environmental changes, but their ideologies remain
unaltered. Socialist parties may be included in this category. These, for example, are:
the British Labour party, the Socialist parties of Belgium and France, United Socialist
Party of Chile, or Komei of Japan. It is not that the left-oriented parties alone are
doctrinal in nature. There can be even parties of the right in liberal democracies that fall
in this category. For example, the Bharatiya Janata Party in India has a definite ideology,
but since 1998 it made several adjustments in its policies and programmes to be able
to adjust with its coalition partners. On another extreme, the Communist parties and the
Fascists are totally doctrinal parties.

According to Hitchner and Levine, many of the parties in the multiparty system and
smaller parties even in the two-party system generally represent particular interests.
Thus, these may be described as ‘interest-oriented’ parties. When an interest group
converts itself into a party, either temporarily or permanently, it comes in this category.
Nature of interests may vary from prohibition-related, to those working for farmers’
interests, or those seeking interests of a caste or community. The Swiss Farmers’ Party,
the German Greens, the Irish Nationalist Party of the UK are some such parties. In
India, there are a number of such interest-oriented parties. These, for example, include
the Jharkhand Mukti Morcha, the Peasants and Workers Party of Maharashtra, or even
the Bahujan Samaj Party committed to the upliftment of the dalits.

The categorisation of different parties, as the one given above, may be very relevant and
useful, yet the real nature of parties can be analysed only as actors with a particular
party system. It is, therefore, necessary that one must examine the major party system,
and then relate individual parties to one of these systems or the other.

23.4 PARTY SYSTEM

Some sort of stability comes to exist, on the bases of the long period of evolution in
any country’s political parties in respect of their numbers, their internal structure, their
ideologies, alliances and relations with the opposition. This gives rise to what may be

111
described as a party system. A comparative study of different party systems enables us
to understand the political systems of the countries concerned. Several recent scholars
have offered their classifications of party systems. There is lot of similarity between
some of these classifications. Some of these are given below:
Almond’s classification follows the following pattern:
1) Authoritarian Parties. One of its sub-categories is called totalitarian parties or
dictatorships;
2) Dominant Non-Authoritarian (democratic) parties;
3) Competitive two parties; and
4) Competitive multi-parties.
James Jupp accepted the above classification generally, but modified it and gave his
own version, which is as under:
1) Indistinct (not very clear) bi-partisan system;
2) Distinct bi-partisan system;
3) Multi-party system;
4) Dominant (one-party) party system;
5) Broad one-party system;
6) Narrow one-party system; and
7) Totalitarian system
According to Hitchner & Levine, modern party system may be classified as under:
1) Competitive two-party systems;
2) Competitive multi-party systems;
3) Dominant non-authoritarian systems;
4) Authoritarian party systems; and
5) States without party system.
Duverger broadly divided all the party systems into two. These are (i) pluralistic party
systems and (ii) one-party systems and dominant party systems. In the first category
Duverger included:
1) Multi-party systems; and
2) Two-party systems.
In the second category Duverger included (i) one-party systems; and (ii) the dominant
party systems.

Keeping in view these four and some other classifications, we may broadly classify all
the parties as: Two-party systems; Multi-party systems; and One-party systems. All the
three are discussed below. A reference will be made to the one-party dominant system
also.

112
23.4.1 Two-Party Systems
In modern democracies, there are two or more competitive parties. There are, obviously,
at least two parties. None of these is more stable or powerful than the other on a
permanent basis. If, however, one party remains in power for a very long period of time
and the other continues to occupy opposition benches then it becomes a dominant party
system; it ceases to be a competitive two-party system. The leaders and scholars of the
United Kingdom and the United States consider ‘dualism’ as the best system. But, it has
not become very popular. In the two-party system, there is constant competition between
the two parties for securing majority of popular votes and seats in the legislature. Both
the parties keep on occupying either the treasury benches or sit in the opposition, though
this may not always be alternate. Besides, there may be one or more smaller parties also
in the two-party system. But, the smaller parties neither come to power nor do they
normally influence the outcome of elections, though at times smaller parties may associate
themselves with one or the other major party. At times, a third emerging party may even
compete with the major parties, as was done in 1970s by the Liberal-Democratic Party
in Britain.

As mentioned above, James Jupp has talked about the indistinct two-party system. The
most prominent example of this type is the United States. There are hardly any major
differences in the policies of major American parties namely, the Republican Party and
the Democratic Party. Both the parties have very loose discipline in the Congress. At
the local level, it is even worse; there is practically no discipline. Normally, in the two
Houses of Congress, members vote of their own choice; they hardly receive, or obey,
the party line on bills and other issues. Consequently, the differences, if any, in the two
parties is often blurred. Many members of both the parties may vote in favour of a
motion, and many other members of the same two parties may vote against. As Duverger
wrote, “Actually, there is a different majority and a different opposition for each issue.
It does not follow party lines.” Duverger is of the opinion that the loose two-party
system of the United States is close to the multi-party system rather than the two-party
system of Great Britain. Their national organisation is flexible and central control is
minimal. In the United States, the two parties take strong pro-leadership line only on
the issue of presidential election. Hitchner and Levine go to the extent of saying that,
“Actually, they are loose organisations of state parties that unite to some degree for
presidential elections.” Election campaign is usually the concern of state units. There
are many occasions when majority in the two Houses of Congress (or sometime in one
House) is of a party other than the one to which the President belongs. There are party
members, in both the parties, who sometimes take pride in campaigning against the
party leadership. Party members, who are life long committed to their party, are,
nevertheless, not committed to all the programmes of the party. Some other countries
of the American continent like Canada, Colombia and Brazil also follow the US pattern
of loose bi-party system.

The distinct two-party system, on the other hand, includes two parties with well-defined
policies and programmes and clear organisations. Members of both the parties function
within the party discipline, and obey the leadership. Great Britain is the best example
of such a two-party system. Both have definite organisation, they remain within party

113
discipline, and members of Parliament ordinarily do not defy their leadership. However,
occasionally some members may express reservations as happened in 1990 when many
Conservative MPs vehemently criticised Prime Minister Margaret Thatcher’s Europe
policy. In a very serious defiance in 2003 over 120 Labour Party members of House of
Commons voted against Prime Minister Tony Blair’s whip on his determination to
support the United States in its war against Iraq. But no action could be taken by Blair
against such a large number of his own partymen. But, these are exceptions. Normally,
the party whips are always obeyed. If a member does not obey the party whip, he is
expelled from the party, and his future is sealed. It is believed that the Conservative
Party represents traditions and elite groups, whereas the Labour is representative of
masses and of progress. Despite these differences, both the parties are pragmatic and
moderate. Britain now has about half a dozen smaller parties also, but they do not play
any important role. Besides the Liberal Democrats (with over 50 members), there are
the Scottish National Party, the United Ulster Union and the Plaid Cymru. The smaller
parties are capable of creating instability if they get sufficient popular support. In 2001
parliamentary elections, while the Liberal Democrats managed to get 52 seats, none of
the smaller parties won more than 6 seats.

Canada, Australia and New Zealand also have two-party systems. The interest-based
Labour Parties of Australia and New Zealand do not have narrow outlook. They are also
pragmatic and moderate parties. While a number of parties emerged in West Germany
after the Second World War, two major parties now constitute German party system.
These are Christian Democratic Union, and Social Democratic Party. But, there indeed
are a number of smaller parties, including the Greens, who are usually associated with
one major party or the other. Some other countries like the Philippines have also adopted
two-party systems. The two-party system is said to be a guarantee of success of
democracy. Power shifts from one party to the other, and yet stability is maintained.
One party rules in a responsible manner and the other offers constructive opposition.
There is neither instability of multi-party system, nor authoritarian rule of one party.

23.4.2 Multi-Party Systems

There are several countries that have developed a system of having many parties.
Technically, the existence of three or more big parties may be described as multi-party
system. In Europe, France, Italy and Switzerland are some of the examples of this
system. India has over 40 political parties, big or small, represented in the Lok Sabha.
In a multi-party system, three, four or more parties may get together at any point of time
to form coalition governments. Such governments generally adopt a common minimum
programme for governance, as they do not have commitment to any one ideology. The
coalition governments generally do not last long, but there can always be exceptions.
In a general election, voters have a wide choice of candidates. Many of them may
belong to smaller parties committed to regional or sectarian interests. The winning
candidates may not necessarily secure even half of the total votes cast. In a multi-
candidate election, the candidate getting largest number of votes is declared elected,
whatever percentage of total votes this may be.

France was known for its instability of cabinets, on account of multi-party system,
during the Third and Fourth Republics. During the 12-year period of Fourth Republic

114
(1946-58), France went through as many as 24 cabinets – the shortest being a one-day
wonder. That was the reason why a new Constitution adopted in 1958 provided for a
pattern of governance in which greater powers rest with the President, and the mechanism
of cabinet is such that stability can be ensured even with a multi-party system. However,
Italy is still known for frequent changes of government on account of multiplicity of
parties. Switzerland has the distinction of having a multi-party system but a stable
government. Swiss parties are essentially organised to protect interests of Cantons. The
Federal Council, which is national executive, is elected by the legislature, Federal
Assembly, for a fixed period of four years. It invariably includes representatives of four
or five parties. Members of the Federal Council, once elected remain in office for four
years, irrespective of changes in party position in the legislature.

The multi-party system of Italy has been divided between pro-Communist and anti-
Communist alliances. However, even the parties of the left participate in the liberal
democratic political process. Besides, the Christian Democratic Party and several smaller
socialist groups constitute part of the Italian party system. The Turkish party system has
six principal parties. As such this is yet another example of multi-party system. India
has the distinction of having such a large number of parties that, for some time now,
it is impossible for any single party to be able to win majority on its own. For almost
40 years after independence (with the exception of 1977-79 period), Congress Party
dominated the Indian political scene. There were indeed several parties in post-independent
India, but the Congress was mostly in power both at the Centre and in most of the
States. Since early 1990s the position has changed. Several parties formed the United
Front Governments in 1996 and 1997, with outside support of Congress and the CPI-
M. The elections held in 1998, and again in 1999 threw up hung Parliament, and BJP-
led several party coalitions came to power. The 24-party National Democratic Alliance
Government led by Atal Behari Vajpayee provided unique stability for over 5 years,
which is very uncommon for a coalition of so many parties. The NDA included parties
of different hues.

The multi-party system may not be able to provide the stability that is a feature of two
party system, yet the competitive nature of several parties enables efficient functioning
of democratic government, with occasional hiccups.

23.4.3 One-Party System

One-party system implies the existence of only one party in a country. The countries
committed to certain ideologies such as Marxism or Fascism normally do not allow the
existence of any opposition party. In one-party states, there is, therefore, no opposition.
Parties other than the ruling party are either constitutionally debarred, or they are crushed
by the rulers. This system originated with the establishment of the rule of the Communist
Party of the USSR after the Bolshevik Revolution. While the critics deplored the system
as authoritarian rule of the Communist Party, the USSR claimed it to be the rule of the
working classes. Mustafa Kemal Pasha’s one-party rule in Turkey was claimed to be
democratic, while Fascist Party in Italy (1922-43) and Hitler’s Nazi rule in Germany
(1933-45) were typical examples of the dictatorship of one man who led the only party
permitted by him. All other parties were banned and crushed. Their leaders were thrown

115
in the jails or even executed. Several countries adopted a one-party rule after the Second
World War. East European countries, such as Poland, Rumania, Bulgaria and Hungary
came under the rule of their communist parties. In China, Communist Party acquired
complete power after the success of revolution in October 1949. Later, a one party
communist regime was set up in North Korea. This example was followed later by
Vietnam and Cuba. But, certain other countries adopted non-communist one-party
regimes. This was done in Tanzania, Chad, Ivory Coast, Niger and Liberia in Africa.
Many western writers refuse to describe one-party rule as a system, for there can be no
party system until there are at least two competing parties.

The term one-party system was initially used after 1930 by certain Fascist writers.
Prominent among them were Manoilesco and Marcel Deat. They tried to find similarity
between Fascist/Nazi and Communist regimes. However, communist writers strongly
opposed any such similarity. The western writers place all one-party systems in one
category of non-democratic regimes. James Jupp has described three different forms of
one-party rule. These are liberal one-party systems, narrow one-party regimes and
authoritarian or dictatorial one-party regimes. In a liberal one-party rule there is internal
democracy in the party, leadership is willing to listen to its criticism, and local
governments enjoy certain amount of autonomy. Thus, this may be called democratic
one-party system. In the rigid or narrow one-party rule the party is under absolute
control of a leader, and there is no internal democracy. Elections are not permitted even
for party units. The regimes set up as a result of military coups are also rigid one-party
states. Actually the distinction between liberal and rigid one-party systems is more
formal than real. The extent of internal democracy, if any, depends on the party leadership.
The third form of one-party rule is simply authoritarian. The regimes of Hitler in
Germany, Mussolini in Italy and of Stalin in the Soviet Union were all described as
dictatorial. The Baath Party regime of Saddam Hussein in Iraq was also dubbed as
dictatorship, where people had no rights or freedoms except to support the dictator and
sing his praises. Several developing countries, who adopted the one-party systems, after
decolonisation, gradually discarded it in favour of a multi-party democracy.

According to Maurice Duverger, there can be different forms of one-party regimes.

Prior to the Second World War, there was strong discipline in the Fascist and Communist
parties, whereas the only Turkish party, the Republican Party was closer to the traditional
parties. Salazar’s Fascists in Portugal followed the pattern of nineteenth century liberals;
it was different from Mussolini’s Fascist Party as it lacked militarily trained youth
groups. Secondly, they are dictated by certain ideologies which generally support
revolutionary methods, and even encourage violence. Nevertheless, there are major
differences between Communist and Fascist Parties. While the former are based in the
workers’ movements and seek to abolish private property, the latter have their main
support base among the rich, wealthy and industrialists. Thirdly, there are differences
in one-party systems on the basis of economic policies and level of development. It may
emerge in backward societies as the former Russian empire was, or as Tanzania was.
It may even develop in developed and democratic societies also, as in Eastern Europe
in post-Second world war period. Besides, the role of a single party may vary. The
communist parties become integral part of the state machinery as was the case in the
former Soviet Union, or is the case in China today. The distinction between the party

116
and state is blurred. The Fascist Party, on the other hand was used only as an instrument
of governance; it did not become part of the state apparatus. The fascists promote police
state, whereas the communists aimed at the withering away of the state. This, however,
may never happen.

23.5 ROLE AND EVALUATION OF PARTY SYSTEMS

Political parties are essential for the working of contemporary political processes. Parties,
as explained above, are of different types, as are the party systems. The role of a party
depends largely on the type of polity in which it functions. Modern democracies are
party governments. Persons like Jayaprakash Narain had suggested that a partyless
democracy would make for peace and stability. Parties, in their view cause conflict.
However, these views may have some merit, but in today’s environment these opinions
appear to be too idealistic or utopian.

The role of political parties in a parliamentary democracy is different from the presidential
system. In the former the competitive parties formulate public opinion, select candidates
and seek election to secure maximum number of seats in the Parliament, so that they
are in a position to form their governments. The party or parties that fail to secure
majority of seats sit in the opposition and offer constructive criticism. Two-party system
is best suited for the efficient working of parliamentary democracy. But, there are many
democracies, like India, where many competing parties offer varied choice to the voters.
Normally, in a multi-party system no single party may secure a clear majority, but a
number of parties enter into coalition to form the government; the others occupy the
opposition benches. One-party system is normally found in totalitarian states. It consists
of only one party that is often identified with the state. There is lack of opposition which
makes the rulers authoritarian. In the presidential system of democracy, parties have
relevance only at the time of presidential election. They do not count in the formation
of government. In the United States, the directly elected President is neither responsible
to, nor removable by, the Congress. Members of the Congress vote freely without
affecting the fortunes of the executive. France and Sri Lanka have combined the
parliamentary system with a powerful executive President. This has limited the role of
parties in these countries.

23.5.1 Evaluation of Party Systems

The two-party system has several merits. It ensures stability of government; it is relatively
easy for the Prime Minister to form the Cabinet. Once a person is chosen as leader of
the majority party he selects the ministers and entrusts portfolios to them. In a disciplined
two-party system the task of the Prime Minister is easy, unless there is a weak leader
and unless the party is faction-ridden. In that case, the Prime Minister has to appease
various factional leaders. Secondly, there is no room for violence or revolution to bring
about change of government. People can easily withdraw their mandate at the time of
next election. Even in the presidential system, the choice of the President is easily made
by the people, without resorting to violent means. The task of voters is easy in a two-
party system, as they have only two alternatives to make their choice. Since there is a
strong opposition, its voice is carefully heard by the ruling party, and its views taken

117
into serious consideration. The ruling party remains vigilant, and the opposition knows
that it may be called upon to form the next government. Therefore, it makes only
workable suggestions.
The critics of the two-party system have their arguments. They say that this system
presents just two alternatives to the voters. Many voters can hold views which are not
represented by the two parties. They do not get opportunity to have their true
representation in the legislature. Secondly, the majority party can have any legislation
adopted by the legislature on the basis of its absolute majority. The opposition does get
an opportunity to express its views, but the power of the Parliament is, in effect, limited.
Thirdly, members of legislature merely carry out the wishes of party whips, and their
initiative is often checked.
The multi-party system is indeed more democratic, as it offers wider choice to the
people. Different sections of people find their voice through their representatives, who
may or may not ensure proportional representation. In most of the cases, coalition
governments are formed which are based on compromises on the policies of various
parties. Consequently, ideology often goes into the background. On the merit side, it
may be noted that it is more democratic, and none of the parties can become arbitrary
or authoritarian. Secondly, the respect of legislature is enhanced as its decisions are
taken after due deliberations on the floor of the House; they are not arrived at in the
party caucus and then rubber stamped by the legislature. This system ensures
representation to all minorities, and also protects their interests. However, on the negative
side, the multi-party system breeds indiscipline, and leads to frequent formation and
collapse of coalition governments. The leadership has to make compromises, and the
government often suffers from indecision. Instability and lack of discipline are major
shortcomings of the multi-party system. This system is most unsuitable for crises, when
quick decisions are required, but cannot be taken because of the involvement of several
parties, ideologies and leaders.
The critics of one-party system find it totalitarian in which wishes of the people are
suppressed. Its supporters, on the other hand, hail it as protector of national interests;
as quick decisions can be taken, time is not wasted and even unnecessary expenditure
is avoided. The Marxists consider parties as representatives of class interests, and if
there are several parties, they lead to class conflicts, a situation in which national
interest is sacrificed. One party, according to the Marxists, represents the working
people and protects them against exploitation. Fascists regard their party as the instrument
of governance assisting the leader, so that prestige of the nation is enhanced. Despite
these merits, the one-party system is criticised for denying the people an opportunity to
have their free will represented. The people have to obey the party and its leader blindly.
The system is not only undemocratic, but also destroys the initiative of the people.
Western writers, such as Finer are of the opinion that an authoritarian one party should
not even be called a party, because rather than being a part of the system, it is the whole,
arbitrary and totalitarian political group. Such parties assume all powers, and destroy the
leadership qualities of the masses.
An objective analysis of the good and bad points of different party systems leads us to
conclude that there can be no system better than well-organised, well-disciplined two
party system. It is democratic and ensures stability of government.

118
23.6 SUMMARY
Political parties are essential for the working of modern democratic states. Professor
Laski had correctly opined that the only alternative of party government was dictatorship.
In this Unit an attempt has been made to define political parties, examine their nature
and relevance. To quote Edmund Burke, “Party is a body of men united for promoting
by their joint endeavours the national interest upon some particular principles in which
they are all agreed.” In effect, the parties are a two-way communication between the
electorate and their representatives.

There are different types of political parties. These include elitist parties which do not
throw their doors open to anybody and everybody; they are selective in their membership;
and are often guided and led by elitist groups. The mass parties, on the other hand, have
their support among the masses; many of them are cadre-based; and are usually committed
to a rigid ideology like the Marxist-Leninist ideology, or Fascist or Nazi programmes.
The mass parties have a strong leader to lead them. There are also some intermediate
type parties, which emerge from groups that may have initially come into existence as
interest groups for a section of the community.

Parties are normally studied as constituents of a certain system. There are essentially
three such systems namely, two-party systems, the multi-party systems and the one-
party systems. British and American parties are of two-party system, though even when
there are two major parties as in the United States and Britain, some smaller parties also
exist, but they seldom pose a threat to the stability of government which is the hallmark
of a two-party system. However, there is a difference in the role of parties in the UK
and USA on the basis of the system of government. In the British parliamentary system
a party that gets majority of seats in the legislature can have any laws enacted and
provides stability to the government. In the US presidential system, the role of parties
is limited to the election of the President and the Congress. The tenure of the President
being free from the legislature, parties are less assertive and much less disciplined in the
US than in the British system. India, France, Italy, Turkey, Switzerland and many other
countries have large number of parties, known as the multi-party system. While the
voters have wider choice in the elections, the governments are normally made up of
coalition of several parties, subordinating policies and ideologies, and leading to frequent
changes of coalitions resulting in instability of government.

Many countries, like China, have a one-party system. Earlier, all the communist party
ruled countries like the former USSR, Poland, Hungary, Bulgaria, East Germany etc
allowed only the Communist Party. All other parties were banned. The ruling party in
such a system is an integral part of the state apparatus; there is little distinction between
the party and government. Fascist and Nazi regimes also had a one-party system, based
on strict discipline and total obedience to the leader. After decolonisation, a number of
African countries, like Tanzania, also experimented with one-party system, though these
parties were not of Communist or Fascist type. While single party provides complete
stability, it denies freedom to the people to elect their own government. As such it is
deemed to be an undemocratic system.

119
23.7 EXERCISES
1) What, according to Harold J. Laski, is the importance of political parties?
2) Define political parties. What is the Marxist concept of political parties?
3) What is the difference between the European and American type of parties?
4) Explain the nature of socialist and communist parties.
5) Write a note on parties in the developing countries.
6) Describe the features and types of two-party system.
7) Explain the nature of multi-party systems.
8) Distinguish between a dominant party system and one-party system. Discuss the
features of one-party system.
9) Attempt comparative evaluation of two and multi-party systems.
10) What is the role of the political parties in democratic polity?

120
UNIT 24 INTEREST GROUPS, PRESSURE
GROUPS AND LOBBYING
Structure
24.1 Introduction
24.2 Interest Governments and Pressure Governments
24.2.1 Interest Governments Defined
24.2.2 Meaning of Pressure Governments
24.3.3 Mass and Traditional Groups
24.3 Interest/Pressure Groups and Political Parties
24.4 Classification of Interest Groups
24.4.1 Almond’s Classification
24.4.2 Jean Blondel’s Classification
24.4.3 Maurice Duverger’s Classification
24.5 Role of Interest/Pressure Groups
24.5.1 Lobbying
24.6 Summary
24.7 Exercises

24.1 INTRODUCTION
You have read in the last unit that political parties are organised groups of people who
seek popular support to govern a country. No one person can be a member of more than
one party. In democracies, parties are competitive, and those voted to power assume
responsibility of governance. In the present unit, we will discuss about the interest
groups, pressure groups and their pressure politics, generally known as lobbying. A
group may include large or small number of people having common social, cultural,
trade of business interests. There can be no bar on a person being member of two or
more groups. Interest groups are not political parties as they do not participate in
electoral politics, and on their own have no direct role in the governance of the country.
However, if necessary, in their interest, they may support one political party or the
other, and try to influence legislation and executive decisions by using various methods
of exercising pressure on the government of the day. When a group carries on its
function of pressurising members of the legislature by contacting them in the parliamentary
galleries, the practice is known as lobbying. This term originated in the United States
where lobbying is an accepted practice, and there are regular lobbyists who charge fees
for influencing the legislators and officers in the interest of certain groups.

Without being political parties, without contesting elections in their own name, and
without seeking government jobs or entering the legislatures, the interest and pressure
groups do play a vital role in contemporary democracies in the decision-making process.
We will examine their varied role in this unit.

121
24.2 INTEREST GROUPS AND PRESSURE GROUPS
People having common interests often get together. When they organise themselves to
protect and promote their interest they are known as interest groups. Cell phone operators
in India, oil producers in different countries, automobile manufacturers in the United
States in their associational forms are all interest groups. We in India have a very large
group called the Federation of Indian Chambers of Commerce and Industry. It includes
various chambers of commerce and industry. As such it represents large number of
interest groups. There are numerous such groups in every country today. Interest groups
have been defined by a number of prominent writers. Some prefer to use the term
pressure groups, while others call them interest groups. Actually there is a clear distinction
between the two, though it is not always easy to lay down clear demarcation.

24.2.1 Interest Groups Defined

Almond & Powell have defined the interest groups, and discussed their role in the wider
context of interest articulation. In every society, there is a process of presenting people’s
demands before the policy-makers. Almond & Powell say that, “The process by which
individuals and groups make demands upon the political decision-makers we call interest
articulation.” These demands may be of temporary nature like a demonstration worldwide
asking the United States not to wage war against Iraq. Or, the demand may be articulated
for a long-term interest, like traders demand for tax relief, or trade unions’ demands for
better working conditions. As Almond and Powell have said the interest articulator may
be as varied as an unorganised mob or a well-organised systematic organisation.
Admitting that their definition may not be perfect, yet Almond and Powell say: “By
‘interest group’ we mean a group of individuals who are linked by particular bonds of
concern or advantage, and who have some awareness of these bonds. The structure of
interest group may be organised to include continuing role performance by all members
of the group, or it may reflect only occasional and intermittent awareness of the group
interest on the part of individuals. Thus, an interest group is an association of people
to achieve certain specific objectives, and for this purpose it may even pressurise the
institutions of the state.

Discussing the pressure groups, David Truman describes them thus, “Pressure groups
are attitude groups that make certain claims upon other groups in the society.” The
activities of the government have direct impact on the lives of people. On the other
hand, activities of the individuals cannot help affecting the decisions of the government.
This work can be effectively done only by organised groups of people. Hitchner &
Levine prefer the use of the term interest groups. They say that, “An interest group is
a collection of individuals who try to realise their common objectives by influencing
public policy.” They argue that interest groups and pressure groups are not the same
thing. The term pressure groups have a negative connotation as it implies use of pressure,
or unwanted interference, by groups to achieve their objectives. Interest groups can be
described as the non-state actors, or individuals, or modern states. But, politics alone is
not the objective of their activities. According to Hitchner & Levine, “The interest
group system is thus a part of both the general culture and social framework and the
political structure of a particular state.”

122
Interest groups are organisations of people for the achievement of certain specific goals,
who, if necessary, pressurise the state. They may be regularly involved in the pressure
politics, or may at times involve themselves in pressure politics, and at other times
perform other functions to promote their interests.

24.2.2 Meaning of Pressure Groups

We have said above that the terms interest groups and pressure groups, despite differences
in their nature, are often used as synonyms. In this sub-section, we will concern ourselves
mainly with the meaning of pressure groups. Duverger was of the view that, “Most
pressure groups… are non-political organisations, and pressure politics is not their
primary activity. Any group, association or organisation, even those whose normal
concerns are far from politics, can act as pressure groups in certain areas and under
certain circumstances.” It is generally believed that the pressure groups try to bring
about changes in policies of the government either by influencing its institutions, or
even otherwise. However, the pressure groups do not enter the legislature on their own.
Carter & Herz had argued that the modern pluralist society, full of economic, professional,
religious, ethical and other interest groups, is faced with the major problem of how to
coordinate the activities of different groups on the one hand and government and politics
on the other. Interest groups enjoy freedom to be established and function in a free
democratic society. When these groups endeavour to influence the political process, and
thereby get favourable decisions in matters such as enactment of legislation, imposition
of taxes and duties, framing of rules and issuance of licences, etc. then these interest
groups transform themselves into pressure groups. Another writer V.O. Key was of the
opinion that the interest groups are such private organisations who are established to
influence the public policy. They do not take part in the selection of candidates or the
legislative processes. They devote themselves to pressurise and influence the government
in order to promote their interests.

Writing in the context of liberal democratic countries, particularly, the United States,
S.E. Finer had opined that, “…the pressure groups are, by and large, autonomous and
politically neutral bodies, which bargain with the political parties and the bureaucracy
irrespective of the political complexion of the government in power.” The groups can
adopt various methods of bargaining, in their interests, including even unconventional
or corrupt methods. It is obvious that the pressure groups are associations of individuals
for the promotion of the interests of their members. Every individual has numerous
interests. One may be an office-bearer of a residents’ welfare association, father of
university-going children, and a sugarcane farmer, a shareholder in a large business
house or industrial establishment and may also be a social activist as also a trustee of
a religious or charitable institution. All the interests of one individual cannot be served
by one group. He or she, therefore, may join several interest groups to put pressure on
the state for different purposes.

Interest groups, or pressure groups, are not new phenomenon in politics. These groups
have existed, in one form or the other, at all times. But, these groups are deliberately
organised and are much more powerful today. This is because modern governments
have taken upon themselves numerous non-traditional responsibilities. As mentioned
earlier, an interest group is a voluntary association of individuals who join hands to

123
protect and promote their particular interest. What is an interest? La Palombara defined
interest as “a conscious desire to have public policy of authoritative allocation of values
move in a particular, general or specific direction.” We must, however, remember that
there are always some groups which are not concerned with public policy. We are not
concerned with them in the present unit.

For our purpose, an interest group is a group which has a stake in pressure process.
There is a view that the terms like pressure groups, organised interests, lobbies etc. are
all synonyms. But there are certain differences also. According to H. Zeigler, it is “an
organised aggregate which seeks to influence the context of governmental decisions
without attempting to place its members in formal governmental capacities.” In the
words of Alfred de Grazia, the pressure group is “simply an organised social group that
seeks to influence the behaviour of political officers without seeking formal control of
the government.”

Every society is divided into a number of groups. With the passage of time, they have
become more and more specialised. While there are numerous groups like those of
industrialists, bank employees, university teachers, workers in industry and commerce,
which operate within a country, there are other groups that transcend national borders.
There are certain essential features of the pressure groups. These are (i) pressure groups
are part of the political process of a country (ii) they attempt either to strengthen or
change the direction of government policy and (iii) they do not seek, as pressure groups,
to directly capture political power and run the government.

24.2.3 Mass and Traditional Groups

The interest or pressure groups may be divided into two categories, on the basis of their
organisation. These are either mass groups or traditional groups. This distinction is
similar to the one between mass and traditional parties.

Like the mass political parties, the mass groups also have large membership. The groups
having thousands or even lakhs of members require an effective organisation. This
category includes well-organised trade unions, and also organisations of farmers,
associations of craftsmen, and associations of small businessmen. These are groups
related to industrialists or workmen of various types. In addition, there are youth
organisations, associations of athletes, and cultural committees. The earliest mass groups
were set up on the initiative of socialist parties to organise the working people. Thus,
the bases of both the trade unions and socialist movements can be traced to the working
people. Today, there are numerous interest groups having a common objective, but
operating in the social sector. Some of such groups, according to Duverger, are groups
concerned with disarmament, abolition of nuclear weapons, and those fighting against
casteism, communalism and fundamentalism. However, in the People’s Republic of
China and other former and present socialist countries several mass organisations act as
subsidiaries of the concerned Communist Parties. Practically every enlightened person
helps interest groups in giving them the form of mass movements, by their active
association. Some of the mass groups are youth organisations, women’s groups and
peace movements largely, but not essentially, in communist countries. Duverger describes

124
them as the parallel hierarchies. Such groups are now becoming active in western liberal
democracies.

You have read in the last unit that traditional political parties are generally associated
with elitist sections. Similarly, traditional pressure groups value quality more than the
members. They are relying more and more on the elitist sections.

The earliest elitist groups include the intellectuals’ organisations of the eighteenth century,
and the twentieth century political clubs of France. For example, The Jean Moulin Club
of France is one such group. It has only about 500 members. Its members (elite) include
senior government officials, engineers, university professors and influential journalists.
Even in India, there are a number of elite groups with limited membership. One such
elite group in India is Association of Defence Officers’ Wives. Similarly, there is
Association of Steel Producers. The Federation of Indian Chambers of Commerce and
Industry (as mentioned earlier) is a very powerful elite group. Traditional, or elite group
of different countries include groups of concerned country’s industrialists, associations
of higher administrative service officers, unions of intellectuals, of writers, of poets, or
artisans etc. There are many such groups in the UK, USA, France, Germany, Japan and
India.

24.3 INTEREST/PRESSURE GROUPS AND POLITICAL

PARTIES
A distinguishing feature of interest/pressure groups is that they seek to influence public
policy-makers, but without attempting to take over directly the control and conduct of
the government. Political parties, on the other hand, are primarily concerned with
governance – to contest elections and try to secure majority of seats in the legislature,
or the office of chief executive, and govern the country. Neumann pointed out the
distinction between parties and the interest groups thus:

Fundamentally, pressure groups are the representation of homogeneous interests seeking

influence. The interest group is strong and effective when it has a directed specific
purpose. Political parties, on the other hand, seeking office and directed towards policy
decisions, combine heterogeneous groups. In fact it is one of their major themes to
reconcile the diverse forces within political society. Theirs is an integrative function
which is not the domain of the interest groups.
Maurice Duverger made a distinction between the two in the following words:
Political parties strive to acquire power and exercise it—by electing—mayors and
deputies, and by choosing cabinet ministers and the head of state. Pressure groups on
the contrary, do not participate directly in the acquisition of power or in its exercise;
they act to influence power while remaining apart from it… they exert pressure on it…
Pressure groups seek to influence the men who wield power, not to place their own men
in power, at least not officially…

It is possible that sometimes members of a pressure group may become members of the
legislatures or even the executive; but even if that happens, it is kept secret. Harold R.

125
Bruce wrote: “In their relation to the political parties pressure groups are in the singular
position of being independent of them and also cooperative with them as a given
situation may dictate. Pressure groups are normally not partisan in character; they
disregard party lines; they seek popular support among the voters or support of members
of legislative bodies and executive authorities…” Similar views were expressed by
Duverger. He wrote, “Certain powerful groups actually have their own representatives
in governments and legislative bodies, but the relationship between these individuals
and the groups they represent remains secret or circumspect.”

Thus, political parties are directly engaged in political activity, including selection of
candidates for election, presenting formally formulated policies and a clear platform for
seeking popular votes, and if successful to run the affairs of state. Those who get lesser
number of votes and seats, sit in the opposition and offer constructive opposition to the
ruling party. None of them come within the role of the pressure groups. The interest/
pressure groups are essentially non-political associations. Their primary functions may
be economic, social, religious or humanitarian. Pressure is not their main business. They
do so if necessary for the promotion of the interests of their members. Parties are
committed to a wide-range of issues and policies; their goal is political power. An
interest group, on the other hand, has a narrower focus. It is primarily to articulate
specific demands that it comes into existence. As Professor S.R. Maheshwari wrote, “It
is the task of a political party to reconcile and aggregate their competing demands of
interest groups and put them into coherent programmes and action plans. Thus viewed,
political parties prevent the interest groups from directly dominating the decision-making
apparatus and process in a country.”

The relationship between the parties and pressure groups is not the same everywhere.
Each political system has different nature of parties and groups, as also their relationship.
In the United States and Britain, the interest groups articulate demands, seeking to
transform them into authoritative policies by influencing the political processes. While
the groups are functionally specific and differentiated, the parties play the aggregative
role. As Almond wrote, “… the party system stands between the interest groups system
and the authoritative policy-making agencies and screens them from the particularistic
and disintegrative impact of special interests.” Secondly, France and Italy offer a different
type of relationship. In these two, and some other countries, both the parties and interest
groups exist as fairly well organised entities, but not as autonomous systems. The
parties control the groups in various ways. Thus, one finds communist-controlled or
socialist party-controlled trade unions. In such a situation, “the interest groups get
prevented from articulating functionally specific, pragmatic demands, for their activities
have become highly political.” When groups allow themselves to become affiliates to
parties, they, in turn, weaken the capacity of parties to aggregate various interests.
Thirdly, in several third world countries of Asia, Africa and Latin America, neither the
parties nor the pressure groups stand very well differentiated. In the words of Gabriel
A. Almond, “Associational interest groups such as trade unions and business associations
may exist in the urban westernised parts of the society, but in the village and the
countryside interest organisation takes the form of lineage, caste, status, class, and
religious groups, which transmit pressure demands to the other parts of the pressure
structure by means of information communication.” In many of the Third World countries,

126
parties tend to be adhoc arrangements, without clear policies and without grassroots
organisation. Consequently, adds Almond, “… the significant political groups are neither
the parties, nor the associational interest groups, but elements of cliques from the
bureaucracy and the army.”

Whatever pattern is followed in a political system, it is clear that the pressure groups,
despite being independent of the parties, do still maintain contacts with them, in one
way or the other, and try to influence legislation and decision-making process through
these contacts.

24.4 CLASSIFICATION OF INTEREST GROUP

Interest groups have been variously classified by different scholars. Some of these
classifications are briefly discussed below. Certain conclusions will be then drawn from
these analyses.

24.4.1 Almond’s Classification

In detailed analysis of interest groups, Almond says that there can be four different
types of groups. This classification has generally been supported by Hitchner and Levine
also. According to Almond, the interest groups are of following types:
i) Institutional Interest Groups;
ii) Anomic Interest Groups;
iii) Associational Interest Groups; and
iv) Non-Associational Interest Groups.
The institutional interest groups are closely connected with various institution, and even
political parties. These groups also exist with in the legislatures, bureaucracies, churches,
corporations and even armed forces. They are very active in the bureaucracy, for it is
there that most of decision-making is done. They are equally close to legislatures. They
form part of a highly organised structure, but this structure has been created for purposes
other than what these groups articulate. These groups do not need any other organisation
to articulate their demands. As Almond said, institutional interest groups are “formal
organisations, composed of professionally employed personnel, with designated political
and social functions other than interest articulation. But, either as corporate bodies or
as smaller groups within these bodies (such as legislative blocs…). These groups may
articulate their own interests or represent the interest of other groups in the society.”
Such groups are very influential and powerful. In some of the third world countries,
they are not satisfied only by exercising influence. They even seize power, as, for
example, the military clique did in Burma, or Bangladesh (After Sheikh Mujib’s murder),
or Pakistan, or Nigeria. These are exceptions. These groups are generally concerned
with better conditions for their members.

The anomic interest groups, Almond said, are “more or less spontaneous penetrations
into the political system from the society.” These groups often appear when normal
means of expressing dissatisfaction prove ineffective. They may be concerned with

127
religious or linguistic or ethnic disturbances, or demonstrations, even assassinations and
hijackings. They are generally characterised by unconventional, usually violent means.
Such groups may influence the political system in numerous unconventional ways. They
are occasionally found even in the western developed nations.
The associational interest groups are closely associated with formally organised
institutions. They are functionally specialised, and they articulate the interests of specific
groups, such as management, labour, business and agriculture. These groups are found
in those countries where right to association is constitutionally recognised. Some of
them have regular paid employees on their roles to influence the concerned institution.
These groups are generally concerned with economic interests. The Federation of
Economic Organisations, and the Federation of Indian Chambers of Commerce and
Industry are some of the examples of associational groups. The associations of teachers,
lawyers, doctors and other professionals all come in this category.
Unlike the well-organised associational system, the non-associational groups are based
on factors like kinship, ethnicity, status and religious. They articulate the interests
informally and irregularly. They do not have any permanent organisation.

24.4.2 Jean Blondel’s Classification

Interest groups have been classified by Blondel on the basis of factors responsible for
their formation. Broadly speaking there are two categories of groups. These are (i)
community interest groups; and (ii) associational groups. Both the categories are further
divided into two sub-categories each.
The community interest groups are formed to promote community interests. The social
relations are in the back of their formation. Community life brings people together.
They share the joys and sorrows of people together. Most of the community groups are
informal; only some are formally organised. They put pressure on the government to
seek state protection and assistance. The community groups are divided between (a)
customary and (b) institutional groups. The groups that essentially follow the customs
and traditions of the community fall in the category of customary groups. The groups
of castes and sub-castes in India are of this type. Blondel has described those community
groups as institutional who are formed by people living together for a long time, and
who develop common social relationship. Some of the examples of this type can be
welfare associations of serving or retired soldiers like the veterans unions, the civil
servants welfare associations, or the senior citizens’ welfare bodies.
The associational groups identified by Blondel generally follow the pattern of Almond
and Hitchner & Levine. These groups have two sub-categories (a) protective groups and
(b) promotional groups. The protective groups try to protect the interests of their members
like those of trade unions and associations of traders or professionals. They, thus, have
more or less homogeneous clientele. The promotional groups, on the other hand, have
membership or large cross-sections of community. The promotional groups may include
group for disarmament, or the Greens seeking promotion of environmental security.
Besides, the protective groups generally manage to have greater influence over policy-
making process than the promotional groups. As Robert Salisbury wrote, in the context
of British groups, the protective groups have “substantial influence over policy”, whereas

128
“promotional pressure, even when they mobilise a large following, tend to be regarded
as having only a minor impact on public decisions.” Finally, the protective groups
generally have more flexible strategies, while the promotional groups face the problem
of goal adaptation following the change in political situation. The protective groups
never run out of the agenda, while the promotional groups are terminal in nature, at least
in conception.

24.4.3 Maurice Duverger’s Classification

Maurice Duverger, who prefers to use the term pressure groups, talks of two main
problems. These are: First, whether those groups should be called pressure groups
whose only function is to exert political pressure, or even those can be called pressure
groups which have multi-dimensional activities. Second, whether the term pressure
groups should be used only for non-official groups or even official groups can be
brought in this category. It is in the context of these two questions that Duverger
offered the following classification.
In the context of his first question, Duverger distinguishes between (i) Exclusive Groups;
and (ii) Partial Groups. In the first category are those groups whose only function is to
put pressure on the political system. Thus, the French Parliamentary Association for the
Defence of Educational Freedom is an exclusive group. There are several groups in the
United States who are whole-time in the business of pressure politics, through the
device of lobbying (see below). The partial groups, on the other hand, are essentially
set up to be the promoters of interests of their members, but in that process do occasionally
use pressure tactics. There are numerous such partial groups in every democratic country
including Britain and India. Several associations of professionals (doctors, lawyers,
chartered accountants, and architects), of university or school teachers, or women activists,
or those concerned with cultural activities also, if needed, try to put pressure on civil
servants, legislators and others. But, there can be no rigidity in this classification. Any
partial group may take to whole time pressure politics.
On the second basis, Duverger makes a distinction between (i) Private Groups; and (ii)
Public Groups. The first country to have experienced the pressure groups was the
United States, where private institution groups had begun to use pressure on the state
apparatus. Gradually, even official or public groups also joined in the process of pressure
politics. The official groups may even include those officials who secretly align themselves
with one or more pressure groups to serve certain interests.
Duverger also refers to, what he calls pseudo-pressure groups. These groups include
specialists who use pressure politics not for themselves, but for others. This is often
done for monetary consideration. Duverger includes in this category, the technical experts
as well as information (mass) media. A reference will be made below, while dealing
with the role of pressure groups, to the role of mass media.

24.5 ROLE OF INTEREST/PRESSURE GROUPS

The role of pressure groups depends to a large extent on the type of government that
a country has. Their role in the presidential system, as in the United States is more

129
significant than that in parliamentary democracies, like Britain and India. Their role is
minimum, or non-existent, in one-party states, and particularly in authoritarian systems.
Their role is highlighted by Henry Ehrmann, while discussing the merits of pressure
groups. He says: “The interests which they represent link their membership with
community values. Hence groups are likely to reflect more accurately than do other
bodies, the concerns of the society in which they operate.” Further, where the formal
system of representation proves inadequate, interest groups, represent community values
more realistically than do parties.
Interest groups employ all conceivable methods to promote their interests. They request
and cajole, they bribe and entertain. The most popular method of pressure politics,
called lobbying, was developed in the United States. Lobbying is only one of the
methods of pressure politics, yet it is the most effective. Lobbying is, peculiarly American
practice, and its practitioners try to directly influence the lawmakers and other officials.

24.5.1 Lobbying
Lobbyists, in the words of Alfred de Grazia are “highly organised; they claim large
membership lists; they have agents who are skilled in persuasion and public relations;
they insist that their purposes are consonant with the public welfare.” Lobbying is, as
mentioned above, an American practice, though it is not the monopoly of the United
States. Lobbying is practised in many other democratic countries also, yet it will be
appropriate to discuss this practice in the American background.
The term “lobbying” is used to indicate the technique of establishing contracts with the
members of Congress and state legislatures to influence them to vote for or against a
measure to suit the interest of a pressure group. Very often pressure groups engage ex-
members of the Congress to influence the legislators. They are familiar with the lobbying
techniques. There are several hundred regular ‘lobbyists’ working permanently in
Washington D.C. They are paid employees of interest groups. They need not necessarily
influence the legislators in the lobbies of the Congress, although the term is derived
from that. According to Johnson, much of the time of Congressmen is spent “at the
behest of groups and individuals, in urging administrative officers from the President
down to ‘go easy’ on enforcing certain laws, to enforce others vigorously… and so on.”
Representatives of special interests haunted the environs of the First Continental Congress,
but the word “lobby” was not used until 1808 when it appeared in the reports of the
tenth Congress. By 1829, the term “lobby-agents” was used for favour-seekers at the
capital of New York. By 1832, it had been shortened to “lobbyist” and was widely in
use in the American capital.
The lobbyists build ‘contacts’ with the Congressmen “dog their footsteps”, and try to
influence their decisions and votes. Generally they seek to promote the legitimate interests
of the groups, but sometimes do indulge in selfish game also. In some rare cases even
methods such as bribery—direct or indirect—and blackmail are also used to influence
the legislators. A strong-willed Congressman may even be coerced by arranging a flood
of letters, telegrams and telephonic calls from the voters in his district. In recent years
legislative provisions have been made to curb the pressure politics and lobbying, but it

130
cannot be said that much success has been achieved in checking the practices. Political
parties, pressure politics and lobbying have become parts of American political system.
Most of the American interest groups have been economic in character. There have been
labour pressure groups that seek to represent the point of view of organised labour in
elections and in the Congress. On the other hand, there have been business pressure
groups that sought to represent the interests of industry. In recent times, however,
several groups have emerged that focus on social activities. Some such groups are, the
National Council of Christians and Jews and the United Methodists. Thus, every major
community has its own lobby. There are several new ideological interest groups like the
Common Cause and the National Committee to Secure a Free Congress. This is a very
special group known as “Save the Whale”. They print bumper stickers saying “Save the
Whale”.
The common belief is that the pressure groups have an impact only on the legislative
process. Actually, as Dr. Kirkpatrick asserts, pressure groups in America impact on
decision-making process at every stage… They impact on public opinion. They have
large campaigns. Advertisements get placed in newspapers.” The pressure groups are
very active during national as well as local elections. The groups influence the executive
officers and even the judges.
The French scholar Alexis de Tocqueville had once said if you put three Americans in
a room together they would from an organisation. It is true. Americans have been
described as “joiners”. They are organisers. They form pressure group and seek solution
of all their problems through them. Dr. Kirkpatrick refers to the role of organised group
even in non-government spheres. She told an Indian interviewer in 1978.
“I am a member of the American Political Science Association (APSA). Every learned
profession in the United States has its own professional association. These conventions
bring a lot of business into a town and to hotels: hotels survive on the business of these
conventions.”
“The American Political Science Association has a contract to hold its next convention
in Chicago. But the organised women groups inside the American Political Science
Association mobilised a very effective political action campaign within the APSA, and
secured a vote that the meeting should not be held in Chicago,” because Illinois (the
state in which Chicago is situated) had not ratified an amendment to the Constitution
providing for equal rights for all men and women.
It is true that pressure groups are now active in every democratic country including
Great Britain and India. But, there is no doubt that the active role that the interest groups
have played in the American politics is more significant than the role played by similar
groups in other countries. They have actually become the ‘Anonymous Empire.’

24.6 SUMMARY
Interest groups are voluntary associations of people who have common interests to
promote and protect. These interests may be economic, social, cultural, linguistic or
religious. Each country has a very large number of interest groups. Since an individual

131
often has several interests—as an employee of the state, or of a public or private
undertaking, as a devout believer, as an office-bearer of a residents’ welfare association,
or as an activist of a movement such as Narmada Bachao Andolan or the Association
of Defence of Freedom of Education of France. The groups may be permanent like the
trade unions or chambers of commerce or industry. Some groups may be purely temporary
such as group to fight sectional violence or to provide relief to the victims of earthquake
or a cyclone. Some of the groups are private, while others are public or official. There
may also be some semi-private group. Interest groups are generally called the pressure
groups as most of them, most of the time, try to put pressure on the legislators, bureaucrats
and other officials to have legislation enacted or policy formulated to suit their interests.
There may be a small number of interest groups who may not resort to pressure politics,
but such groups are rare. Thus, pressure is an important activity of interest groups.

Interest/Pressure groups have been classified by several scholars on different criteria. In

the present unit, you have made aware yourselves of the classifications of Almond,
Hitchner and Levine, Jean Blondel and Maurice Duverger. You have also read that
depending on the base of a group it may be either a mass group or a traditional group.
You have also read that pressure groups are not political parties. The two are entirely
different. While parties seek political power of governance, the pressure groups are
essentially concerned with interests of their members, and for that purpose they apply
pressure. The most common device of pressure politics is lobbying. This practice
originated in the United States, and is largely, though not exclusively, adopted in that
country. In practice pressure is applied on the legislators and others not only in the
lobbies of the legislature, but whatever the pressure tactics, like bribery, jobs for relatives,
five star luxuries, etc., are used, collectively the device, wherever practiced, it is called
lobbying.

24.7 EXERCISES
1) Define interest groups, and highlight the distinction between interest groups and the
pressure groups.
2) Distinguish between mass and traditional interest groups.
3. Discuss the relationship between the political parties and the pressure groups.
4) Distinguish between institutional, anomic and associational interest groups.
5) Explain Maurice Duverger’s classification of pressure groups.
6) Discuss lobbying as a device of pressure politics.

132
UNIT 25 POVERTY AND HUMAN DEVELOPMENT
Structure
25.1 Introduction
25.2 Poverty: A Broader Outlook
25.2.1 Poverty Related ‘Other’ Concepts
25.3 Poverty and Inequality
25.3.1 Growth, Poverty and Inequality
25.4 Measurement of Poverty
25.5 What is Human Development?
25.5.1 Human Welfare: Traditional Thinking
25.5.2 Human Development: Current Thinking
25.5.3 Status of Human Development at Global Level
25.5.4 Measures to Improve Human Development
25.6 Globalisation, Poverty and Human Development
25.7 Summary
25.8 Exercises

25.1 INTRODUCTION
One often comes across terminologies like the “world is divided between haves and
have nots” or “poverty anywhere in the world is danger to prosperity everywhere”.
These terminologies point out to very core issues of poverty and human development
normally faced by the developing and the least developed countries. The issues have
come to the fore in the post World War II period as some countries progressed rapidly
and industrialised their economies, while some remained poor. The industrialised countries
became developed and were able to solve the problems of employment, provision of
public goods and basic services to a large extent. The poor countries have not been able
to adequately industrialise their economies and have been grappling with the problems
of unemployment, low per capita income, illiteracy, inadequate basic health services
and sanitary facilities etc.

The problems of the poor countries since the beginning of the 1980s have become
critical as the wave of globalisation and privatisation compel them to readjust and
restructure their economies under the guidelines of international financial and trade
organisations. The policy guidelines, so far, have not proved so beneficial mainly because
the process of globalisation and privatisation is skewed towards the developed countries.
Against this backdrop we analyse the subject matter and bring out the various facets
involved in its discussion.

25.2 POVERTY: A BROADER OUTLOOK

There are two broad views on poverty: one is of a sociologist and other is of an
economist. A sociologist looks at it as a multidimensional concept by taking into

133
consideration the many aspects of human well-being. For instance, people deprived of
social contacts are described as being socially isolated, and hence poor in this dimension.
Similarly, people living in squalid housing are viewed as “housing poor and people with
health deficits as “health poor”. Individuals who fail “to reach ‘minimally acceptable’
levels of different monetary and non-monetary attributes necessary for a subsistence
standard of living” are defined as being poor.

Economists tend to prefer a concept of hardship that reflects “economic position”, or

“economic resources”. However, there are widely varying perspectives on which economic
variables best identify those people whose economic position lies below some minimally
acceptable level. Some rely on the income of a family, and compare this to some
minimum income standard or “poverty-line”. Others look to the level of consumption
as an indicator of the living. Still others rely on families’ own assessment of their
economic well-being, and move from this assessment to a judgment regarding who is
poor and how many of them there are.

Another concept (within the economists’ purview) recently brought out by Amartya Sen
is concerning ‘human capabilities’. This concept rests on individual “capabilities”. Like
other poverty measures, this measure seeks to identify those in the population who
experience the most severe hardship, those who are the most deprived. In this case,
those who are at the bottom of the distribution of “capabilities-to-generate-minimum-
necessary-income” are taken to be the most needy. This is “self-reliant poverty” indicating
that individuals who are self-reliant poor are unable to be economically independent.
The income they are capable of generating lies below a socially-defined minimum
standard of living. In essence, being incapable of independently securing sufficient
income to meet basic needs may reflect a more debilitating and vulnerable situation than
being short of cash income in a particular year, living currently in substandard housing,
or even living temporarily at a consumption level below a minimum acceptable standard.
The ‘capability’ concept is explained by Amartya Sen: “The basic failure that poverty
implies is one of having minimally adequate capabilities and hence that ‘poverty’ is
better seen in terms of capability failure than in terms of the failure to meet the ‘basic
needs’ of specified commodities”.

Human capabilities are examined at an individual and collective level. Poor people need
a range of assets and capabilities at the individual level (such as health, education, and
housing) and at the collective level (such as ability to organise and mobilise to take
collective action to solve their problems). Closely connected with the concept of
‘capabilities’ is ‘entitlements’ developed by Amartya Sen. Entitlements, as described by
Sen are “Socially Sanctioned claims, effective legitimate command over food that is
available”. A person’s effective legitimate commands are his or her entitlement. The
failure of entitlement to cover subsistence needs is mostly the cause of starvation and
death in famines. This had happened during a famine in West Bengal (in India) in 1942
and this has been happening in certain parts of Africa in recent years.

However, expansion of entitlements should not be seen as the ultimate goal of human
well-being. Instead the focus of real interest is what people can do and be with their
entitlements. The capability of doing valued things (functioning) is what really matters.

134
A person’s capability, in Sen’s words, is defined as “the set of functioning bundles,
representing the various ‘beings and doings’ that a person can achieve with his or her
income, social and personal characteristics.” A person’s capability to be nourished
depends crucially on other characteristics of a person that are influenced by such non-
food factors as medical attention, health service, basic education, sanitary arrangements,
provision of clean water, eradication of infectious epidemics and so on. This concept of
capability has gained much ground in various poverty eradication programmes of the
World Bank and non-governmental organisations (NGOs) working at the international
level. Mainly because it has been observed that mere rise in income of an individual or
a family cannot provide sustained capacity to a person or a family to achieve either
minimum standards of income to lead a dignified life in a long period. And by
strengthening human capabilities there is assurance of enriching human development.
The concept of human capabilities and human development are interdependent and
correlated.

25.2.1 Poverty Related ‘other’ Concepts

Most of the time issue of poverty gets messed up with other issues which create confusion
in understanding the issue in proper perspective. In the following lines we would throw
light on such issues.

Who is Poor?

The idea of poor is different in different societies, and is likely to depend on value
systems as well as economic factors. For long and in many cultures of the world poor
was not always the opposite of the rich. Other considerations such as falling from one’s
station in life, being deprived of one’s instruments of labour, the loss of one’s status,
lack of protection, exclusion from one’s community, abandonment, infirmity, or public
humiliation defined the poor. Mere a certain level of income is not taken as an indicator
of poverty or labelling a person as poor.

Relative Poverty and Social Exclusion

Individual, families and groups in the population can be said to be in poverty when they
lack the resources to obtain the types of diets, participate in the activities and have the
living conditions and amenities which are customary, or at least widely accepted and
approved, in the societies to which they belong. Their resources are so seriously below
those commanded by the average individual or family that are, in effect, excluded from
ordinary living patterns, customs and activities. Social exclusion is the process through
which individuals or groups are wholly or partially excluded from full participation in
the society in which they live. The idea of social exclusion originated in France and is
now applied throughout the industrialised world of the North (i.e., the developed West
and the European Union). However, its applicability for the countries of the South. (i.e.,
the developing and the least developed countries) is a matter of debate. Because, most
countries of the South are deprived of minimum basic needs and therefore the concept
of human capabilities is largely applicable to them.

135
Chronic Hunger and Famine

Chronic Hunger
Chronic hunger is a sustained nutritional deprivation (i.e., under-nutrition) of population.
Chronic hunger is one aspect of a wider set of deprivations understood as poverty. Most
of the time in print and electronic media one notices pictures of under-nutritious children
and their mother from several parts of Africa like Sudan, Ethiopia, Rwanda, Burundi,
Uganda etc. There the children under-5 mostly face under-nutritious situation and
ultimately die. This has almost been the regular phenomenon in these countries.
Famine
Famine is a crisis in which starvation from insufficient intake of food, combined with
high rates of disease, is associated with sharply increased death rates. During famine
one can notice a sharp increase in mortality arising from acute starvation and related
disease. However, famine is not the only form of hunger. In many parts of the world
where famine has not occurred for several decades, sustained nutritional deprivation
(i.e., chronic hunger) is, nevertheless, experienced by a significant proportion of the
population. This long term condition of chronic hunger kills more people globally than
the acute crisis of famine does.
Gross National Product (GNP) and Gross Domestic Product (GDP)
While categorising a country as a developed, developing or a least developed country
the national income is taken into consideration. The national income comprises many
factors and for its measurements GNP/GDP concepts are often used. GNP is the total
income available for private and public spending in a country, while GDP measures the
size of the economy. However, both are defined technically in terms of output. GDP is
clearly and simply an output measure, defined as the total final output of goods and
services produced by an economy.
In the case of GNP, output is used to define a measure of income. Thus GNP is the
‘total domestic and foreign output claimed by residents of a country’ in one year. What
they ‘claim’ is also their income; thus GNP is a measure of national income and GNP
per capita is a measure of the average income of each member of the population,
including what they may earn or receive from abroad. GNP and GDP are closely related.
The GNP of India, for example, is the output produced in India (its GDP), less whatever
is ‘claimed’ by foreigners (repatriated profits, migrant workers’ earnings, etc.), plus
what Indians earn outside the country (remittances from abroad, returns on investment
abroad).
The growth in the GDP is seen as a indicator of progress of an economy. If a country
with relatively less number of population increases its GDP rapidly then that country is
looked upon as a developed or a rich country. For instance, Sweden, Japan, Norway,
US, Australia, UK, France, etc. come under this category. Contrary to this, countries
with moderate GDP growth and relatively large population and small size of economy
either fall in developing or least developed countries. They are also called as poor
countries. Such countries are mostly located in Southeast and South Asia, Africa and
Eastern Europe.

136
25.3 POVERTY AND INEQUALITY
Before proceeding further we will touch upon a related issue that is the difference
between poverty and inequality. Do they impact each other? With the advent of
globalisation, since the beginning of 1980s, one often comes across a phrase – the rich
are getting richer and the poor are getting poorer. It precisely indicates gap between the
rich and poor is widening and that the economic inequality or inequality of income and
expenditure is expanding. However, poverty and inequality are two different things but
they are closely related too. Economic inequality, usually of income or of expenditure
over a period of time such as a year or month, refers to the manner in which that item
is distributed among members of a group, frequently a country. Inequality in wealth, at
a given point in time, also refers to its distribution. Since distribution, in this sense, is
share, it is a matter of comparison. A standard procedure that economists use is to
compare the (percentage) share of the top 10 per cent and the bottom 10 per cent
households in the country. These shares can also be expressed as ratio. Inequality, then,
is relative.

The measurements of poverty are quite different. To measure it, it is necessary to agree
upon a norm. The norm could be physical such as requirement of certain calories a day
per person, as was done in the 1960s and 1970s in Asian and African countries, or could
be a monetary figure, such as earnings or expenditure (a day, a month etc.) Physical
norms, of course, can be converted into monetary equivalents provided appropriate
goods yielding the physical quantity can be located and their prices too can be agreed
upon. Poverty line such a figure commonly is accepted (US dollar a day, for instance)
with those below it considered poor. In nutshell, inequality is expressed as a ratio and
the poverty line as an absolute sum. However, neither the measurement of inequality or
of poverty can be foolproof, mainly because the assumptions about economic conditions
/ factors keep changing frequently within the household as well as at the national level.
Similarly there cannot be uniform prices of the goods and services for a long period
which is mostly taken as a measure of consumption expenditure. Therefore, we find
differences among economists about the extent of poverty and economic inequality.

25.3.1 Growth, Poverty and Inequality

It is mostly presumed that (economic) growth reduces poverty and inequality. However,
the empirical studies carried over a period of time in developed, developing and the
least developed countries give a different picture. Undoubtedly growth can impact poverty
and inequality; but one cannot determine the course of its impact. Growth can reduce
poverty and inequality; growth can reduce poverty and increase inequality; growth can
increase both poverty and inequality. These diverse patterns are possible because growth
is not a uniform numerical addition. It is a process of change that affects not only the
volume of output, but the composition of that output, the number of production, the
relative values of particular goods, the participation of different sections of the population
in productive activities, the purchasing power of different sections and so on. How these
impact on poverty and inequality will have to be empirically examined. Again empirical
results of one country cannot be applied to other countries, nevertheless certain inferences
can be drawn from such studies which can be tested in different situations. For example,

137
if there is an increase in the cereal production achieved by labour displacing methods
of production, and if the increased output is largely exported, it can lead to an increase
both in poverty and in inequality. On the contrary, if the increase in output leads to a
fall in cereal prices, a reduction in poverty is possible.

Various empirical studies that were carried out in the US in the 1990s show that
between 1970s and 1980s the gap between US rich and poor has widened although the
US economy grew rapidly and expanded substantially during the period. According to
one authentic study between 1977 and 1990 the average income of the poorest fifth of
America declined by 5 per cent, while the richest fifth became about 9 per cent wealthier.
That left the poorest fifth of Americans by 1990 with 3.7 per cent of the nation’s total
income, down from 5.5 percent in 1950s and 1960s. And it left the richest fifth with a
bit over half of the national income. In US the top 5 percent command 26 percent of
the nation’s total income. These changes in inequality had a similar effect on the
livelihood of many ordinary Americans. Many were employed but their emoluments
were insufficient to provide them minimum living standards. This led to rise in poverty.
Such findings establish the relationship between inequality and poverty.

25.4 MEASUREMENT OF POVERTY

Reducing poverty is a goal of nearly all societies. Yet, no standard measure of poverty
exists among nations, organisations and scholars. Poverty applies to individuals and
households and therefore poverty measures / indices are constructed by taking into
consideration per capita per day income. For instance, World Bank does this by measuring
a ‘poverty line’ which represents an income level below which a person is held to be
in extreme poverty. If a person’s income is less than US one dollar a day (measured in
1985 Purchasing Power Parity – PPP) then he / she should be seen as living below
poverty line and is extremely poor. A person’s income is considered in Gross National
Product (GNP), i.e., GNP per capita. GNP per capita gives an indication of the average
material living standard of a nation’s people. An increase in GNP per capita could mean
development implying an increase in prosperity or economic well-being and hence less
poverty. However, GNP per capita has limitations (in idea of entitlement). GNP per
capita is a measure of average income based on market-valuations, and hence there are
several ways in which the measure fails to give a full indication of the incidence of
poverty. Being an average, GNP per capita says nothing about the distribution of wealth
between rich and poor. The idea of measuring poverty at the level of entire nations and
hence labelling certain countries as poor on the basis of their GNP per capita is a recent
phenomenon. Global poverty is an entirely new and modern construct and the advent
of global consumer society has prompted this notion.

Estimation of poor people at a global level is regularly done by the World Bank as well
as other organisations and researchers. The estimates recently brought out by the World
Bank are exhibited here in Table 1. It shows over 2.8 billion people the world over are
living below poverty line towards the end of the 20th Century. The maximum number
of poor was in South Asia: little over half a billion people. However, the poverty rate
has declined in South Asia during the 1990s. Next to South Asia was Sub-Saharan
Africa where both the number of poor as well as poverty rate has gone up. In East Asia,

138
number of poor and poverty rate has declined and China has been able to reduce poverty
substantially. Poverty in Eastern Europe and Central Asia has increased by five times.
The rise in the number of poor in this region indicates turmoil in political situation
which is affecting “good governance” particularly in the social sector. There is marked
fall in the incidence of poverty in the Middle East and North Africa; however the
situation in Latin America and Caribbean remained almost the same. On global level,
although the poverty rate has declined to a certain level, the number of poor has remained
almost the same. This situation paints a worrisome picture. Even though there are
massive efforts to alleviate poverty, the success is unsatisfactory.

TABLE 1 : Population Living Below $1.08 and $2.15 per day at 1993 PPP by Region
Region $ 1.08 per day $ 2.15 per day
Head count Index (%) Number of Poor Head count Index (%) Number of Poor
(millions) (millions)

1987 1998 1987 1998 1987 1998 1987 1998

East Asia
(excluding 26.60 14.71 417.53 267.30 67.04 48.72 1052.32 885.29
China)
23.94 9.47 114.14 53.87 62.90 44.29 299.92 252.01

Eastern Europe 0.24 3.75 1.07 17.80 3.59 20.70 16.35 98.24
and Central Asia

Latin America 15.33 12.13 63.66 60.86 35.54 31.72 147.56 159.14
and Caribbean

Middle East 4.30 2.11 9.31 6.03 30.03 29.85 65.09 85.28
and North Africa

South Asia 44.94 40.00 474.41 521.84 86.30 83.93 911.04 1094.95

Sub-Saharan 46.61 48.05 217.22 301.32 76.52 77.95 356.64 488.82

Africa

Total 28.31 23.45 1183.19 1175.14 61.00 56.11 2549.01 2811.73

Total (excluding 28.51 25.56 879.81 961.71 58.22 57.90 1796.61 2178.44
China)

Note: The headcount index is the percentage of the population living in households with a consumption
or income per person less than the poverty line.
Source: Chen, S. and Ravallion, M. (2001), ‘How did the World’s Poorest Fare in the 1990s’? in the
journal ‘The Review of Income and Wealth’, Series 47, No.3.

25.5 WHAT IS HUMAN DEVELOPMENT?

The foregoing analysis brings out one issue prominently i.e., “human capabilities” is
important in eradicating poverty. The increase in “improved capabilities” enables a
person to widen his social choices which ultimately help him to lead a decent life.
Traditionally human well-being was seen in terms of material welfare, i.e., how much
an individual can acquire material wealth or assets. And for a community or society, the
well-being was considered in terms of command of few individuals over the majority

139
wealth of a country. However, in recent period, this view has undergone a drastic
change and more stress is now put on human development which covers wide range of
aspects in the individual case as well as society and the nation.

25.5.1 Human Welfare: Traditional Thinking

Until recently, in the assessment of (material) welfare of human communities two steps
were involved. First, to measure welfare (i.e., income) of each individual in the
community. Second, combine the welfare (i.e. income) of these individuals in some way
to get a measure of aggregate level of welfare for the society as a whole. Traditionally
welfare was taken to be synonymous with material welfare and was measured by one’s
command over material resources. Since money is a common measure of all material
possessions it was believed that some function of income (or some close proxy of it)
would capture most of the aspects of welfare and measure it adequately. Accordingly,
welfare of an individual was measured by his income alone. Also the individual welfares
were aggregated in a simple way by adding all the component incomes and dividing the
sum by number of such incomes added to get an estimate of per capita income. Thus
Gross National Product (GNP) per capita or one of its variants remained in use for long
as an indicator of aggregate welfare of a community.

The shortcoming of this measurement was that it took into account only income of an
individual/communities into consideration but neglected other factors such as accessibility
to public goods, human capabilities, status of women (employed or unemployed), social
status of an individual (despite the level of income), political freedom, etc. To overcome
these shortcomings a new thinking has evolved since mid-1970s mainly centring around
distribution of income in the society and availability of social choices to each individual
to enhance one’s capabilities to lead a decent life.

25.5.2 Human Development: Current Thinking

In the traditional view (i.e., material welfare), development is people’s command over
resources like flow of income and ownership of assets, or at times measured in terms
of expenditures likely to improve quality of life, such as, on education, health, nutrition,
housing, safe drinking water, sanitation and other social services. Economic growth is
necessary to meet the objective of better quality and content of life. However, translation
of growth into better quality and content of life is not automatic. It matters whether the
resources at its command are efficiently utilised by the society for achieving higher
goals or used in “wasteful” expenditures, such as on wars, producing and consuming
alcohol and other intoxicants, flesh trade, gambling, etc. In modern thinking, human
development is seen in terms of whether economic growth has been successfully translated
into improvements in various aspects of life.

What are these various aspects of life? They are acquisition of knowledge, enjoyment
of a healthy and long life. Development, here, is people-oriented and viewed as expansion
of people’s capabilities. The people’s capabilities are measured in terms of their abilities
to improve individual’s life as well as society’s as a whole. For instance, an ignorant
person in poor health has much less capabilities than a knowledgeable and healthy
person and therefore is at a lower level of development.

140
The current debate on human development since the beginning of the 1990s was the
result of massive exercise carried out by the United Nations Development Programme
(UNDP) to bring forward human development profile of each nation in the world. The
UNDP published its first Human Development Report (HDR) in 1990 and since then
it brings out HDR annually. For measuring the status of human development in each
country the UNDP constructs a Human Development Index (HDI). The HDI is constructed
by taking into account three variables viz., life expectancy, adult literacy and (real)
GDP. The HDR indicates the position of various population sub-groups in the human
development ladder i.e., who stands where in terms of various indicators of development,
such as, female literacy, maternal and child mortality, expectation of life, old age security,
housing and sanitation, consumption and income.

The principal concern of the concept of human development is that the economic growth
of each country, especially least developed and developing country should be people
centric meaning people should be the centre-piece of economic progress. To achieve the
goal of human development the economic growth of each country must ensure the
improvement of quality and content of human life. However, there is difference between
human development and human resource development (or human capital formation).
Human development is a broader concept which looks at human beings more as the
beneficiaries and ultimate ends of the development process whereas human resource
development treats human beings as mere capital goods or participants in the
developmental process. Human development approach emphasises distributive policies
(of income) while human resource development indicates production structures. Human
development can be summarised as a process of enlarging people’s choices.

As mentioned earlier there are three indices for measuring human development: (i) adult
literacy rate for measuring education status of the people; (ii) life expectancy for measuring
health status; and (iii) GDP per capita for measuring standard of living. The first two
components are semi-public goods which are supported by subsidy by the respective
government of each country. The level of human development attained is influenced by
the level of subsidy provided. It underlines the fact that the deprivation in literacy and
life expectancy varies depending on the extent of variation in the respective subsidies
provided. The provision of subsidy depends upon both the priority accorded to the
development of education and health and the level of economic growth (i.e. capacity to
finance these two subsidised goods). However, the three processes, i.e., capital formation,
human development and economic growth occur simultaneously in any country / society.
These processes are intended to remove poverty thereby leading to the widening of
people’s choices.

25.5.3 Status of Human Development at Global Level

Table 2 here provides the glimpse of status of human development at global level. The
human development index (HDI) is used to throw the light on various regions of the
world. It clearly shows that in the achievement of human development the developed
countries (i.e. OECD) are much ahead whereas developing and the least developed
countries are far behind. The two regions, the Sub-Saharan Africa and South Asia are
in extremely bad shape: Their indices in the matter of life expectancy, adult literacy and

141
per capita income are nowhere near to the OECD countries. Their pathetic condition can
be linked to the low level of GDP growth. One way to achieve faster economic growth
is to redefine their economic policies. The persistent implementation of poverty alleviation
programme is essential as Table 2 clearly shows correlation between poverty and low
achievement of human development. Extreme poverty is the root cause of low
achievement in human development.

Table 2 : Human Development Index

Life Expectancy Adult Literacy Combined Primary, GDP per

at birth (years) rate (% age 15 Secondary and Capita
and above) Tertiary gross (PPP US$)
enrolment ratio (%)
2000 2000 1999 2000

Developing Countries 64.7 73.7 61 3,783

Least Developed 51.9 52.8 38 1,216

Countries

Arab-States 66.8 62.0 62 4,793

East Asia and the 69.5 85.9 71 4,290

Pacific

Latin America and 70.0 88.3 74 7,234

the Caribbean

South Asia 62.9 55.6 53 2,404

Sub-Saharan Africa 48.7 61.5 42 1,690

Central and Eastern 68.6 99.3 77 6,930

Europe and the CIS

OECD 76.8 100.00 87 23,569

High Income OECD 78.2 100.00 94 27,848

Note: Countries under high income OECD category are Norway, Sweden, Canada, US, Australia, Japan,
UK, etc. There are about 25 OECD countries. The OECD stands for the Organisation for Economic
Cooperation and Development.
Source: UNDP, 2002, Human Development Report, Geneva, Switzerland

25.5.3 Measures to Improve Human Development

Given the dismal picture of human development in developing and the least developed
countries various action programmes are suggested to change the situation. In the
following lines we elaborate these programmes:

i) Eradicating Extreme Poverty and Hunger

If one sees here Table 1 vis-à-vis Table 2 then one finds that there is direct and
proportionate relationship between poverty and human development. If a country is
poor then its human development record is unsatisfactory. People suffer from various

142
incapacities such as illiteracy, shorter life-span, etc. These incapabilities create the vicious
circle of social evils and therefore, the immediate goal of developing and the least
developed countries should be to halve the proportion of people living on less than US
one dollar a day. Moreover there is need to halve the proportion of people suffering
from hunger.

ii) Achieving Universal Primary Education

Primary education to all is essential as illiteracy breeds most of the social problems.
Primary education, especially of girls is the need of the hour. It is found that where
primary education is imparted to the women lot, especially in rural area, that country’s
population growth rate as well as infant mortality rate remains at low level. For instance,
Sri Lanka, Philippines, Malaysia, Kerala (in India) have achieved lowest birth and infant
mortality rate because of girls’ primary education. Therefore, there is an urgent need to
ensure that children everywhere-boys and girls alike-complete a full course of primary
education.

iii) Promoting Gender Equality and Empowering Women

It has been observed in developing and the least developed countries that discrimination
exists between boys and girls while enrolling them in primary and secondary education.
This is mainly because parents in these countries give preference to boys and spend
more money on boys’ education, especially in rural areas whereas girls are neglected in
education. The outlook towards girls is limited to performing household domestic work
and rearing children. The marriage age of girls is very low. The drop-out rate of girls
after primary education is unusually high because parents get them married at a tender
age. There is a need to eliminate gender disparities in primary and secondary education.
In addition there is need to empower women by providing gainful employment or
ensuring self-employment so that they can become economically self-reliant.
Empowerment is a desired process by which individuals, typically including the ‘poorest
of poor’ are to take direct control over their lives. Once ‘empowered’ to do so, poor
people will then (hopefully) be able to be the agents of their own development.

iv) Reducing Child Mortality

The prevalence of widespread malnutrition and under-nutrition among pregnant women

in developing and the least developed countries, especially in rural areas, make vulnerable
to various diseases and the children born to such women die before attaining age five.
The infant and under-five mortality rates in South Asia and the Sub-Saharan Africa is
unusually high. The low income and unhygienic conditions increases the vulnerability
of child to succumb to various diseases. The reduction in child mortality may provide
stability to the family structure and help to keep small family size.

v) Improving Maternal Health

As brought out earlier here the vulnerability of pregnant women is much higher in poor
countries because of malnutrition, under-nutrition and unhygienic conditions. It affects
adversely the health of a child, especially those who are under five. The mortality rate

143
of pregnant women in poor countries is unusually high. For reducing infant mortality
rate there is a need to improve the maternal health, particularly, during pre and post
pregnancy period.

vi) Combating HIV/AIDS, Malaria and Other Diseases

Since the beginning of the 1980s HIV/AIDS is rapidly spreading among the South
Asian and the Sub-Saharan African countries and causing death to the men, women, and
children. Especially innocent children are falling prey to this disease. It is estimated that
st
by the turn of half way mark of the 21 Century this disease may take the shape of
epidemic in the poor countries and the respective governments’ finances mostly may be
spent on combating this disease. Along with this disease, Malaria is also causing serious
concerns and despite persistent efforts to bring it under control, there is limited success.
Unless these diseases are brought under control there will be no hope in improving
human development.

viii) Ensuring Environmental Sustainability

Since the beginning of the 1990s the concept of economic development has been
transformed to sustainable development (SD). The SD is a wider concept encompassing
economic progress. Conceptually, the SD is presented as wise resource use by the
present generation in order to maintain similar quality of resources for future generations;
at the practical level it is presented as the objective of development projects, especially
local projects which involve environment resources (vegetation, soil, wildlife). The SD
calls for the integration of action in the following three key areas:
a) economic growth and equity,
b) conserving natural resources and the environment, and
c) social development.
The sustainable development is development that meets the needs of the present without
compromising the ability of the future generations to meet their own needs.

25.6 GLOBALISATION, POVERTY AND HUMAN

DEVELOPMENT
Since the beginning of the 1980s the wave of globalisation is sweeping the world and
the developing countries and the least developed countries are often advised by the
international institutions such as the World Bank, International Monetary Finance (IMF),
and WTO to minimise the role of state/government in economic activities and ensure
greater role of market forces. Although these countries are adjusting their economies to
accommodate this thinking mostly under the structural Adjustment Programmes (SAPs),
however there are resentments and doubts about the success of it. The suspicion is
mainly because the withdrawal of state intervention from developmental activities
adversely affects the welfare of the poor as market forces largely engage in profit
earning activities and neglect social development. The assessment of the implementation
of SAPs in the African and South Asian countries is not encouraging. Rather, the SAPs

144
have deteriorated the employment generation and prospects of poverty alleviation have
been hampered. It has indirectly affected the human development too.

On the sidelines of globalisation developing and least developed countries have been
undergoing the process of privatisation and disinvestment in public sector. It is being
argued that the privatisation of education, health service, electricity, water supply and
other basic services will improve the quality of these services and enhance the status of
human development. However, the evidence show that privatisation of these services
could benefit those who could afford to pay higher price for availing them. On the
contrary, who are unable to pay higher price are excluded from their usage. The promotion
of market forces, so far, has proved detrimental to the poor people in the sense that
state/government participation in poverty alleviation programmes is reducing. Similarly
government public expenditure is also decreasing.

There are efforts to evolve a paradigm which will amalgamate the interests of poor and
profit motive of market forces. The role of NGOs to fill this vacuum is often suggested
and one finds large number of NGO’s cropping up world over in recent period. However,
given the functioning of the NGOs and financial support to them by influential
organisations and governments, raises the question of their independent work. Can they
fill up the gap of state/government in providing social and public goods? They can reach
to a limited number of poor and needy people and that too mostly in urban and semi-
urban areas. What about the majority of poor living in rural and remote areas? Who
would look after poor people on the withdrawal of government? There are no answers
to these questions and the poor continue to suffer under the process of globalisation and
privatisation; which is why we often listen to the demand of globalisation with human
face. It underlines the importance of human centred economic development.

25.7 SUMMARY
Two broad views have emerged to look at poverty: one is of a sociologist and another
is of an economist. Sociologist looks at it from an angle of human well-being while an
economist identifies the lack of economic resources as causing hardship to a person. For
certain class of economists “poverty line” is a defining yardstick which differentiate
population living below poverty line (BPL) or above poverty line (APL). However,
there is no uniform method to measure poverty. Different parameters are practised by
researchers and institutions for measurement of poverty. Within the economic circle, the
new concept of poverty has come up which considers poverty in terms of ‘human
capabilities’. This concept seeks to identify those in the population who experience the
most severe hardship, i.e., those who are the most deprived. The people falling under
this category are unable to be economically independent and the income they are capable
of generating lies below a socially defined minimum standard of living. The “capability
concept” looks at poverty in terms of capability failure than in terms of the failure to
meet the basic needs of specified commodities. Closely connected with the concept of
‘capabilities’ is ‘entitlements’. Entitlements are socially sanctioned claims, effective
legitimate command over food that is available. A person’s effective legitimate command
is his or her entitlement. The failure of entitlement to cover subsistence needs is mostly
the key cause of starvation and death in famines.

145
There is a definite pattern in relationship between poverty and human development. For
moving upward in the achievement of human development poverty reduction is an
imperative condition. The countries with no poor people such as OECD enjoy better
human well-being whereas developing and the least developed countries continue to
suffer and are deprived of even basic services and public goods like safe drinking water,
electricity, sanitary amenities, health facilities, primary education, etc. The worst sufferers
are women and girls as there exists gender discrimination in providing these goods and
services. The economic dependency of women makes them vulnerable to social evils
and even within the households, particularly in rural areas, they are discriminated. The
key to improve human development lies with the empowerment of women and the
‘poorest of poor’ in the society.

The current wave of globalisation largely under the guidelines provided by the World
Bank, IMF and WTO has opened up the debate about the widening gap between the rich
and poor. It is often said that the globalisation has benefited rich at the cost of poor. The
process of globalisation and privatisation are moving in and market forces are gaining
upper hand while the role of state/ government is diminishing. The withdrawal of state
/ government from public goods and services in the developing and least developed
countries is causing serious concern to the poor. There are efforts to evolve a paradigm
whereby private sector or market would take care of the welfare of the “deprived class”
of the society, nevertheless so far there is no success and poor continue to suffer. This
dichotomy calls for effective role of state / government in providing “good governance.”

25.8 EXERCISES
1) How would you describe the concept of “human capabilities” in poverty discussion?
2) What is the difference between chronic hunger and famine?
3) How would you differentiate between measurement of poverty and inequality?
4) Write a brief note on current thinking of human development.
5) What ways would you suggest to improve human development?
6) How would you analyse the effect of globalisation on poverty and human
development?
7) What role can “good governance” play in ensuring improved human development?

146
UNIT 26 GENDER AND DEVELOPMENT
Structure
26.1 Introduction
26.2 Structural Adjustment Policies and Impact on Women
26.3 Theoretical Debates
26.3.1 Women in Development
26.3.2 Women and Development
26.3.3 Gender and Development
26.3.4 Women, Environment and Development
26.4 Summary
26.5 Exercises

26.1 INTRODUCTION
Women’s labour plays a key role in the survival of millions of families. They work
longer hours than men and have a greater range of responsibilities, but the work they
do is neither publicly nor privately acknowledged. This chapter will explore the different
ways in which this fact has been addressed in theories about “development” and
“underdevelopment”.

One way to evaluate the changing significance of “women” as a category in development

discourse is to monitor the appearance of this category in the policy declarations and
institutional structures of major development agencies. For example, the UN has marked
each official “development decade” with a declaration summarising the lessons learnt
from the decade that had passed, and its priorities for the next ten years. The First
Development Decade (1961-70), had no specific reference to women, but in the Strategy
for the Second Decade, there was a reference to the importance of “the full integration
of women in the development effort,” and women were identified as both agents and
beneficiaries at all levels of development. In the 1990s, the task has been identified as
that of ensuring that greater understanding of the problem is reflected in altered priorities.
It is understood that empowering women for development is necessary for “increased
output, greater equity and social progress.”

The reason for the growing sensitivity to gender owes a lot to the work of feminist
scholars, economists in particular, who established that the nature and significance of
the work done by women in societies all over the world, had remained invisible to
mainstream development theory. In addition, it was generally recognised by the end of
the First Development Decade that the development programmes sponsored by the UN
had been based on the economic, strategic and political priorities of the advanced
industrial countries. These had led to increased disparities between the North and the
South. This kind of fundamental questioning of the notion of both “modernisation” and
“development” was the context in which feminist scholarship came to the fore.

In 1970 the pioneering work of the economist Ester Boserup was published in the form
of a book called Women’s Role in Economic Development. Boserup’s work was a

147
liberal feminist challenge to the early patterns of modernisation as development, although
it ultimately did not go beyond an argument for equality and efficiency. She analysed
economic data from three continents to demonstrate that while women’s agricultural
production was crucial in sustaining local and national economies, women continued to
be marginalised in the economy because they gain less than men in their roles as wage
workers, farmers and traders. She also documented the negative impact of colonialism
and modernisation in these societies, especially sub-Saharan Africa. She noted that
European colonial administrators had redefined the traditional concept of “work” in
African societies in keeping with western notions, thus excluding women’s work from
the understanding of “labour.” Not only was women’s work undermined in this way,
men were given individual ownership rights in land, thus transforming the earlier practice
of community ownership, and excluding women from their traditional rights in land.
Further, mechanisation of agriculture benefited men, because men were also given sole
access to farm technology. Thus, colonialism introduced new gender disparities that
mapped on to traditional forms of gender oppression in complex ways. Boserup’s work
showed further, that after a decade of development planning, Third World women
continued to be marginalised from access to resources and technology. Irene Tinker’s
work in 1997 reinforced Boserup’s analysis by suggesting that because western aid
agencies exported gender stereotypes, modernisation of agriculture led to the widening
of the gap between men and women in economic and social terms.

Boserup’s work, however, remained limited in that its prescriptions involved raising the
education and skill levels of women so that they could compete more vigorously with
men in the labour market.

Another challenge to modernisation theories of development came from the Basic Needs
approach that was first articulated in the 1970s. It questioned the focus on growth and
income as indicators of development. By presenting the criterion of “needs”, these
theorists lay emphasis on both physical needs (minimum levels of calorie consumption,
for example), as well as on intangible needs - of participation, empowerment and
community life. Thus it was argued that development economics was limited in that it
focused exclusively on quantitative criteria alone. The Basic Needs approach has been
revived in Amartya Sen’s theory of human capabilities. Sen argues that development
means the enhancement of human achievements and capabilities. From this perspective,
it becomes possible to see that marginalised groups such as the old, children and women,
have special disadvantages in achieving their capabilities. The family or household is
thus revealed as a space in which women and children are more deprived than men.
Amartya Sen and Jean Dreze argued that because of the limited access women have to
the world of paid work, or control over family income and its distribution, their position
within the family has been adversely affected.

The focus of this approach on non-material as well as material needs has meant a stress
on the processes of development and not only on goals. That is, participation of people,
especially marginalised groups like women, in decision-making, is thus seen to be as
important as the eventual outcomes.

Increasing pressure on governments and the UN by the international women’s movement,

consisting of non-governmental organisations and groups, provided the impetus for the

148
UN International Women’s Decade (1976-85), and several international conferences
followed on issues around women’s status and role in the national and international
political economy. These conferences (Mexico City 1975, Copenhagen 1980, Nairobi
1985, Beijing 1995), raised questions on matters as varied as gender equality in decision-
making and access to resources, gender balance in political representation, sexual and
reproductive rights, and freedom from violence. Further, these conferences tried to get
participating governments to commit to putting in place institutional mechanisms for the
ensuring of gender justice at various levels. During the 1990s, the international women’s
movement has organised in opposition to the role of multilateral financial institutions
like the International Monetary Fund, and against Third World indebtedness to advanced
capitalist countries.

26.2 STRUCTURAL ADJUSTMENT POLICIES AND

IMPACT ON WOMEN
Currently, the concern of feminist scholars of development and of women’s movements
world-wide is with the impact of structural adjustment policies (SAP) on women. Such
policies have been introduced under pressure from the World Bank in different parts of
what used to be called the Third World, from the 1980s. SAP involves a) incentives for
the private sector b) privatisation of government owned units c) de-licensing and
deregulation of industry d) disciplining of labour and e) cutting down on government
expenditure.
On the whole, while such policies may have improved the Balance of Payment situation
and brought about a rise of exports, which was their main objective, they have failed
to generate growth of incomes and employment. The majority of the people have in fact,
been pushed further into poverty. UNICEF studies have shown that women and children
of poor families are hardest hit, in terms of nutrition, workload and mortality. In addition
SAPs tend to shrink women’s employment opportunities in the organised sector, while
generating low-paying jobs in the unorganised sector, for example in the micro-electronic
industry. This phenomenon has been called the “feminisation of the work-force”, and
some economists believe that this will increase the work-participation rates of women
and help in alleviating poverty. However, the counter-argument to this is that these new
jobs are impermanent, low-paid and exhausting, without any rights to organise for
higher wages or better working conditions. Women are preferred for these sectors precisely
because of their supposed docility and because they can be paid less than men.
SAPs have generally led to women workers being forced to work in more than one job
apart from domestic labour, for mere survival. Further, inflation and wage cuts reduce
the household’s purchasing power, forcing women to find even more time-consuming
ways of cutting household expenditure. Thus women’s unpaid work intensifies.

26.3 THEORETICAL DEBATES

Feminist scholars have identified four theoretical perspectives on women and
development—Women in Development (WID), Women and Development (WAD),
Gender and Development (GAD) and Women, Environment and Development (WED).

149
26.3.1 Women in Development
This framework began to be articulated by American liberal feminists in the 1970s and
was linked with the modernisation theory of the 1950s to 1970s. That is, WID subscribes
to the assumptions of modernisation theory, that traditional societies are authoritarian
and male-dominated, while modern ones are democratic and egalitarian, thus implicitly
privileging the West as morally superior. This approach understood poverty in the Third
World to be a result of incomplete modernisation, and so its focus was on the need to
integrate women into economic systems through administrative and legal changes. This
approach therefore, did not advocate structural changes, nor did it question the sources
of women’s oppression—that is, it did not ask why women had not benefited from
development strategies. Further, it failed to recognise stratification among women along
the lines of race, class, culture. Finally, it focused exclusively on women in the “public”
realm as producers, and failed to take into account the sexual division of labour, as a
result of which women play a specific role in the “private” realm of reproduction (child
bearing, child rearing and unpaid domestic labour) which contributes to unique factors
that condition women’s lives and work.

Despite these weaknesses, the efforts made from within this framework to make the
question of gender visible in development discourse did contribute to shifts in public
policy.

26.3.2 Women and Development

This approach developed in the late 1970s as a result of critique of modernisation theory
and of the WID approach. It was closely linked to Marxist analyses and dependency
theory. There are differences between these two schools, but they share a radical political
economy paradigm which lays stress on structural and socio-economic factors.

Dependency theory focuses on imperialism as the key factor that explains under-
development—that is, it argues that economic growth and development in the west was
made possible by the systematic exploitation of other parts of the globe—the First
World is seen as the core or “centre” and the Third World as the “periphery” through
which the core has been sustained. Scholars like Raul Prebisch and Andre Gunder Frank
made the argument that while colonial countries were undeveloped before western
capitalist penetration, the Third World became underdeveloped after its incorporation
into the international capitalist system. The development that took place was a dependent
development with the metropolitan economies structuring satellite economies as well as
ensuring an outflow of surplus from them. After independence, the elite in the Third
World replicate this pattern within their countries by entering into a partnership with
First World elite, and enabling the continued exploitation by the developed world, of the
poor of their countries while enriching themselves.

Marxist analyses focus on the development of historically ascendant capitalist relations

of production rather than on imperialism. Within this understanding, capitalism overcomes
feudalism gradually all over the globe, and in this sense, imperialism is merely the
vehicle that carries capitalism all over the globe. Within a strictly Marxist framework

150
therefore, imperialism does not cause distortions in the economy of the colonised country
(as dependency theory would argue). Rather, it is simply a way in which capitalism
enters these societies.

The two frameworks share a broad perspective when it comes to the question of women
and development. The exploitation of women’s labour is seen as part of class exploitation,
and in capitalist society, is linked to capitalism. That is, women’s inferior status is
derived from structures of production. Thus within this framework, the changing role of
women in economic production are determined by a number of factors—the sexual
division of labour, the local class structure, the manner in which specific regions and
sectors of production are articulated within national economies and the global economy.
Thus, this framework accounts for great diversity and complexity in the integration of
women into the development processes.

A significant area of interest from within this framework is the exploitation of female
labour globally by multinational companies. Such companies set up “export processing
zones” in poor countries, in which low-paid female labour is exploited.

This perspective rejects the earlier, modernisation theory-derived view that women need
to be “integrated” into development. Rather, the understanding here is that women have
always been part of productive processes, and that their work is central to the maintenance
of their societies. The task is therefore, to address the ways in which their labour has
been unrecognised, exploited, marginalised, thus enabling the continued existence of
international structures of inequality.

26.3.3 Gender and Development

This third strand emerged in the 1980s, and includes insights derived from socialist
feminist critiques of Marxism.

One of the key contributions of feminist theory is the making of a distinction between
“sex” and “gender”. Sex as referring to the biological differences between men and
women and gender as indicating the vast range of cultural meanings attached to that
basic difference. The argument is that there is nothing “natural” about the sexual division
of labour. The fact that men and women perform different kinds of work both within
the family and outside has little to do with biology. Only the actual process of pregnancy
is biological, all the other work within the home that women must do—cooking, cleaning,
looking after children and so on (in other words, the whole range of work we may call
“domestic labour”)—can equally be done by men. But this work is considered to be
“women’s work.”

This sexual division of labour is not limited to the home, it extends even to the “public”
arena of paid work, and again, this has nothing to do with “sex” (biology) and everything
to do with “gender” (culture). Certain kinds of work are considered to be “women’s
work”, and other kinds, men’s, but more important is the fact that whatever work that
women do, get lower wages and are less valued. For example, nursing and teaching
(particularly at lower levels) are predominantly female professions and are also
comparatively ill-paid in relation to other white-collar jobs which the middle classes

151
take up. Feminists point out that this “feminisation” of teaching and nursing is because
such work is seen as an extension of the nurturing work that women do within the
home.

The fact is that it is not a “natural” biological difference that lies behind the sexual
division of labour, but certain ideological assumptions. So on the one hand, women are
supposed to be physically weak and unfit for heavy manual labour, but both in the home
and outside, they do the heaviest of work—carrying heavy loads of water and firewood,
grinding corn, transplanting paddy, carrying head-loads in mining and construction
work. But at the same time, when the manual work that women do is mechanised,
making it both lighter and better-paid, then it is men who receive training to use the new
machinery, and women are edged out. This happens not only in factories, but also with
work that was traditionally done by women within the community; for example, when
electrically operated flour mills replace hand-pounding of grain, or machine-made nylon
fishing nets replace the nets traditionally hand-made by women, it is men who are
trained to take over these jobs, and women are forced to move into even lower-paid and
more arduous manual work.

In other words, the present subordination of women arises, not from unchangeable
biological differences, but from social and cultural values, ideologies and institutions
that ensure the material and ideological subordination of women. Thus feminists view
questions of sex-differentiated work, the sexual division of labour, and more
fundamentally, questions of sexuality and reproduction, as issues to be extricated from
the realm of “biology” (sex), which is understood to be natural and unchangeable. The
feminist agenda is to relocate these issues in the realm of the “political” (gender), which
suggests that they can and must be transformed.

The GAD framework thus emphasises gender relations in both the labour force and the
reproductive sphere. Further, GAD, unlike WID and WAD, focuses not just on women,
but on the social relations between men and women in the workplace as well as elsewhere.
GAD uses gender relations rather than women as category of analysis, thus focusing on
structures of patriarchy rather than on men and women.

GAD expects the state to play an active role in providing support for the work of social
reproduction—child-care facilities, maternity leave etc. The GAD model like Marxist
and dependency analyses, seeks structural reforms, but it goes beyond them in addressing
the sexual division of labour, and women’s work in reproduction. GAD is more attuned
to work with official agencies than strictly Marxist analyses. One of its exponents, Naila
Kabeer, argues that GAD makes a distinction between capitalism, patriarchy and racism,
and enables feminists to identify ruptures between these structures, thus making possible
strategic interventions in official policy.

26.3.4 Women, Environment and Development

This perspective arises from ecofeminism, which draws parallels between male control
over nature and over women. Ecofeminism argues that masculine oriented scientific and
industrial systems that have relentlessly exploited natural resources, have brought the
planet to the verge of ecological extinction. The very notion of “development” implies

152
the control and conquest of nature, thus putting in place unsustainable lifestyles in the
North and among the elites of the South, bringing the earth to the brink of ecological
disaster. This perspective is not just a critique of current models of development, but
questions the very possibility of unlimited exploitation of the earth’s resources, arguing
for an alternative way of life and recognition of traditional ways of life that were closer
to nature and more sustainable.

In India, the most well-known ecofeminist critique is that of Vandana Shiva, who argues
that “development” in India reflects a struggle between two world-views. On the one
hand is the life destroying and masculinist perspective of the commercial forestry system,
which treats forests as a resource to be exploited for its monetary value, and which sets
up private property in forest wealth. This perspective has the backing of agencies of the
state, and has also “cognitively, economically and politically” colonised the local men.
On the other hand, Shiva argues, is the feminine life-conserving principle embodied in
seeing the forest as a diverse and self-reproducing system, shared as a commons by a
diversity of social groups.

Vandana Shiva has come under attack by other feminists, notably Gabriele Dietrich and
Bina Agarwal, who, while accepting the need to focus on ecology and sustainable
development, argue that Shiva’s “feminine principle” is expressed in Hindu upper-caste
terms, which leaves open the question of what the feminine principle can mean for non-
Hindu and lower caste world-views. Shiva is generally seen as being insensitive to the
role that caste plays in Indian society, and Dietrich points out that in Shiva’s terms, an
ecologically sustainable system is perfectly compatible with a hierarchical and patriarchal
society based on caste division of labour.

Secondly, Shiva essentialises women, thus ignoring the material underpinning of human
beings’ relationship to nature. That is, both men’s and women’s relationship to nature
is mediated by their class and geographical location, and an urban upper class woman
might have less of a relationship to nature than a male peasant.

Third, Shiva has a critique of western science as the driving force of colonialism that
destroyed the pre-colonial, egalitarian and ecologically sustainable forms of community.
However, this ignores the fact that pre-colonial communities were marked by class,
caste and gender inequality.

Bina Agarwal therefore, suggests an alternative framework which would take into account
these factors, terming it, “environmental feminism”. Agarwal argues that the processes
of environmental degradation and appropriation of natural resources by a few have
specific class/gender and locational implications. That is, it is the women of poor, rural
households who are most affected by these processes, and who participate most actively
in ecology movements. “Women” as a category cannot be posited as a homogeneous
category even within one country, let alone across the Third World. Agarwal suggests
that “environmental feminism” necessitates complex and interrelated changes in
a) composition of what is produced
b) technologies needed to produce it

153
c) processes by which decisions on the first two are arrived at

d) the knowledge systems on which such choices are made

e) the class and gender distribution of products and tasks.

A significant ecofeminist contribution which draws upon both Marxist and dependency
theory frameworks is that of Maria Mies, who writes of women as “the last colony”.
Mies argues that primitive accumulation remains essential to capitalist growth and that
international and national capital and state systems exploit Third World women in their
pursuit of profit. She identifies the basic commonality between women and colonies in
the following way—they are both deemed to be in the realm of “nature”—to be exploited
for profit. The relationship to both women and colonies therefore, under capitalist
patriarchy, is one of appropriation. She suggests that patriarchal dominance is maintained
through the agencies of the state, which institutionalises the “housewifisation” of women’s
labour within marriage and through work legislation. As an alternative, Mies and her
colleagues argue for a society based on a feminist conception of labour which involves
a direct relationship to nature, unmediated by technology. Women would in this alternative
world, exercise autonomy in all aspects of their lives, especially in the area of
reproduction, and both men and women would be involved in the economy of care as
well as of subsistence.

Mies’ work is a powerful critique of existing social relations, and by recognising the
gendered nature of capitalist accumulation, provides a critical advance on Marxist and
dependency theories.

Generally, the GAD framework has become predominant in feminist theorising on

development, but official development planning continues to be influenced by the WID
framework. Feminist scholars feel that the reason for this is that the WID approach is
“less threatening”. WID simply “includes” women in the existing model, while GAD
involves recognition of the goal of emancipation and therefore requires fundamental
restructuring of social and economic relations.

26.4 SUMMARY
The significance of women as a category in development has been changing over the
years. It is understood now that empowering women for development is necessary for
increased output, greater equity and social progress. The participation of marginalised
groups like women, in decision-making is seen as important.

Even though it was believed that structural adjustment policies would improve the
balance of payment situation, they failed to generate incomes and employment. The
hardest hit were women and children. Feminist scholars have identified four
theoretical perspectives on women and development—Women in Development; Women
and Development; Gender and Development; and Women, Environment and
Development.

154
26.5 EXERCISES
1) What do you understand by development?
2) What role have women played in economic development?
3) Have structural adjustment policies in developing countries helped alleviate the
status of women? What is your view?
4) Complete ‘modernisation’ will result in development and thus improve the condition
of women. Do you agree? If not, why?
5) What is the major argument of the debate on Gender and Development?
6) What do you understand by eco-feminism?

155
UNIT 27 ENVIRONMENT
Structure
27.1 Introduction
27.2 What is Environment?
27.2.1 Classical Understanding of Environment
27.2.2 Contemporary Understanding of Environment
27.2.3 Radical Understanding of Environment
27.3 Key Issues in the Environment Debate
27.3.1 Scarcity of Resources and Underdevelopment
27.3.2 Greater Interdependence of Nations
27.3.3 Sustainability of Growth
27.3.4 Changing Perspective on National Security
27.3.5 Environment and Development Debate
27.4 North-South Divide
27.5 Global Market and State Sovereignty
27.6 The Civil Society Movement
27.7 Combining Global and Local Needs
27.8 Summary
27.9 Exercises

27.1 INTRODUCTION
The study of environment is a story of a relationship which mankind has with nature.
The three fundamental resources of nature land, water and air are potentially powerful
living constituents of environment because they are a habitat to an innumerable variety
of life forms both big and the microscopic. One studies ‘environment’ because mankind
has pursued its advancement at the cost of these other life forms and as a result fallen
into a trap from where its own survival has become threatened. Those interlinkages
which make the spread of species on earth more wholesome and beneficial to mankind
can be understood only through the study of environment. The struggle for power and
security amongst nations is apparently a struggle for natural resources. It is at the same
time a grim reminder of the life’s fragile hold over it since in the battle between man
and nature it is always the nature which wins in the end. It is also a blueprint of the
deceitful drama that mankind evokes in this relationship as it staggers to conquer it.

27.2 WHAT IS ENVIRONMENT?

Environment is constituted of all that nature bestows upon mankind irrespective of the
boundaries which politics carves over the face of earth. To put it simply, the land, air,
rivers, oceans, ponds, forests and the total flora and fauna existing on planet earth forms
environment but it is much more than this pretty tree and tiger syndrome. It is a compact
of all those ecological relationships prevailing over earth at a given time in history.
Thus it is not just the natural resources but the relationship of men, women and all

156
living creatures including the tiniest of worm or a micro organism and the gigantic
whale or an elephant with their biotic and non-biotic surroundings, their interdependence
and mutual survivability. Nature does not distinguish and discriminate among its users
and its resources are free for all use but mankind has consistently raised armies against
nature in the form of developing conspicuous technology and an opaque financial regime
which fosters a growth paradigm to counter nature and subduing it rather than for
improving its relationship with nature.

27.2.1 Classical Understanding of Environment

‘Environment’ is an elusive concept since environmentalists all over the globe have
taken differing positions in different eras of history. The early transcendentalist writers
like Thoreau, Whitman and Emerson “preached the notion of a bio-ethic, a sense of
responsibility for the earth and a plea for a basic ecological understanding before
tampering with its resources”[O’Riordan and Turner 1983:3] The return to nature and
the utopian divinity attached to nature was used to counter the value system of the
industrial society . The alienation and ruthlessness of this kind of industrial growth has
led human beings to an abyss of material accumulation .Thus nature should best be left
to itself. As Earth Firsters (an environmental group in USA) remarked: “No compromise
in defence of Mother Earth” .Such transcendentalists form the core of the environmental
movements all over the world. John Muir, the American environmentalist who formed
the Sierra Club, the powerful environmental group in USA and gave his life fighting the
Woodrow Wilson’s government to prevent the construction of the Yoshemite National
Park or Sunderlal Bahuguna fighting the Tehri Dam or Medha Patkar leading the struggle
against the Sardar Sarovar Dam or Ken Saro Wiwa fighting for the Ogoni people in
Nigeria are few examples of radical environmentalists. However while their views are
undebatable as it is well accepted that nature does not exist for man but for its own sake,
yet it is given the impression that they are against mankind and also anti-development.
It is wrongly being subsumed that they are blind to the needs and pains of mankind.
Man through his control over technology is a dominant race in nature which has usurped
the rights of all other creatures to the extent of threatening their existence and leading
them to extinction. Even amongst men those with greater control over technology have
manoeuvred larger benefits from nature thereby overdrawn from nature and also from
the share of others. Their flamboyant growth is rooted into overkill, overdig and overspill
which have pushed this spaceship earth towards its final dissolution. The greed to
accumulate and the subsequent rise of the materialistic and consumeristic culture brought
about by the industrial revolution has overstressed the carrying capacity of earth and
broken the harmony of human life. Nations have gone to war for natural resources such
as timber, coal, steel, oil and other minerals and now there are increasing incidents of
nations indulging full fledged battles for water.

27.2.2 Contemporary Understanding of Environment

As nations grow and become materially prosperous these resources deplete and the plain
truth is that there can be no progress without the use of these resources. This has
however become one greatest paradox of social sciences. Yet this progress can be
moulded in a manner that resources are used more justifiably and judiciously in a

157
manner that there is ample time given for their regeneration and recharging. The growth
should also be balanced between the share of the present generation and that which
would come later as well as the share of all living creatures at a given time.

27.2.3 Radical Understanding of Environment

Environment brings with it the problem of socio-economic disparity between nations.
By sheer power of technology and science the rich nations of the North have extracted
out the resources of the poor nations of the South and in their effort to survive these
poor nations have sold off their precious resources to the North on very low rates. The
landscape of earth has become a hostage in the hands of the technologically aggressive
and materially egoistic nations. This has pitted foresight against greed and natural
diversity against monocultures. When resources disappear the first to be lost with them
are those grassroot, aborigines and subaltern communities which had survived upon
them through the ages. The global institutions of trade and commerce such as GATT
(now WTO), G-7 (now G-8 with the addition of Russia) IMF and World Bank have
been structured to assist this policy of resource use. Thus the revelations about
degenerating environmental conditions has consolidated the affected nations and societies
st
against the powerful nations of the North .This world of the 21 century encounters the
daunting challenge of 6 billion population which is soon going to be around 10 billion
ambitiously speeding towards higher living standards through the limited and disappearing
resources available from earth. This battle is in its most crucial stage as it moves into
its last great wave of decision making which would ensure the survival of earth and in
it our own survival.

27.3 KEY ISSUES IN THE ENVIRONMENT DEBATE

The study of environment today is about those momentous choices which nations will
have to make to save the biosphere, their resources, democracy and the nation state
system. The way international politics functioned and influenced the national resource
policies and the political systems of other countries is now undergoing a transformation.
Since the overthrow of the colonialism after the second world war to the publication of
the report ‘The Limits to Growth’ in the beginning of the second developmental decade
in USA national policies subscribed to two entrenched beliefs which had been in
circulation since the industrial revolution: first, that nature exists for man and second,
that environmental conservation is anti-growth, anti-progress and anti-technology.

27.3.1 Scarcity of Resources and Underdevelopment

The Stockholm Conference in 1972 which followed the publication of ‘The Limits to
Growth’ stunned the speeding industrialisation. At the same time the publication of the
book ‘The Silent Springs’ by Rachael Carson shook off the apathy and silence of those
who stood and watched the destruction occurring through the massive destruction of
forests and wild life , irresponsible spread of chemicals in nature and food chain and
the gradual effacing of the community resource systems. Barry Commoner writes:
“Human beings have broken out of the circle of life, driven not by biological need , but
by the social organisation which they have devised to ‘conquer’ nature: means of gaining

158
wealth which conflict with those which govern nature”. The attempts of the
underdeveloped and developing countries to catch up with the West and repeat their
economic miracles, has led to poverty, indebtedness and a steady decline in the supply
of essential goods. The accumulating debt has put the developing countries in a trap of
underdevelopment. These countries are forced to overuse their environment to overcome
the possibility of their liquidation. So much so that the debt services alone amounts to
between six and seven per cent of their gross national products [Parkin 1992:8]. More
than eight hundred million people around the world live below the poverty line with
endemic malnutrition and no access to primary health services. As industrialisation and
urbanisation progresses, the people of the poorer regions lose their habitat and their
resources.

27.3.2 Greater Interdependence of Nations

Since nature does not observe boundaries there are rivers, forests, mineral wealth, wild
life, rich mangroves and aboriginal communities which are spread from more than one
country and their ecological bonds have transcended their political boundaries. Thus any
action by one state sends waves of disturbances to the neighbours. For example the
Indus region between India and Pakistan is a home to some of the rare species of fish
and mangroves while it also acts as a natural wall to the sea currents. Any action of
pollution, effluent discharge or destruction of mangroves affects the resource flow of the
other country as well as the natural protection to their coastal belt. The world wide
bleaching of corals all over the Indian Ocean coastal belt in 1985-86 had been attributed
to the sea bed nuclear tests conducted by France and China. International rivers such as
Rhine in Europe or Ravi between India and Pakistan have remained contentious issues
between them for the development policies which these nations have undertaken at its
catchment zones. The oil fields of Siberia or Kuwait which have spread underground to
other states are presently forcing these states to enforce action against their overuse and
help conservation measures on riparian states. The ozone hole is the best example of
what industrial action in developed states can do to damage rest of the world environment
and health of people. Some developmental action in one state may send earthquakes, sea
storms, hurricanes or even drought in other states. The studies related to geological links
of the earth’s stratosphere, troposphere, hydrosphere and tectonic plate action along
with the revelations from remote sensing technologies have proved that no state could
be given unrestricted and unrestrained right to undertake its industrial adventures. People
are so much affected by environmental crisis that it has even forced them to enter civil
war like situations rendering millions to leave their home and hearth to become ecological
refugees. The UN High Commissioner for Refugees and the International Red Cross
Society are appalled by the ever increasing number of ecological refugees worldwide.
The state sovereignty is restrained by these natural rights of inhabitants of this earth
which are sacrosanct and uncompromising. Unless the global economy is reoriented to
overcome these destructive processes of growth, the wide gap between the living standards
of different countries and their populations environmental crisis is likely to hurt the
democratic process and may also pose a major threat to the nation state structure. The
study of comparative politics as well as security discourses are affected by what one
may refer to as the ecosystem politics which has internalised one of the strongest battles
for power in the international arena. Conventional studies had missed out on this crucial

159
factor of environment which has brought about greater interdependencies of the political
systems of the whole world and has also exposed the mystiques of the much floated
development policies promoted by the economically powerful states.

The disillusionment brought about due to the collapse of the centrally planned and
command economy and the blind trust in industrial growth strategies of the free traders
has brought forth one of the worst battles for environment. The protests spawned through
emotional nerve wrecking public outbursts at the WTO Meetings at Seattle and Genoa
indicate that environment as an issue of political studies has come to stay and would
continue to influence global politics as nature has not observed the equitable distribution
of all resources used by states and they in turn have failed to comply by the standards
of their justifiable use. Powerful states have flexed muscles to overuse and over-extract
from the share of weaker states while weaker states have mismanaged whatever they
had due to poverty and debt trap. This has built up a vicious cycle of underdevelopment
in which environment is treated as a road block to progress. This environment-
development debate which emerged at the Rio Summit on Sustainable Development in
1992 has given rise to new actors, networks and specialised agencies with their world
wide web (www) reach. Technology is also being readjusted to speed up development
without actually slowing down progress. It has found solutions to many intractable
problems which were earlier supposed to be irremediable and thus has helped many
community groups all over the world to consolidate their movements against the
exploitative state structures. Seattle and Genoa are examples of this new trend. Thus
‘Interests’ are being redefined and thus the subjective interests behind national policies
are being exposed to the interests of citizens who demand that a responsible consumption
and production should determine priorities. This has also raised the issue of sustainability
and has thereby exposed the myth of pompous and exotic developmental policies nations
had been undertaking as part of the catching up drive with the west.

27.3.3 Sustainability of Growth

Sustainability is an issue which reminds that environment once lost is difficult and
sometimes impossible to recover thus it should be used justifiably. Scientific studies
have also revealed that many energy losses are difficult and sometimes impossible to
retrieve. The environmental economist Georgescu-Roegen [1971] writes that according
to the Third Law of Thermodynamics free energy once transformed into latent energy,
cannot be recuperated. Thus irresponsible development may turn out to be retrogressive
rather than progressive in the long run. Therefore policies that nations pursue should
observe the following basic principles which constitute the core idea of sustainability:

Issues of Carrying Capacity

Aldo Leopold in 1933 was one of the early writers to define it as a saturation point at
which the numbers of a particular species of grazing animals approached the point
where grasslands could support no more individuals without a general and continuing
decline in the quality of the pasture land. This applies to the use of chemicals in air and
on land or effluent discharge in rivers and oceans which reduces food availability by a
gradual decline of the productivity of land and drop in the fish catch. The pollution in

160
air reduces life span of productive population and increases the health budget of the
country. Thus the externalities and the outer limits of production and consumption
should be internalised in developmental and trade decisions.

Issues of Intra-generational and Inter-generational Equity and Justice

Earth resources cannot be used to feed the luxuries of few powerful countries which
have been able to excel in technology. These resources, be it air, water, land, forests and
oil have to be equitably distributed. Nations have to apply environmental standards to
preserve and conserve these resources. Each country will have to raise institutions and
regulations which support the conservation drive. Globally nations have to raise
institutions to prevent technologically stronger nations from annihilating the world
resources to feed the high living standards of their citizens. Conservation also protects
the rights of future generations over these resources as they belong to all those who are
living on it and also those who would come to live on it. Thus the cost of luxuries on
the limited earth capacities being enjoyed by present generations would have to be paid
by those who would inhabit the devastated earth later. Sustainability demands that
restraint should be used in drawing out of the shares of those who are to inhabit the
earth in coming times.

Habitat Rights of Communities and Wild Life

Displacement of human and sub-human populations from their habitat disturbs the life
cycle of natural ecosystems. The land relationship with nature has been beautifully
discussed by Aldo Leopold. He writes: “Civilisation is not, as they often assume, the
enslavement of a stable and constant earth. It is a state of mutual and interdependent co-
operation between human animals and other animals and also between plants and soils
which may be disrupted at any moment by the failure of any of them. Land despoliation
has evicted nations and can on occasion do it again”. Governments which do not
observe the habitat rights break the cycle of sustainable living since even the smallest
trans-microscopic creature that dwells has a role in the life cycle of that community
which inhabits land.

27.3.4 Changing Perspective on National Security

The environmental contingencies are defying both the meteorological forecasts as well
as the indigenous wisdom. The last century was the warmest century in the past 600
years and fourteen of the warmest years since 1860s occurred between 1980 and 1998.
Some of the worst environmental calamities like floods, droughts, cyclones and
earthquakes occurred during the last decade. Most of the low lying areas in the world
are getting inundated and the number of ecological refugees has been growing at an
unmanageable pace. The world wide scarcity of resources has led to ‘water wars’ over
and above the already prevailing wars over forest ownership and usufruct rights. The
shrinking environmental space has mobilised men and money across national boundaries
in a manner never seen before. Environment has become a political problem of the
highest order. Under these circumstances the concept of military security appeared
outdated and irrelevant since the new environmental insecurities threatened not one
country but all the inhabitants of this ‘spaceship earth’ irrespective of their being rich

161
or poor, man or woman, white or black. ‘Global warming’, ‘greenhouse effect’ and el-
niño are the new terminology which baffles the decision makers and perplexes the
technology studies. That the world is serious about these unanticipated developments is
manifested in the path breaking study made by Brundtland Commission [1987] which
was soon followed by another study of an international group headed by Helmut Schmidt,
former Chancellor of Federal Republic of Germany in 1990. These Reports offered a
vision for dealing with the change. It is a vision in which security is achieved by
tackling the roots of violence: poverty, environmental degradation, injustice and inequity.
Nowhere has this new vision about international politics been so dramatised, emotionalised
and exorcised as in the field of use of environmental resources. Brandt, Palme and
Brundtland have redirected security perspectives towards environmental concerns. The
Realist perspective on security was rooted into the doctrine of enhancement of power
and this conventional policy perspective has all throughout blunted environmental action
in the right direction. It asserted the application of threat to the neighbours by show of
force and an attitude of overt belligerency. In the Politics among Nations Hans
Morgenthau (1948) had emphasised the need for military power as a prerequisite for
achieving security. This was universally understood as a doctrine of war, of military
strategy and of proliferation of arms. Historically the challenge to the military state had
begun after the carnage of the Napoleonic Wars. The wars were found to be linked with
the problem of economic injustice and political repression, selfishness of elites, racial
chauvinism, expansionist national capitalism, slavery and serfdom. Ekkehart Krippendorf
[1987] had called Realism as an American approach to security which maintains status
quo of power without inspiring creative forces to generate power through means other
than the military devices. Despite the American bias evident in realistic explorations of
security this has a wide spectrum of believers even in the Third World. The national
priorities slip out to defence build up rather than to ecological empowerment because
environment has a long gestation period and is therefore of little political benefit
immediately. The result is an imaginary security which covers the permanent insecurity
of helpless citizens. In the late 1980s the work of R.B.J.Walker [1988] advanced this
new approach to security. He warned that militarisation provides an illusion of security
by throwing their citizens into poverty and inequality, by jeopardising their economy
and destroying their ecological wealth. The nature of conflicts have undergone such an
immoral change that now the weapons and the missiles are targeted at the cities and the
civilians. At the beginning of this century around 90 per cent of war casualties were
military. Today about 90 per cent are civilians [Human Development Report.1994]. The
military priorities justify the diversion of more than half a million scientists from civilian
research to weapon research worldwide and this is growing twice the rate of military
spending. An unpublished National Conservation Strategy in Pakistan which states that
while its external borders are defended and protected on air, water and land by an elite
force, from within it (Pakistan) is being subverted, degraded and destroyed by unnoticed
and un-remarked decisions and actions….that will soon lead to the collapse of these
walls. The stupendous debt trap due to mutually competitive rather than complementary
policies undertaken by the countries would expose their populations to hazards of short
sighted and anti-environment policies. The threatening revelations about resource
scarcities, pollution hazards and technology dumping has brought together people of all
nations, faiths and occupations together in a united campaign to rise above boundary

162
disputes and work concertedly for the betterment of human life and sustainable material
advancement. Global trade and trans-national companies are seen as dominant factors
in pushing their trade agendas into national policies. The journey from Rio (1992) to
Seattle (1999) has demonstrated the rising discontent and rebelliousness amongst citizens
of both the developed and the developing countries against the official insolence towards
environmental demands in their trade policies. Environmental problems are problems of
development and of international cooperation. They are also very much part of a broader
‘system’ and cannot be taken in isolation. However environmental issues are right now
the political problems of the highest order since they have grown in complexity and
often lack the unified political constituency to lobby for them. The degree of degradation,
depletion and degeneration of environmental resources are different in different countries
and so the scale of priority to these varying problems also differs.

27.3.5 Environment and Development Debate

The protection of environment is always associated with some form of visible slowing
of the industrialisation process. This is because many short cut methods and cheap
processes which jump over the limitations of resource availability and community rights
over them are used for rapid production and growth. When The Limits to Growth was
published in USA, the industrialists consolidated their cadres against environmentalists
into an aggressive battle in which they termed them as ‘anti-industrialisation’, ‘anti-
development’ and ‘anti-growth’. The idea which was floated by them was that
environment and development stand against each other and one cannot have both at the
same time.

This debate is an outcome of the two different ways or value systems in which the
environment was conceptualised in the developing and the developed countries. Although
the conservation movement has a class connotation in the sense that the social force
emerging out of it may pose a threat to the fragile agrosystems on which the world’s
40 per cent of the poor eke out a living. It has been referred to as the pretty trees and
tiger syndrome in India. This was quite obvious in the debate that emerged in the United
Nations in 1972 when it completely subordinated the need for environmental conservation
for the developing countries: “It may be premature for many of them to divert their
administrative energies to the establishment of new institutions or machinery” [UN
1972:27]. It was comfortably assumed that environmental action could wait for
development to take over and thus on one hand the developed nations were able to
divest themselves of their responsibility towards funding for environmentally clean
technology, on the other hand they were also able to put off their obligation towards
restricting biodiversity exploitation and climate change. It was in this period that effluent
discharges from the chemical industries, agro-businesses, biotechnology research and
nuclear weapon proliferation programmes ruthlessly devastated the meagre resources
that the South could have laid their hands on. The symptomatic manifestation in the
form of Ozone Hole, the Greenhouse Effect and the Sea-level rise became realities of
the aggressive industrialisation pursued by the developed countries. This principal
weakness that was inherited in the environmental history from its womb led the world
to a stage when solutions always got meshed up into newer problems. The Stockholm
Conference passed 26 main resolutions and 109 recommendations but a review which

163
was undertaken ten years later revealed that it was not just the population explosion that
had nullified development but the enormity and intensity of the toxins in air, water and
land polluted the planet beyond human control. The list of endangered species of plants
and animals had bloated to threaten the very existence of mankind. The World
Conservation Strategy of 1980 for the first time presented a proportionally better view
of the problem diagnosis by linking developmental processes with the environmental
distress and thus laid the foundation of the interlinkages and interdependence prevailing
between the two. It laid at rest the perceived dichotomy between environment and
development and suggested a three pronged action in the following areas:
• Maintenance of essential ecological processes and life support systems
• Preservation of genetic diversity
• Sustainable utilisation of species and ecosystems.
However the World Conservation Strategy was far from indicating the need for political
and social changes which were required to achieve the conservation goals. In the same
year the Brandt Commission Report also acknowledged the threat that would come to
the developmental policies due to environmental deterioration in poor countries yet even
this report failed to point out the various biases splitting the environmental perspectives
from within. An integrative and a wholesome approach towards this problem of
environment got meddled into global politics of natural resources sharing which indicates
the status and availability of resources and their consumption pattern across the globe.
This aspect of resource sharing which bridges the environment-development dichotomy
was brought into an analytical framework by the Brundtland Commission Report of
1987 and its flowering took place in the Rio Meet of 1992 when the Agenda 21
benchmarked areas which sent warning signals to both the North and the South. This
was found to have deep inroads into the political and social structures dominating global
governance systems. The environmental framework for conservation was linked to policies
being adopted to deal with the problems of Population, Urbanisation, Social Development
and Women, and it is here that a combined and coordinated approach towards environment
and development found a foothold. At the Rio Conference which was more appropriately
called the World Conference on Environment and Development or the Earth Summit it
was well understood that environment and development cannot be dealt with in separate
chambers since they question the existing framework of resources sharing between the
rich and the poor nations and within countries between the dominant groups and the
subsistence communities. It raised a fundamental debate on development policies such
as: who pays the price and who benefits out of development projects undertaken by
international donor agencies? An analysis of the consumption pattern of fossil fuels,
forests and pollution rendered to air and water through the pattern of industrialisation
gave sufficient evidence that the consumption pattern of the Northern industrialised
states was the real culprit which had effectively blocked any sane action towards
environment protection. The ensuing debate exposed and explained the persistent apathy
shown by the developed and industrialised states towards restructuring the global
economic and political institutions and, rather diverts attention towards the poverty
trapped nations as the real culprit of environmental degradation. A real leadership was
required in the international system particularly in the United Nations to break through

164
this technological trap and explore a just transition towards a sustainable paradigm of
development. India’s membership in SAARC, G-15 and G-77 can open avenues towards
the sustainability of the new free trade global regimes. In the liberalising and globalising
world, the following areas of environmental studies have become the policy priority for
all environmental organisations:
• Resource use in the context of biodiversity conservation.
• Technology and its Impact on climate change.
• Environmental governance and Impact Assessment of projects.
• The traditional rights of indigenous people over their resources.

27.4 NORTH-SOUTH DIVIDE

Since the Stockholm conference of 1972 it was becoming increasingly clear that the
priorities of the developed and the developing countries were prominently different and
both aspired to achieve them through lobbying in the global environmental conferences.
With each conference it appeared clearer that the polarisation of the industrialised and
the Third World countries tended to become stronger and more consolidated like the
two segregated worlds. The vision of the earth as a planet where they both resided
together became blurred into the emerging politics of resource distribution and sharing
of conservation responsibilities. The debates which emerged out of the different
perspectives of the developed and the developing countries centred round the issues of
the consumer needs vs. the basic needs, the relationship of physical environment to
intractable rural poverty in the Third World and the policy priorities of their governments,
the semantics as well as the terminology used by the developed countries in conservation
measures differed from that used in the developing world as the environmental policies
in the former were largely influenced by the global corporations. It also emerged from
the debate that while the developed world of G-8 was more interested in trade monopoly
and empowerment for liberalising market transactions, the developing world consistently
strived to achieve more justice and equitable sharing in the global trade agenda which
was more appropriately a redistributive agenda for achieving environmental justice.

Several groups emerged and to legitimise the flow of resources from the South
international institutions were also created to legitimise their policies on economic
grounds. Much of this divide between the North and the South had been the result of
the Bretton Woods economic institutions which encouraged and protected the unequal
trade laws in favour of the Northern industrialised states. In 1964 Raul Prebisch as the
Secretary General of the UNCTAD had wisely warned that if this economic trend
continues the North will have to wind up its market prosperity since their trade was
directly linked with the economic and social well being of the Less Developed Countries
of the South. He had thereby suggested that the North should contribute 1 per cent of
their GNP towards the development of the South. However till the Earth Summit in
1992 the South was still asking for this financial commitment from the North which
they drastically failed to attend to. Only four donor countries currently meet or exceed
this level of aid: Norway (1.04 per cent), Sweden (0.94 per cent), The Netherlands (0.94
per cent) and Denmark (0.94 per cent). The United States provides less than 0.2 per cent
of its GDP in official development assistance (ODA) placing it last in the eighteen

165
OECD donor nations.[Hempel 1996:36] .Hence it was branded as the ‘skunk at the
picnic’ during the Rio deliberations. Thus environmental conservation effort became a
lever for redistributing wealth [Hempel 1996:36] and creating institutions for controlling
earth’s finite resources.

The North-South divide is a simple geopolitical distinction to describe the spill of the
global power politics since the Second World War. The rich nations which have attained
a certain level of a comfortable industrial development are led by the Group of the Eight
or G-8, whereas the less developed nations of the South have consolidated into Group
of seventy seven nations or G-77. The G-8 controls the monetary wealth and technology
through which it is able to make benefits out of the raw materials which the South is
forced to sell due to its technological and also financial backwardness. However the G-
77 controls more than 125 nations of the South which have rich biodiversity but they
also have one of the most poverty stricken pockets of the world due to environmentally
devastated land and forests. For these nations of the South it was walking on the razor’s
edge to obtain funding from the North but also to prevent any imposition of eco-
imperialism which comes as a condition to aid. During the Rio Summit the divisions
between the North and the South were quite pronounced in case of the biodiversity
Convention. The richest 70 per cent biodiversity was concentrated in the identified 12
‘mega-diversity’ countries [Mexico, Columbia, Ecuador, Peru, Brazil, Zaire, Madagascar,
China, India, Malaysia, Indonesia and Australia.] The developed countries wanted the
developing countries to take action for the preservation and conservation of their
biodiversity resources. However the cost of the most basic biodiversity protection
programmes were in the range of $ 10 to $14 billion per annum whereas the technological
benefits derived from the genetic resources would go into the pockets of the Western
Trans National Corporations (TNCs) [World Conservation Monitoring Centre: 1992 ].
Therefore the ticklish problems of ‘Biotechnology’, ‘Patents’, ‘Role of TNCs’ and the
much debated ‘Intellectual Property Rights’ added further complications to the acceptance
of the Biodiversity Convention. Despite all odds and strong opposition by its greatest
trading partner USA, Canada was the first industrialised nation to ratify the Convention
on Biological Diversity (CBD) in defiance of its JUSCANZ whip. The three main
objectives of commitment towards Biodiversity Convention related to the long term
collaboration plans between the developed and the developing nations are
i) Conservation of Biological Diversity
ii) Sustainable use of Biological Resources
iii) Fair and equitable sharing of benefits resulting from the use of genetic resources.
Besides Biodiversity, ‘Climate Change’ is another area for international muscle flexing
by the developed countries. The socio-economic consequences of climate change
especially the impact of climate change upon the agriculture based economies of
developing countries will have serious global fallout. Canada’s energy consumption per
capita is among the highest in the world, owing mainly to the large natural resource
availability and the high concentration of the energy intensive industries. This has
resulted into severe environmental problems like the high concentration of nitrates in
rivers, water use, chemical production, auto traffic and nuclear waste, CO2 emissions.
Canada had initially been loyal to its JUSCANZ [Japan, United States, Canada, Australia

166
and New Zealand] group when the climate change initiative was jointly taken up by the
World Meteorological Organisation (WMO) and United Nations Environment Programme
(UNEP) in 1988. The corporations disputed most of the findings of the climate change
panel since they were the producers of most of the greenhouse gases. The industry lobby
especially of the oil companies lobbied through Global Climate Coalition and the Climate
Council another industry group which accompanied the US delegation to the UNEP
meetings. UK had not been directly affected by this pollution since the wind carried
away the pollution towards the Arctic and Europe. Europe and the Alliance of the Small
Island States were directly threatened from pollution and ocean rise which would
submerge their homelands. Thus the JUSCANZ group wanted to weaken the language
of the climate change initiative by diverting the debate to the one on ‘sources’ and
‘sinks’. This reasoning suggests that carbon emissions that a country releases in air must
be counter balanced by ‘sinks’ that absorb the emissions such as the forests located in
the Third World, or by a reduction process through the development of alternative
technologies elsewhere. The Kyoto protocol on climate change came up in December1997
which prescribed that by 2010 emissions of six greenhouse gases [Carbon dioxide,
methane, nitrous oxide, hydrofluorocarbons, perfluorocarbons and sulpher hexafluoride]
were to be reduced to approximately five per cent below 1990 levels. In July 2001 many
developed countries were found bargaining for credit if they were able to reduce
greenhouse emissions by selling technologies to developing countries. US connections
within the JUSCANZ group hijacked the essence of the Kyoto Protocol. As a result of
this, the Bonn outcome compromised on carbon sinks domestic reductions and financing
for underdeveloped nations. Caroline Lucas the British Green Euro MP regretted the US
attitude on climate change saying: “We are fast going to become the only species on
Earth to monitor its own extinction rather than taking steps to prevent it” [Pole, 2001:217].
Sierra Club of Canada an international NGO had shown serious concern about the
warning US Ambassador Paul Cellucci had issued to the other group members for
ratifying the Kyoto Protocol.

The UNCED Meet at Rio had demonstrated that sustainable development comes at high
price. The rich nations of the North had promised to share this additional burden for
developing nations. Regrettably since then, official development assistance (ODA) has
fallen from US$60.9billion to US$53.1 billion. Moreover the donors come with a trap
for the poor nations in the form of good governance or market adjustment programmes.
Thus ODAs which were expected to promote sustainable development only constricted
recourse to alternative models of development. As a result of this noose, developing
nations found an alternative method of funding through foreign direct investment (FDI)
which is investment in country’s business by transnational companies and it has in the
last few years far surpassed the ODA funding. However since all these TNCs belong
to the developed nation groups like OECD and G-8 the new problem that persists in
continuation to the older one is the commitment and preparedness of these new global
corporations towards sustainable development and more appropriately towards sustainable
environmental management therefore the new liberalised trade regime has further polarised
the north-south divide. The consumer society of the West which has been able to
provide a reasonable material security to its people has on the contrary exposed the poor
nations to intractable environmental degeneration and natural disasters. Development
has become more intricately linked to the global market processes and the politically

167
powerful lobbies of the global corporations. The 2002 World Summit on Sustainable
Development in Johannesburg has echoed the concerns for the shortcomings of climate
change initiatives. For the people of the South it is an extremely challenging moment
since all their future growth and development largely depends upon the recognition in
concrete terms of the principles of equity and justice in setting environmental standards.
This enterprising endeavour may be sufficiently supported by the election of the Indian
expert Dr. R.K.Pachauri as the Chairman of the Inter-governmental Panel on Climate
Change. It will be India’s most unenviable task to bring differences within the developed
countries such as that between USA and Canada, the two highest producers of greenhouse
gasses and fossil fuel (Coal and Petroleum) consumers to the negotiating table and at
the same time provide justice to developing economies of the South.

27.5 GLOBAL MARKET AND STATE SOVEREIGNTY

Market has become an important factor in considering and planning any action towards
environmental conservation and sustainable pattern of trade. The globalisation of trade
and the subsequent adaptation of national policies towards an effort to prevent
marginalisation in the international market have led to the subordination and also
reinterpretation of the term ‘environment’. This has manifested itself in all international
organisations for finance and trade such as the UNCTAD, WTO, IMF and the World
Bank. This is also a beginning of the return to aggressive capitalism zealously guarded
by the trans-national companies and thereby it is strongly resisted by the civil society
and peoples voluntary groups all over the world.

Korten recollected Willis W.Harmon’s words that, ‘business has become, in this last
half century, the most powerful institution on the planet. The dominant institution in any
society needs to take responsibility for the whole.’[2001:230] At present when more
than US$1.4 trillion in foreign exchange floats transnationally for speculative profits,
the following two beliefs about business need to be looked into with increased sobriety.
The growth of firms and global companies was so rapid that by mid 1990s the stupefying
statistics was alarming. In 1995 the UNCTAD study found that there were 40,000
corporations in all, they controlled two-thirds of the world trade in goods and services
[Raghavan, 1995:31]. Korten [2001:231] also reports that of the world’s largest
economies, 51 are corporations. Only 49 are countries. The economy of Mitsubishi is
larger than that of Indonesia, the world’s fourth most populous country and a land of
enormous natural wealth.

At present 15 of the world’s largest TNCs have an income larger than the GDP of 120
countries. Therefore the former Chief Economic Advisor of the Indian Government
called them as the new emerging global government ‘A World Inc. Ltd.’ with G-7 as
the Board of Directors. [Kothari, 1993:315] It was evident that this largest institution
of the world was an ambitious starter and had to be hooked and domesticated according
to the needs of the society. The events at Seattle, Prague and Genoa Summits testify the
failure of Corporate Governance in planning a sustainable environmental future. The
rising discontent with the environmentalists, farmers and labour is a manifestation that
Corporate Governance should be accountable to the civil society groups across all
national boundaries where there Corporations are spread. Thus global corporate

168
governance for sustainable development was largely about balancing the demands for
accountability and responsibility towards people and their natural resources. Its three
main pillars were constructed out of its capacity to deal with the issue of scarcity, issue
of carrying capacity and the intra-generational and inter-generational equity and justice
[Singh 2000:52-64].

The trade regime of TNCs has basically three kinds of impacts on environment and on
natural resource use associated with international trade.[OECD 1997]

• The scale effect, which is a positive impact of international trade on economic

growth but it increases environmental damage.
• Composition effect, which is associated with impacts on industrial structure due to
trade specialisation that may be positive or negative on environment depending
upon the country’s specialisation.
• Technical effects, which is the impact of international trade on economy that is
expected to reduce environmental damage and natural resources requirements of an
economy.
As the report says, the net impact of trade on environment is a balance among all these.
Thus international trade delinks the economic and the ecological systems of a country
which becomes the central issue of global corporate governance. The Business Charter
for Sustainable Development adopted by the International Chamber of Commerce (ICC)
in November 1990 emphasised the need for making environmental management the
highest corporate priority. Yet, since then the repeat of corporate environmental crimes
with blatant disregard for the conventions and regulations of the host country has not
only intrigued but scandalised the civilised world. These corporations have traded poverty
of poor nations by affecting national policy changes and host nations have succumbed
to unsustainable policies for short term monetary gains. Land, water, air and forests the
four major resources are severely damaged. Structural adjustment to market friendly
economy has led to the large scale diversion of land from food crops to cash crops,
rivers have been dammed with suspect hydroelectricity schemes, forests are turning into
consumerist monoculture commodities and the freedom to spew greenhouse gases into
air has destroyed the ecological sustainability of countries where their operations are
spread. This structural transformation of economy is creating a mirage of growth which
has also led to macro-economic volatility and political instability. Free trade with
unaccountable corporate actors is only leading to greater centralisation, corruption and
cultural distortions and this by no chance can sustain growth and development on a long
term basis. The craving for FDI and the gradual replacement of ODA by FDI has given
a firm control of resources in the developing countries to the TNCs. Between 1981 and
1996 FDI in the less developed nations has grown from US$31 billion to US$244
billion [IIF 1997, UNCTAD 1995]. Interestingly the official development assistance
(ODA) has been dramatically replaced by foreign direct investment (FDI). In 1990
ODA constituted 56 per cent of long term flows to developing countries but in 1998
while the ODA share came down to 18 per cent FDI increased by five times from 44
per cent or US $ 209 billion to US $ 1118 billion in 2000 [Sharma and Narain, 2002:36-
41]. Thus globalisation and liberalisation has provided greater freedom and a larger

169
space for business in the world. Transnational Companies have become the greatest
players in world economy and the greatest single factor in ecological crisis also. At a
time when the countries are in a stampede for gaining a comparative advantage over
others in foreign direct investment [FDI] TNCs are able to manage a beneficial bargain
vis-á-vis the government. It was on their insistence that the Uruguay round of negotiations
introduced three new areas in it—Trade Related Intellectual Property Rights (TRIPS),
Trade Related Aspects of Investment Measures (TRIMS), Trade in Services. The three
taken together perpetuate their ‘Corporate Monopoly over Third World
resources.’[Shiva1993:243] However the silver lining is that despite the powerful presence
of TNC supporters in the decisive trade talks such as Director General Mike Moore, US
Trade Representative Charlene Bershefsky and the European Union’s Trade Commissioner
Pascal Lamy the people’s organisations could enforce a total turnaround for the TNC
agenda at Seattle. This can be seen as a reaction to the massive privatisation drives
being undertaken which were cutting down on environmental and welfare measures to
pamper TNCs. The World Bank Report , Globalisation, Growth and Poverty,2001
demonstrates that globalisation is the only alternative to poverty and economic
backwardness. The apt comment of Vandana Shiva, ‘either you get integrated into
global market economy dominated only by the objective of profit or you are thrown out
of all economic options for survival.’ [1993:243] This has forced nations to enter the
Structural Adjustment Programmes or more appropriately the Economic Recovery
Programmes in which to maintain their economic targets they overuse and overexploit
their resources. The Case of ENRON Dhabol Thermal Power Station in Maharashtra
fully proves the enormous influence TNCs hold over national governments through the
use of large sum of unaccountable money to push environmentally disastrous projects
into developing countries.

27.6 THE CIVIL SOCIETY MOVEMENT

The process of rapid industrialisation and urbanisation has led the development experts
to undertake mega projects of growth without acknowledging the livelihood requirements
and survivability of the local human and animal communities. Ecosystems have been
ruthlessly destroyed due to lack of proper assessment of their impact thus disturbing the
balance of nature. State and society have distanced since this decade and as a reaction
the society has started consolidating itself against the injustices of the state. The decade
of 1980 witnessed the spread of a large number of mega projects for power generation,
mining, quarrying and meat production. This led to massive deforestation, damming of
rivers and devastating pollution of land, rivers, air and wetlands, grievous loss of milch
cattle and grazing grounds which affected villagers in large numbers. Thus there have
been movements to prevent deforestation like the Chipko in the Himalayas and Apikko
in the Western Ghats, Silent Valley movement against the Kudremukh power project,
Tehri and Narmada movements against the Tehri power project in Garhwal region and
Sardar Sarovar project over Narmada River adjoining Madhya Pradesh, Maharashtra
and Gujarat. Villagers have also organised themselves against the ambitious modernisation
schemes of government. The setting up of mechanised abbatoirs by some transnational
companies in Hyderabad has evoked strong protests not only by the butchers but also
by the Cow Protection Groups of Villagers for fear of losing out their best breeds to

170
such high intensity mechanical slaughtering. In Banaras, the Sarva Sewa Sangh, in
Bihar ‘Ganga Mukti Andolan’ , Panna Mukti Andolan, Mannu Raksha Koota ,Koel
Karo, Mulshi Satyagrahis and the Vishva Machuara Sangathan. Finally in December
1992 the creation of National Alliance for People’s Movement brought more than 150
grassroot organisations together. Even in the West civil society consolidation in the
form of specific issue based grouped such as Tree Sitters, Friends of the Earth, Green
Peace, Friends of the Wolf, Earth Firsters are some of the initiators in consolidating
people’s consciousness against the state power of destruction. However this civil society
consolidation has brought in severe reaction from State administration. The murder of
Ken Saro Wiwa, the leader of the Ogoni Tribe Protection Group against the Shell
Company in Nigeria, killing of Gangaram Kulundia in Bihar who led the Icha-Karhai
Visthapit Sangh and several others rape and molestations of tribal women protestors of
the Green Belt Movement in Africa and Narmada Bachao Andolan [NBA] in India are
some of the few atrocities committed by the state leading to the consolidation and
recreation of Human Rights Movements across the world.

The Seattle Conference of December 1999 has sufficiently demonstrated the unification
and convergence of the civil society groups across national and ideological boundaries
to question the domination of the G-8 countries over environmental policies of the
world. The UN Conference on Environment and Development (also known as the Earth
Summit) was the outcome of an intensive two years preparation of 35,000 people, 106
heads of state or government and 9000 journalists. This Summit gave an unprecedented
access to public interest groups, non-governmental organisations (NGOs) and the business
groups represented through the TNC representatives. The unbalanced production and
consumption levels prevailing in the world and the decreasing official development
assistance (ODA) were pointed out as the villain of environmental sustainability. This
was followed up at the 64th meeting of the Development Committee at Ottawa on
November 18, 2001 under the Chairmanship of Mr. Yashwant Sinha, Minister of Finance
of India. The central concern of the Conference deliberations was the assessment of
Poverty Reduction Strategies. This was further discussed at the Finance for Development
(FfD) Conference in April 2002 at Washington. The Conference emphasised enhancing
the ODA flows and harmonisation of the government agencies with private sector and
the civil society so that poverty eradication exercises could be improved upon.
Environment is becoming highly politicised and intricately woven with global politics.
The spread of communication networks through e-mail, fax and cell phones has
revolutionised environmental activism and made recalcitrant governments more vulnerable
to them. Internationally spread NGOs like the Sierra Club, Friends of the Earth,
Greenpeace, World Wildlife Fund , Gene Camp, Centre for Science and Environment,
Narmada Bachao Andolan, National Alliance for People’s Movement and Navdanya
tend to gang together despite their different origins.

As a result of the increasing civil society protests a multilateral framework for the
environmental review of official export credit activities has been undertaken by the
OECD countries which are a home to the majority of the TNCs. This framework aims
towards ‘Common Approaches on the Environment and Officially Supported Export
Credits’ and sets minimum requirements for the environmental review of OECD supported
projects. The growing corporate lobby is influencing decision making and has been able

171
to delay and deny the adoption of some crucial environmental commitments. The Tenth
Session of the United Nations Commission on Sustainable Development (CSD10) in
May 2002, and the recently concluded World Summit on Sustainable Development
(WSSD) provide an opportunity for reassessment on the platform provided by the civil
society. The themes which have drawn considerable attention may be mentioned as;
• Stewardship for environmental action
• Alternative and Appropriate technology
• Sustainable Communities
• Population and the Environment
• International Governance.

27.7 COMBINING GLOBAL AND LOCAL NEEDS

Environmental protection demands a two pronged action. One, on the global front
where international trade institutions are perpetuating the regime of the trans-national
companies; and the other action has to go down to the grass root level where the
resources are generated and expropriated out of the control of the people who are
generally aboriginals, forest dwellers, subalterns and rural folk. The problem that exists
and would continue to trouble nations is primarily the process of institutional and
regulatory changes in the natural resource policies. The panic for increased FDI flows
threatens environmental demands raised by the grassroots societies. States have been
found to bargain for lesser regulations in trade and environment.
This requires some major changes for good governance which would ensure transparency,
accountability and a more effective clarification of the property rights of communities.
Developing and transitional economies need to cooperate, collaborate and coordinate
their efforts with specialised and expert groups in international organisations to regulate
the just flow of FDI [FDI Confidence Index, 2001:36-38]. As one such group called the
Global Corporate Governance Forum explains in its agenda, “Good governance is a
source of competitive advantage and critical to socio-economic progress” [2002:1]. This
also opens up doors for spurious technology, dumping and tradeoffs between growth
and environment. India and other Third World nations have low ‘income elasticity’ for
environmental protection. Thus the FDI policy becomes arbitrary and contentious. Their
governments make several policy compromises and trade offs on governance. The Enron
exposure reveals the phenomenon of FDI flows to India. This situation can be overcome
only through the establishment of fair, transparent and accountable institutions of
governance. The whole debate on setting standards for environmental action leads one
towards the norms of common heritage, equity and security which have been by far
amiss in international deliberations on development. Their incorporation in environmental
governance demands a thorough restructuring of political-economic institutions in the
world. Democratic governance is the starting point for environmental action but the
TNC dominance has obliterated democratic functioning of institutions. A demand for
deliberative democracy in which citizens directly engage themselves in self-government
or a more participative framework in which representatives are not allowed to hijack the
real issues towards populist policies.[hempel 1996:218]. This leads scholars to return to
Schumacher’s much cherished ideal of ‘Small is beautiful’. Small group settings with
high use of electronic media for a baseline survey of the problem, before coming to

172
open public debates in which the public media is excessively utilised, small scale
polling only after an intensive public discussion on the problem is what one may call
a deliberative democracy . There is great likelihood that a proper management of this
kind of deliberative democratic system with the help of volunteers and stakeholder
groups is presently an important alternative to the colonial, secretive and authoritarian
system of environmental governance which the emerging regimes of the global
corporations are finding it too simple for control. New experiments in participative and
deliberative democracy may on one hand preserve the diversity of community resource
management and on the other hand may percolate conservation policies to the
implementable levels in society where big bureaucracies may become redundant as an
instrument of environmental action or inaction.

27.8 SUMMARY
‘Environment’ connotes the primary resources such as land, water and air which sustain
life on this planet earth. These three resources are the home of a large number of
ecosystems which are self sustaining communities of plants and animal kingdoms.
Human being is just a part of the ecosystem as any other organism but due to his control
over technology he has been able to become the master of the universe in total disregard
of other organisms which inhabit the world. This arrogance of technological power has
created severe ecological disturbances and destruction which has dangerous portents for
the survival of human beings themselves. Land, water and air have become polluted,
water bodies are drying up, land is eroding, soil is loosing its nutritive capacity to grow
sustainable crops and deforestation has destroyed some of the most valuable plant and
animal species. Natural calamities like drought and desertification, floods and landslides,
earthquakes and land subsidence have made life more vulnerable than before. Pollution
due to thermal power projects, automobile increase and chemical, dying and plastic
industries has made most places unlivable for human beings. The latest danger to
environment has come from terrorism which empowers the security forces to remove
forest cover to expose the culprits. There are several cases in which the spread of
nuclear technology has also led to deep and irreversible radioactive seepage into ground
water and surrounding water bodies.
To protect the misuse of their resources, people’s communities have emerged and
consolidated themselves and this movement has now developed international dimensions
which have the capacity to influence international trade policies in the WTO and other
international trade groups such as NAFTA, ASEAN, OECD, ANZUS, SAARC and EU.

27.9 EXERCISES
1) What do you understand by the environment-development debate?
2) What is the impact of environmental degradation on human living?
3) Explain with examples the meaning of “sustainable development”? What are its
basic features?
4) Bring out the main reasons for the rise of civil society movements across the globe?
5) How is social justice related to environmental protection?

173
UNIT 28 SCIENCE, TECHNOLOGY AND POLITICS
Structure
28.1 Introduction
28.2 Approaches to the Study of Science and Technology
28.3 Objectives of Modern Science and Technology
28.4 Nationalisation of Science and Technology
28.5 Globalisation of Science and Technology
28.6 Science and Technology in India
28.6.1 Achievements for India
28.6.2 Drawbacks for Development in India
28.6.3 The Outlook for Future
28.7 Summary
28.8 Exercises

28.1 INTRODUCTION
In the nation-building efforts, science and technology do play an important role. It has
been said that the growing cleavage between the developed and the developing countries
is no less factored on the evolution of scientific knowledge and dissemination of
technology. No wonder, most countries of the developing world have initiated policies
and strategies to develop indigenous science and technology in order to accelerate the
process of development and at the same time distribute the benefits of new scientific
know-how for the upliftment of the masses. Nevertheless, the appropriate policy package
in respect of developing science and technology indigenously has been underlined by
the political forces operational in any society. In other words, development of science
and technology has increasingly become more a political decision than otherwise.

28.2 APPROACHES TO THE STUDY OF SCIENCE AND

TECHNOLOGY
Philosophers and historians of science have differed in their approaches to the study of
science and in the accounts they have given of its development. There is a divergence
of opinion for example between what may be termed as “internalists” and “externalists”.
The “internalist” school holds that science, both in its content and trajectory of growth,
is independent of social and political forces. For those who consider science as nothing
less than “truth institutionalised”, the community of scientists is something very special
and worthy of emulation. Unlike most human communities, the community of scientists
is often seen by them as democratic, disinterested, tolerant and above all, rational.
Although there are many variations of such a view, this position has been supported in
large measure by such scientists-philosophers as Jacob Bronowski, Michael Polanyi,
Anatol Rapaport, and Jacques Monod.
Many modern accounts of the development of science, however, are “externalists” to a
greater or lesser extent and reflect the belief that social and political factors play an

174
important role in the development of both science and technology. This view emphasises
science as a social activity which is conditioned by the socio-political and economic
context in which it develops. Among those subscribing to such a view of science are
John Bernal, Thomas Kuhn, George Basalla, and Paul Feyerabend.

28.3 OBJECTIVES OF MODERN SCIENCE AND

TECHNOLOGY
Examining the nature and purpose of scientific and technological activity, it may be
noticed that this activity has twin objectives. Firstly, through the acquisition of scientific
knowledge it continuously widens the horizon of man and enlightens his outlook. Growth
of science has led to the shrinking of the area of darkness. Phenomena which held man
in awe and fear are now understood, controlled and taken advantage of. Afflictions of
man which were considered as divine punishment are now understood in terms of their
natural causes and cured.
The other role is to develop, through the creation of new artefacts, materials and goods
to meet human requirements, basic necessities as well as improving the quality of life.
The former include those which are not found in nature, but are exclusively man made.
The growth of both dimensions together help to create a balanced society. The two
dimensions were beautifully expressed in the early stages of the development of science
and technology in Europe.
Science and technology began in Europe as a revolt against the medieval intellectual
outlook and technology as a new mode of production. It was only through the social and
political struggle lasting over two to three centuries that they were able to establish
science as a major intellectual and social activity. The battles which were fought were
many, in which many paid a heavy price. This is evident from the movement of
Encyclopaedists in France, of natural philosophers like Haeckel in Germany, and that
of Thomas Huxley in England. In Russia, and later in China this role was institutionalised
through the communist cadre.
The machine production system was also not able to establish itself without resistance,
and there were many attacks on it besides the Luddites. Further, with regard to the
organisation of the production system, there were many experiments, starting from
Robert Owen and others, with diverse motives and objectives, before the production
system was consolidated in its present form.
Both science and technology created and nurtured a production system which brought
about a change in human outlook, by widening horizon and bringing him out of the rut
of medieval outlook and philosophies on the one hand and provided new resources and
materials, and ushered liberty, equality and prosperity.

28.4 NATIONALISATION OF SCIENCE AND

TECHNOLOGY
The period between the First and Second World Wars was significant in terms of
politicisation of science and technology. National governments in Britain, France and

175
Germany, came forward to provide policy direction and funding to scientific and
technological development in these countries. This trend towards ‘Nationalisation’ of
science was a marked departure from earlier practice of scientific enterprise maintaining
a safe distance from the political sphere. Throughout the 18th and 19th centuries scientists
had carried out research and development in their own independent laboratories without
any political control.

The Second World War and the Cold War gave a fresh impetus to scientific and
technological development under the auspices of national governments. The Manhattan
Project organised by the US government for the development of nuclear energy, including
the nuclear bomb, indicated the direction that science and technology were to take
during the second half of the twentieth century. The US lead in this respect was soon
followed by other great powers like the USSR, France, UK, and China.

Among the developing countries, India and Brazil took steps to frame science policies
to give direction to scientific and technological development. Unlike the great powers,
the governments in developing countries sought to use science and technology primarily
for social and economic development. Agriculture, health, and heavy industry, were the
main areas in which the government provided funding and organisation for research and
development.

However, the developing countries were not averse to providing funding and support for
research projects aimed at increasing their power and prestige. Countries like India and
Brazil, for instance, started supporting research in the fields of nuclear energy and
aerospace soon after the Second World War. In fact the best of scientists and engineers
in these countries could be seen to be working in the key areas of nuclear and space
research.

The difference in financial and educational resources available to the governments in

developed and developing countries was so vast that the gap in their respective scientific
and technological development could not be bridged. Over the decades, the pace of
scientific and technological development in the developed countries has been much
faster than that in the developing countries. Only a few developing countries, like
China, India and Brazil have been able to harness science and technology successfully
for building their economic and industrial capabilities.

As the beginning of the 21st century, the developed countries occupy a position of
dominance in the support and conduct of research and development (R&D). More than
90 per cent of all R&D in science and technology in the present day world is conducted
in the developed countries. Within the developed countries, U.S. R&D expenditures
equal the combined total expenditures of Japan, the United Kingdom, Canada, France,
Germany, and Italy.

Governments continue to pursue broad national and regional efforts to capture the
benefits of science and technology. In addition to emphasising market forces and
liberalisation of investment, their strategies have included strong investments in education
and training. In the latter part of the 1990s, these developments reflected a growing
conviction that some kind of new economic reality was coming into existence; a

176
“knowledge-based” economy, marked by the systematic generation, distribution, and
use of research knowledge for economic gain. This notion, emanating from the United
States and Japan, seemed to be underscored by the positive US economic performance
in the latter half of the 1990s.

Government and industry efforts in several nations may foreshadow the eventual creation
of new centres of scientific, technological, and engineering excellence. China and India
are fast emerging as new technological powers with strong capabilities in most areas of
science and technology. The resulting international knowledge flows may benefit all
nations but will also pose challenges to those seeking to exploit these flows effectively.

In recent decades nations have pursued technological strategies to gain strength in high-
technology areas like space, communications, and bio-technology. High-technology
industries are important to national economies because they produce a large share of
innovations, including new products, processes, and services that help gain market
share, create entirely new markets, or lead to more productive use of resources.

High-technology industries are also associated with high value-added production, success
in foreign markets, and high compensation levels. Results of their activities diffuse to
other economic sectors, leading to increased productivity and business expansion. The
international competitiveness of their products and processes thus provides a useful
market-based measure of the performance of a nation’s science and technology (S&T)
system.

Many decades of support for basic research provide the basis for past and current
innovations that generate economic benefits. During the 1990s, the United States
maintained and improved its position in the exploitation of new knowledge, techniques,
and technologies for economic advantage. By the end of the century, the United States
remained the leading producer of high-technology products, providing more than one-
third of the world’s output. US-based pharmaceuticals, computer, and communications
equipment industries gained in world market share over the decade; only the aerospace
industry lost market share.

The world’s total manufacturing output has been rising during the past two decades, and
the share of high-technology industry products in that output has increased. Worldwide,
high-technology manufacturing rose from 7.6 per cent of total manufacturing output in
1980 to 12.7 per cent by 1998. The high-technology share of U.S. manufacturing output
increased from 9.6 to 16.6 per cent during the period, and the United Kingdom experienced
similar growth. The high-technology output shares of other European Union members
also increased but stayed at lower levels: 11.0 per cent for France and 9.0 per cent for
Germany. In Asia, the high-technology sectors in the Taiwanese and South Korean
economies grew especially rapidly, to 25.6 and 15.0 per cent, respectively, of their 1998
manufacturing output.

Heightened international attention to the economic advantages bestowed by the

exploitation of new knowledge, processes, and products has led to increases in R&D
spending around the world. This broad international expansion is reflected in a gradual
decline of the U.S. share of total R&D performed by member countries of the Organisation

177
for Economic Co-operation and Development (OECD). Nevertheless, at 44 per cent of
the estimated $518 billion 1998 OECD total, the United States remained by far the
largest single performer of R&D. Its R&D expenditures equalled the combined total for
Canada, France, Germany, United Kingdom, Italy, and Japan. By itself, Japan accounted
for 20 per cent, and the European Union accounted for 30 per cent of the OECD total.

The decline in the share of government funds for R&D is a key trend common to all
major industrial nations and many other OECD countries. In the mid-1980s, these
nations derived an average of 45 per cent of their R&D funds from government sources;
by 1998, this figure had fallen to less than one-third. The relative retrenchment reflects
the broad growth of private sector industrial R&D, reductions in defense R&D in some
key nations, and broader economic and spending constraints on governments.

28.5 GLOBALISATION OF SCIENCE AND TECHNOLOGY

The expansion of national R&D efforts in many countries is taking place against the
backdrop of growing international collaboration in the conduct of R&D. The end of
divisive Cold War, expansion of convenient and inexpensive air travel, and advent of
the Internet have facilitated scientific communication, contact, and collaboration. More
R&D collaborations can be expected to develop with Internet-facilitated innovations
such as virtual research laboratories and the simultaneous use of distributed virtual data
banks by investigators around the globe.

Indications of this growing international activity can be drawn from the behaviour of
researchers, firms, and inventors. A rising share of the world’s scientific and technical
publications has co-authors who are located in different countries. U.S. investigators
play a major part in these collaborations, and their co-authorship ties extend to a wider
range of countries than those of scientists and engineers in any other nation. Regional
research collaborations are also growing stronger among European and Asian countries.

Greater global collaboration is not limited to the conduct of scientific research. In many
countries, foreign sources of R&D funds have been increasing, underlining the growing
internationalisation of industry R&D efforts. In Canada and the United Kingdom, foreign
funding has reached nearly 20 per cent of total industrial R&D; it stands at nearly 10
per cent for France, Italy, and the European Union as a whole. Foreign R&D funding
remains low in Germany, however, and it is negligible in Japan.

The United States is attractive to foreign firms because of its technological sophistication
and size of the market. R&D spending in the United States by foreign affiliates rose to
a record $22 billion or 15 per cent of company-funded R&D in 1998. U.S. affiliates of
European companies (including Daimler-Chrysler) accounted for 72 per cent of this
total, the Asian/Pacific region for 14 per cent (four-fifths Japan), and Canada for 11 per
cent. Foreign-owned subsidiaries of firms in particular countries tend to be concentrated
in particular industries (e.g., computer and electronic products for Japan). Also in 1998,
715 R&D facilities were operated in the United States by 375 foreign-owned firms.
Japan owned 35 per cent of them; Germany and the United Kingdom each owned 14
per cent.

178
US firms are also investing in R&D conducted in other locations. R&D spending by US
companies abroad reached $17 billion in 1999, rising by 28 per cent over a brief three-
year span. More than half this spending was in the areas of transportation equipment,
chemicals (including pharmaceuticals), and computer and electronics products. Both
inflows and outflows of foreign funds are dominated by manufacturing sector R&D.
Relatively low levels of service sector R&D spending suggest a greater difficulty in
exploiting non-domestic locations.

Globalisation is also indicated by the strong growth of international patent families,

which are patents filed in multiple countries covering the same invention. Their number
has grown from 249 in 1990 to 1,379 in 1998. This development indicates the globalisation
of both markets and intellectual property. It also suggests increasing access to knowledge
and know-how flows on a global scale.

28.6 SCIENCE AND TECHNOLOGY IN INDIA

Science & Technology (S&T) has always been an integral part of the Indian culture.
Natural Philosophy as it was termed in those ancient times was pursued vigorously at
institutions of higher learning. The contributions made by the scholar-scientists
Aryabhatta, Bhaskara, Brahmagupta, Dhanvantari and Nagarjuna, to name a few, to the
fields of mathematics, astronomy, medicine and chemistry during the prehistoric period
are legendary and invaluable not only to Indian S&T but also to the knowledge base of
the humanity at large.

The astronomical observations at Jaipur and New Delhi and the Ashoka Pillar in New
Delhi stand as living testimonies to the high standards of Indian capabilities. The dawn
of the present century witnessed great strides made by Indian scientists like Srinivasa
Ramanujan, J.C. Bose, P.C. Ray, Meghnad Saha, C.V. Raman, S.N. Bose, Birbal Sahni,
P.C. Mahalanobis and M. Visvesvarayya, who have left indelible imprints on the world
S&T scene.

The innate ability to perform creatively in science came to be backed with an institutional
set-up and strong state and political support after country’s independence in 1947. Since
then the Government of India has spared no effort to establish a modern S&T organisation
in the country. India’s first Prime Minister Pandit Jawaharlal Nehru gave whole-hearted
support to a concerted programme for the promotion of S&T in the country. As a result,
many new S&T departments and laboratories were set up and the pursuance of scientific
research started in an organised manner.

Jawaharlal Nehru firmly believed that Science and Technology can be the twin tools
that would help bring about social equity and economic development to enable India
join the mainstream of the world community. This conviction was reflected in the
Scientific Policy Resolution (SPR) of 1958, the aim of which was “to foster, promote
and sustain the cultivation of sciences and scientific research in the country and to
secure for the people all the benefits that can accrue from the acquisition and application
of scientific knowledge”.

179
28.6.1 Achievements for India
The commitment of Indian Government to promote socio-economic growth of the country
through the use of S&T has shown remarkable successes in a short span of five decades.

India today ranks as one of the few developing countries, which have achieved self-
sufficiency in food production. The country has endeavoured to fulfill the basic needs
of healthcare and housing for a large section of its people.

In the field of basic research, the country has done notably well and has established
major research groups with world-class capabilities in various emerging and frontline
areas of Science & Technology. Some examples are the areas of Molecular Biophysics,
Molecular Biology, Neuro-biology, Liquid Crystals, Biomedical Devices,
Superconductivity, Condensed Matter Physics, Astronomy and Astrophysics, Powder
Processing and Advanced Materials, Organic Chemistry, Solid Sate and Surface
Chemistry, Numerical Weather Prediction, Parallel Processing and Atmospheric Sciences.

India occupies a unique position in the world having formulated its own nuclear
programme and cultivated self-reliance in areas of reactor technology and its entire
associated fuel cycle. The country designs, constructs and operates nuclear reactors,
fabricates the require fuel—reprocesses it, and treats the waste generated in the entire
fuel cycle in a comprehensive manner by a totally indigenous effort.

Similarly, in the high-tech area of space research India can now design, build and
operate state-of-the-art communication and remote sensing satellites as well as launch
1000 kg class remote sensing satellites into polar sunsynchronous orbit. Many of the
technologies developed for the nuclear and space research programmes are now finding
their way into the market and being used in other sectors. Indian industry is striving to
keep pace with these developments.

Yet another achievement which speaks of high level of S&T capability of India is the
development of supercomputers—only a few advanced countries have this capability
today.

In the field of Aeronautics, the country has developed and successfully flown an all-
composite trainer aircraft. Projects are in hand for the development of Light Transport
Aircraft and Light Combat Aircraft.

A large number of technologies have been developed and commercialised for various
chemicals, including petrochemicals and agrochemicals; industrial catalysts; drugs and
pharmaceuticals; biomedical devices; food processing; leather processing and products;
engineering materials and equipment; electronic equipment and construction materials,
to cite a few. Many of these technologies have also been marketed abroad, an indication
of their global competitiveness.

Special mention may be made of the technologies developed for industrial catalysts,
such as Encilites, for producing important petrochemicals like p-xylene, ethylbenzene
and olefins, and for drugs such as AZT (anti-AIDS), Etoposide (anti-cancer) and
Centchroman (non-steroidal oral contraceptive).

180
Micropropagation of several trees and crops by the plant tissue culture technique,
development of ELISA and PCR techniques and DNA probes for detecting enteric
pathogens in drinking water, development of toxinogenic oral vaccine for cholera and
conversion of molasses to ethanol using a special yeast strain are a few examples of
achievements made in the field of Biotechnology.

The major programmes being pursued in the field of marine sciences include exploration
and exploitation of living and non-living marine resources, study of air-sea interactions,
coastal zone management and scientific expeditions to Antarctica. India has established
its reputation for carrying out oceanographic surveys. A major assignment completed
was the comprehensive survey of the Caribbean waters under the CORE project.

India’s success in exploration and survey of deep sea polymetallic nodules has earned
it the distinction of being registered as a Pioneer Investor under the UN Convention on
the Law of the Sea which has recently come into force. An area of 150,000 sq. kms has
been allotted in the Central Indian Ocean to India for survey, exploration, and ultimate
retention of 75,000 sq. kms. of high abundance area.

28.6.2 Drawbacks for Developments in India

Inspite of these significant achievements, a very large section of Indian society has not
benefited much from the advances in science and technology in and the world. The main
reason for this is that in contrast to European developments, the introduction of science
and technology in India had little or no developmental background. It was introduced
as an instrument of British colonialism, in the form of foreign products sold in the
country. Major changes were introduced in the native economy to meet the demands of
raw material procurement and marketing of products which adversely affected the people.

Later, when limited industrialisation was introduced in India, it was created around
imported technology so that the dependence on British heavy industry continued. This
created a dual production system, and the two systems came to be known as “Indian”
and “foreign”. The former got associated with nationalism. Under the impact of national
movement, and Gandhian ideas, it got incorporated as one of the possible alternative
systems of production. It tried to avoid the excessively centralised, dehumanised and
exploitative character of organised industry. This duality continues to this day in scientific,
technological, and industrial planning of the country, with philosophic, national, social
and cultural overtones.

The reason for the lack of success of indigenous science and technology lay in the
nature of the infrastructure built for science and technology, i.e., the education system
and the technical system. The institutional structure was shaped to meet the requirements
of the industrial units built around imported technology. It did not interact, and was not
meant to, with existing small scale industrial infrastructure in the country. In addition,
science education and technical research system was not a result of natural growth, but
was imposed from above and was created in the image of the institutions abroad. The
science and technology system was thus socially and culturally isolated from the grassroots
of Indian society and economy from the beginning.

181
This was in sharp contrast to the experience of Europe, and later Japan, where the
emerging science and technology continuously interacted with the cottage and small
scale industries, with the objective of better utilisation of raw materials, improving and
up-scaling the production system and improving the quality of products. The institutional
structure of education, technical expertise and research and development in these countries
was shaped to meet the requirements of industry and also to continuously interact with
it.

Being dependent on government support, science and technology in India became

extremely bureaucratised and could not play the role of bringing about social
transformation. Most significant choices of alternatives in science and technology were
made through the medium of what C.P. Snow has termed as “closed politics”. The term
refers to “any kind of politics in which there is no appeal to a larger assembly in the
sense of a group of opinions or an electorate, or on an even bigger scale what we call
loosely ‘social forces’.”

Science as an academic discipline was introduced in India much later than foreign
technology. It was not part of an intellectual and social revolt, against the then prevailing
outlook and attitudes, nor did it become an instrument of fight against superstitions and
obscurantism. Consequently, its concepts and ideas could not become a basis for
generating a new outlook and value system. Being associated with foreign rule and
education, its ideas and outlook were not understood by a large number of people. In
other words, the manner and the language of introduction of science and technology in
India came effectively in the way of the proper appreciation of the role of science as
an intellectual effort and the dissemination of scientific knowledge, ideas and values
amongst the people.

In addition, this limitation of science also isolated the scientists from the people, their
problems, social attitudes and general ethos. Scientists came to be concerned in such a
situation, increasingly with esoteric professional work, research projects, and scientific
investigations. Much of the activity of the scientists was connected with institution
building, rather than evolving a wider role for science and technology in the society.

Consequently, the growth of science and technology in India has been partial and
superficial. The scientific temper in society, which Nehru tried to develop, is yet to take
roots. The vast majority of people, not being exposed to science and technology, are
unable to understand its implications or benefit from the gains of development. They
still look towards traditional ideas and beliefs for guidance, and solution of their problems.
Having grown up in age old traditions, cultural ethos and outlook, their hold on traditional
beliefs becomes stronger when they feel insecure and threatened. This explains the
growth of irrationalism and obscurantism even as India has moved into the 21st Century.

28.6.3 The Outlook for Future

After analysing the interaction of science technology and politics in India and the world
over more than half century, it is clear that as we progress into the new millennium, the
outlook is bright. The Indian industry—for example, the pharmaceutical industry—is
developing fast and it is good to see their recognition of the importance of not only

182
applied research but also basic research. The hold of bureaucracy over the scientific
establishment is also decreasing, and the government is keen to encourage private sector
participation in scientific and technological development. There is also an emergence of
a large number of non-governmental organisations concerned with science and technology
which are committed to protecting and promoting the interests of the people. These
trends indicate a bright future for the growth of science and technology in India.

28.7 SUMMARY
Science and technology has been variously viewed as democratic and rational or a social
activity conditioned by the socio-political and economic context in which it develops.
Its objectives are to enlighten mankind and to meet human requirements and necessities
improving the quality of life. In the period between the First and Second World War,
British, French and German governments came forward to give policy direction to
scientific and technological development leading to the nationalisation of science and
technology. The pace of scientific and technological development in developed countries
is much faster than that in developing countries. Technological innovations have been
made in age, health, heavy industries, nuclear and space research, communications and
bio-technology. The international competitiveness of a nation’s products provides a
useful market-based measure of the performance of its science and technology system.
The economic advantage of new knowledge and processes has led to increased research
and development (R&D) spending around the world. There is also growing international
collaboration in the conduct of R&D with the end of Cold War and expansion of
inexpensive air travel and internet. R & D spending in a country by foreign and private
affiliates is also increasing. India has done well in basic research, establishing major
research groups with world class capabilities but its relative lack of success lies in its
infrastructure built for science and technology and its lack of interaction with the existing
small-scale industrial infrastructure in the country. The institutional structure of education
and R & D was not suitably shaped to meet the requirements of the country. But with
the hold of bureaucracy decreasing and the private sector participation in scientific
development, the outlook seems to be bright.

28.8 EXERCISES
1) How has the study of science been approached by philosophers of science? What
are the objectives of science and technology?
2) What led to nationalisation of science and technology? How has its development
varied in developed and developing countries?
3) What accounts for globalisation of science and technology?
4) What are India’s achievements and drawbacks in the development of science and
technology?

183
UNIT 29 DECENTRALISATION AND
PARTICIPATION
Structure
29.1 Introduction
29.2 Concept of Decentralisation
29.2.1 The Concept
29.2.2 Types of Decentralisation
29.2.3 Recent Thinking
29.3 Concept of Participation
29.3.1 Development Perspective
29.3.2 Democracy Perspective
29.3.3 What is meant by Participation
29.3.4 Nature and Types of Participation
29.4 Benefits of Participation
29.5 Participative Development: Problems and Prospects
29.6 Summary
29.7 Exercises

29.1 INTRODUCTION
There is a world-wide trend now to involve people in collective problem-solving.
Democracy becomes a reality when people are able to take active part in decision-
making relating to their own problems, be it conservation of forests or local environmental
improvement or any such issue that affect them vitally. Decentralisation and Participation
assume crucial importance in this context. Government has to be as near as possible to
the people; and there must be ample scope for the people to participate in the governing
process. In the present unit of this course, we will concentrate on the meaning of the
two concepts of decentralisation and participation, and explain their significance for
people-led development, as distinguished from bureaucracy-led or expert-led development.

29.2 CONCEPT OF DECENTRALISATION

29.2.1 The Concept
Generally, decentralisation is understood to involve transfer of power and responsibility
from national (or central) government to subsidiary levels that may be regional, municipal
or local. A distinction is made, in this context between de-concentration and
decentralisation. The former term is used when central government offices are moved
to regions, but remain under the control of the central government. In India, district
administration is an example of de-concentration, whereby state government creates an
office of the district collector as a sub-state unit under the control of examples of
decentralisation proper, as a new type of government is set up which is not a unit of

184
state government, but a fairly autonomous ‘government’ with independent powers derived
from law and local political will.

Decentralisation has been looked at a singularly useful mode of administration to deliver

the public services from convenient local centres close to the clients’ locality. Bringing
administration to the doorstep of the citizen and forging a direct relationship between
the client and the administration have been the driving force behind decentralisation in
most developing countries.

Brian Smith in his authoritative work on Decentralisation has mentioned that in the
Third World “decentralisation has long been regarded as a necessary condition of
economic social and political development.” As he describes, democratic decentralisation
has been favoured for a variety of reasons:

First, decentralisation has been found to be a more effective way of meeting local needs
than central planning.

Second, it has been particularly useful in meeting the needs of the poor and in enabling
the large majority of the rural poor to participate in politics.

Third, decentralisation is said to have improved access to administrative agencies and

acted as a corrective to people’s apathy and passivity. In this process, it has helped
secure people’s commitment to development.

Fourth, support for change through people’s involvement, conflict reduction, and
penetration of rural areas have been made possible through decentralisation.

Fifth, decentralisation has eased congestion at the centre, provided more speed and
flexibility during implementation.

Sixth, local democracy has been satisfying for local subgroups and thus, it has
strengthened national unity.

Seventh, in the old liberal political sense, decentralisation has served the purpose of
political education of the masses.

Finally, local community support for government work has been able to harness local
resources and self-help efforts for local development.

The urge for decentralisation has come from many sources. Firstly, it has been prompted
by the need to deliver the basic public goods like food, housing, and water and so on
as quickly as possible from local units of administration. Secondly, most people in the
developing countries live in rural areas which are away from the national capital located
in distant urban and rural areas. Administration has to “penetrate” the rural areas and
link these up with the nation as a whole. Thirdly, in many countries social diversities
manifest themselves in ethnic, linguistic and religious differences. Administration needs
to be decentralised in response to regional diversities. Fourthly, regional and local
resources can be utilised for area development and localities. Decentralisation, therefore,
facilitates local planning and development with the help of local resources. Fifthly,

185
decentralisation has its own value in political and administrative terms. Politically, local
participation in development activities, besides being resource intensive, paves the way
for meaningful articulation of local demands. Planning, thus, becomes much more realistic
and receives ready political support.

From the administrative point of view, local capability to govern local areas increases
through sustained participation in local decision-making. Decentralisation is expected to
release local energies and enlist local support for development activities. In the process,
the local community can steadily attain political and administrative maturity.

29.2.2 Types of Decentralisation

In this context, three types of decentralisation can be identified: (a) Political, (b)
administrative, and (c) fiscal. Transfer of power is at the heart of political decentralisation.
Political relations and responsibilities between new or existing levels of government are
refined in such a way that the power of lower-tier authorities is increased. Administrative
decentralisation is characterised by the establishment of central government offices and
infrastructure in local communities or regions. This is also known as ‘deconcentration’
as earlier discussed. Fiscal decentralisation takes place when financial resources are
transferred to local authorities who are granted power to raise taxes. Successful
decentralisation is the result of both political and fiscal decentralisation.

29.2.3 Recent Thinking

As the countries in the world today get more and more interlinked in terms of trade and
financial flows, two contrasting phenomena assume significance: globalisation and
localisation. The first represents progressive integration of the world’s economies requiring
national governments to reach out to international partners, bilaterally and multilaterally.
The second reflects the growing desire of people for a greater voice in their government.
It pushes central governments to reach down to regions, cities and localities, generating
in the process political pluralism and self-governance around the world.

The World Development Report 1999/2000 points out that “some 95 per cent of
democracies now have elected sub-national governments, and countries everywhere—
large and small, rich and poor—are developing political, fiscal, and administrative
powers to sub-national tiers of government.” The Report observes that successful
decentralisation improves the efficiency and responsiveness of the public sector, while
accommodating potentially explosive political forces that press for localisation.

29.3 CONCEPT OF PARTICIPATION

The discussion on participation has been going on from two complementary perspectives:
the democracy perspective and the development perspective.

29.3.1 Development Perspective

As discussed earlier, development projects were earlier conceived, planned, executed,
operated and maintained by “outsiders”. People receive benefits with very little

186
participation in the actual process of development. Development of people was also
mostly understood as improvement in physical facilities such as houses, roads, drinking
water facilities, health centres.

It failed to address social issues, and its limitations were as under:

• Unequal distribution of development benefits among different sections of the
population;
• Increased dependency of people on external resources;
• Indifference of people towards the facilities created;
• Heavy spending by the government on replacement, operation and maintenance of
the facilities created;
• Depletion of natural resources due to over utilisation; and
• Under-utilisation of inputs when unsuitable for use (refer to the example of washing
slabs provided under the environmental sanitation project).
A number of field-based research studies, reviews and evaluations of development
projects conducted in the beginning of the 1970s identified this approach as “top down”
and severe criticisms were levelled against this development model. The findings of
these studies also demonstrated that the problems mentioned above originated mainly
due to excluding people from the development process and considering them as mere
beneficiaries. This finding along with other political developments at that time, such as
the women’s movement, environmental movements and greater involvement of NGOs
stressed the need for an alternative development approach.

In the late 1980s a new philosophy began to emerge, which gave rise to a gamut of
approaches to involve people in the process of development. This approach as a whole
came to be known as the “participatory development approach.”
The participatory development approach emerged out of the shortcomings of the top
down approach. The new paradigm suggests that all processes should begin with the
people who know most about their own life systems. It will have to value the existing
knowledge and skills and build on them. The newer approach believes that communities
should develop their own means to achieve self-development and any support coming
from outside should only facilitate this process.
It was discovered that most development projects implemented from the top could not
address the problems sufficiently. Instead, what is needed is people’s own efforts to
identify, project, implement and evaluate project for their felt needs.
a) Development has to be holistic rather than fragmented. It is necessary to develop
interdisciplinary methods of intervention.
b) Qualitative information from the people is as valid as quantitative data and is often
more insightful.
c) Development with and for the people involves a change in relationship between the
partners or stakeholders, a demand for dialogue and experimentation with different
forms of people’s participation.

187
d) This also works on the basis of respect for people’s culture, beliefs and ways of
coping with life. Also there is an understanding that development practitioners are
part of a learning process.

29.3.2 Democracy Perspective

The other perspective from the democratic angle is of generic importance. Conventionally,
democracy has been more procedural than real. Regular elections, fundamental rights,
freedom of speech and expression and an independent judiciary have been acknowledged
as institutional prerequisites of democracy. But, actual operations of government have
often been without taking the people in confidence and without associating the people
in the decision-making processes. This has affected the legitimacy of government in
both developed and developing countries. It is in this context that the role of participation
assumes significance to bridge the gap between government and people.

29.3.3 What is meant by Participation?

Now, we can define participation and discuss its salient features. The elements of a
definition are as follows:

Voluntary contribution of people towards the project cost, giving information to people
about the project and vice versa, getting people to use the project inputs, asserting one’s
points of view in project implementation, and active involvement of the people in the
process of decision making at all stages.

In fine, participation is “a process by which people, especially the disadvantaged, influence

policy formulation and control design alternatives, investment choices management and
monitoring of development interventions in their communities.”

29.3.4 Nature and Types of Participation

One can raise at this point a question about the nature of “participation”. Two concepts
have been in use in this field which are not synonymous: popular participation and
community participation. The former is related to appropriate mechanisms (election,
panchayati raj etc.) through which people are involved in political, economic and social
life of a nation. By contrast, the latter connotes direct involvement of the people,
especially the poorer and more disadvantaged sections of the population, in local
development affairs. Hence, the latter concept has been used in the sense of participatory
development.

Different kinds of participation have been conceptualised in this context on the basis of
different criteria. For instance, “authentic participation” has been distinguished from
pseudo-participation, as the latter kind of participation limits community involvement
to mere implementation or notification of decisions already taken by external agencies.
By contrast, authentic participation involves the community as a whole in all the processes
of local development decisions. Further, this kind of participation requires widespread
social structural changes and a massive redistribution of power. Paulo Friere gave vent
to this feeling of authenticity as he wrote: “Policies carried out by a rigid bureaucracy

188
in the name of the masses to whom they are transmitted as order are one thing with their
critically conscious participation in the reconstruction of society, in which the necessary
never become slogan.”

Another way of classifying participation is to look at it from the point of view of motive
force of participation. Thus, there can be “coercive participation” where people are
forced to participate inspite of opposition or lack of willingness.

A second category of “induced participation” will be with the help of certain allurement
and inducements like money or payment in kind.

A third category has been called “spontaneous participation” characterised by people’s

voluntary and autonomous action unaided by government or any other external agencies.
This last category is more of an ideal kind, as social workers have generally noticed that
deprived communities rarely function autonomously, and their capacity for collective
action needs, at least initially, the leadership push from an external agent—be it a social
worker or a political leader. As Robert Chambers has put it bluntly: “However much the
rhetoric changes to ‘participation’, ‘participatory research’, community involvement,
and the like, at the end of the day there is still an outsider seeking to change things”.

As already pointed out, contemporary ideas about community participation in the sense
of mobilisation of the poor and the disadvantaged for active involvement in local decision-
making to accelerate local socio-economic development and to ensure equitable
distribution of the benefits of development, are of comparatively recent origin. During
the last three or four decades, development theorising has shifted from emphasising
macro “economic growth” as the motor of development to benefits to targeted groups
via basic needs approach, defined by external experts working as change agents. It is
only recently that social participation has entered into the definition of poverty-related
development agenda. As the development paradigm shifted, especially after the Earth
summit of 1992, to integrate local communities as key actors of defining development
priorities, models based on participation, knowledge-sharing and two-way communication
began to emerge steadily.

29.4 BENEFITS OF PARTICIPATION

The reorientation of development thought towards the people-centric participatory mode
has led to the acknowledgement of the value of “participation” as a facilitative
development “process”. The major benefits flowing from participation have been identified
as follows:

a) In the planning and programming stages and throughout the implementation of

development projects, the participatory process provides important information,
ensuring thereby congruence between objectives of development and community
values and preferences.

b) By rationalising manpower resources utilisation, the process is likely to reduce

project cost.

189
c) Any change brought about through development will be ‘politically’ acceptable to
the community if the local people are involved in setting the stage for change, and
mistakes are more tolerable if these are made by people who have to live with them.

d) Monitoring is better, and sustainability of the project is more likely even after
withdrawal of the external agent, be it government or NGO agency. Field experience
tells us that when people have a direct stake in the provision of their services, they
fix things or call attention to them when there is any malfunctioning.

e) The community learns from its own involvement, and from this point of view,
participation is a two-way learning process in which both the administrator and the
people become co-learners.

f) Active community participation helps rebuild community cohesion and installs a

sense of dignity into the community. People gain in confidence and steadily emerge
as real actors in the development drama. To participate is to act, and to become a
“subject”, as against just a passive ‘beneficiary’ dependent on “gifts” from outsiders.

According to Paulo Freire, being human is to be a “subject”, with capacity to think and
act, “objects” are thought about and acted upon. Development is something which
cannot be done to or for a person, but must be done with them.
Three Attributes of Participation
In this context, Oakley has identified three manifestations of participation. These are:
i) Contributions by target groups to pre-determined projects, which can be local labour,
money, land or other resources.
ii) Organisations, structured and supported either by development workers or by the
people themselves, and
iii) Improvement through, for example, acquisition of new management, negotiation or
decision-making skills that enhance people’s capability and tend to alter local power
structure.
Essentially, participation represents action, or being part of action like the decision-
making process. Under conditions of scarcity and competition for finite resources,
participation introduces the possibility of equity into resource distribution. The other
important feature of participation is its consciousness raising force. Critical consciousness
and awareness, as Freire said, are basic to sustaining participation. Otherwise one-time
project-based participation has the tendency to exhaust participation after the completion
of the project.

29.5 PARTICIPATIVE DEVELOPMENT: PROBLEMS AND

PROSPECTS
Advocates of community participation are many and varied. At one end of the spectrum
are the idealists with profound faith in community cohesion and collective grassroots
wisdom; and their argument in favour of participation almost verges on the construction

190
of a sovereign local community outside the ambit of the state. At the other end are the
more pragmatic social workers who strongly believe that community help. In the process,
costs are minimised for construction as well as maintenance. Participation thus serves
the dual purpose of local and national development.

Critics have pointed out that in this kind of formulation, moral sentiments tend to
overtake conceptual rigour, and therefore, participation “has popularity without clarity
and is subject to growing faddishness and a lot of lip service.” Serious analysis of local
community life reveals differentiation in terms of status, income and power. Conflicts
and rivalries are not uncommon even among the poor and the underprivileged. One of
the reasons why Ambedkar was critical of Panchayati raj was precisely this: village
societies had traditionally been divided along caste, class and communal lines. The
romantic vision of frictionless, harmonious community life did not tally with the ground
reality in rural India.

Autonomous local community participation for grassroots development has been

conceived as an antidote to top-down, benevolent and paternalistic development. Reality,
however, is very different. External intervention by social workers or political activists
has been found necessary almost everywhere to organise the local community and
mobilise the local people against the oppressor or for articulation of local demands.

It has also been observed that there is an imaginary notion of continuous activism by
the local people behind all discussions on community participation. The poor work hard
to eke out a living and are not so easily available for permanent activism. Total and
continuous commitment to activism is more a revolutionary’s dream than the poor
people’s actual behaviour.

There are critics who doubt the efficacy of community participation in bringing about
radical change in the life of the poor and the underprivileged through autonomous local
action only. Small changes are not ruled out, but community participation to be really
effective needs profound social structural change at both domestic and international
levels. Community mobilisation cannot, on its own, correct the basic social imbalances
that have their roots in deeper socio-economic layers of the society. The Marxist argument,
for instance, has been that participatory development within the framework of capitalist
mode of production is unworkable; the purpose of participation is to diffuse revolutionary
movements and create an illusion of solution. The state, under conditions, of capitalism,
seeks to subvert popular movements through manipulative cooptation of the poor (via
participative structures). ‘Participation’, in this view, is a conscious attempt on the part
of the state to co-opt the poor and at least to outwit their leaders. It is anti-revolutionary
and pro-establishmentarian.

The Role of the State Community participation viewed in functionalist developmental

term misses the fundamental role of the state in helping or hindering participation. In
other words, a proper understanding of participation begs a theory of the state. As James
Midgley has observed, “there are a variety of social sciences theories of the contemporary
state which evoke different images of state-society relationships. While Marxian and
elite theories are pessimistic about the possibility of community participation, liberal-
democratic and pluralist theories are much more helpful.”

191
Community participation, from the state’s point of view would depend on the definition
and purpose of such participation, state’s perception about its role, and the political will
to decentralise power and resources to local political institutions.

29.6 SUMMARY
Decentralisation and participation assume critical importance in terms of making
democracy a reality. Decentralisation means transfer of power from a Central government
to regional, municipal or local levels. Successful decentralisation should be political,
administrative and financial. Participation means active involvement and voluntary
contribution of people in the process of decision-making. There are two perspectives on
participation. One is the development perspective which was earlier understood as
improvement in physical facilities such as houses, roads and drinking water facilities
etc. Now it involves people’s own efforts to identify, implement and evaluate projects.
The second perspective is the democracy perspective which seeks to fill the gap between
the government and the people with the process of elections, freedom of speech and an
independent judiciary.

Critics of participative development say that it is popular without having any clarity and
that there are a lot of conflicts and rivalries even at the local levels. Autonomous local
community participation is seen as an anti-dote to a top down paternalistic development.
Thus participation is seen as an attempt by the state to co-opt the poor, and in the
process subvert popular anti-establishment movements.

29.7 EXERCISES
1) How do the concepts of decentralisation and participation help make democracy a
reality?
2) Write a short note on the types of decentralisation.
3) In what respect does the democratic perspective of participation differ from
development perspective?
4) Write a short note on the benefits of participation.

192
UNIT 30 HUMAN RIGHTS
Structure
30.1 Introduction
30.2 Meaning of Human Rights
30.3 Evolution of Human Rights
30.4 Western Perspective of Human Rights
30.5 Socialist Perspective of Human Rights
30.6 Synthesising Civil - Political and Socio-Economic Rights: Emerging Trends
30.7 Constitutional Protection of International Human Rights Standards
30.8 Violation of Basic Rights
30.9 Summary
30.10 Exercises

30.1 INTRODUCTION
One of the perennial issues of politics has been the problem of striking a right balance
between the rights of the individual and the authority of the state. While authority of
the state is essential to maintain order and stability in the state, the rights of the individuals
are essential for enabling them to develop their personality and to lend a happy and
prosperous life. “Rights” and “authority” are not opposed to each other, they complement
each other, and they shape each other’s nature and content. Rights can find better
protection in an orderly and stable political system.

The relationship that exists between individuals and their governments, at a given point
of time, determines the very nature and content of human rights. Also, the type of
political system a country has determines the extent of human rights protection available.
Therefore, most modern political systems are generally labelled as democratic or
authoritarian depending on the degree of human rights guaranteed to the citizens. In an
ideal political system, the individual’s personal liberties and restraints, or rights and
duties would be so organised that the rights and duties of others are not jeopardised. In
other words, in such a political system, every individual should enjoy the maximum
freedom to do as he pleased, compatible with the rights of others to do the same.

There are many reasons why governments are created by human beings. Social and
political theorists and politicians have answered this perennial issue. Among the many
useful functions that governments serve in modern times, most of them are concerned
directly or indirectly with promoting and protecting human rights of the individuals.
Governments serve many functions, such as community and nation building, protecting
property and other rights, promoting economic efficiency and growth, promoting other
public goods like public parks, roads, light houses, etc., protecting environment, ensuring
national defence and advancing social justice. Modern governments promote social
justice by redistributing wealth and other resources between citizens. Some states like
India have established a huge corpus of protective discrimination laws.

193
A statement of Sir Hersch Lauterpatch, a noted protagonist of human rights and one of
the most eminent international lawyers of the 20th century, rightly captures the spirit of
modern laws and functions of the states. He had observed in 1947: “The protection of
human personality and of its fundamental rights is the ultimate purpose of all law,
national and international”. Similarly, Adlai Stevenson of the USA once had remarked,
“human rights are at the core of everything we do and try to do.” These two statements
- made by a jurist and a statesman - candidly reveal that the concept of human rights
has acquired a significant place in human life/civilisation, as it is true that a large part
of our time is devoted, in the ultimate analysis, to the promotion and protection of
human rights. Moreover, it needs to be recalled that both the classical as well as
contemporary political theories have affirmed and reaffirmed the significant principle
that it is the “individual” for whom the state (or for that matter, any social or legal
order) exists, and not vice versa. In sum, human rights have emerged as the most
powerful concept of our age. It has become, in the opinion of former UN Secretary-
General Boutros Boutros-Ghali, “a common language of mankind and the ultimate norm
of all politics. Adopting this language allows all peoples to understand others and to be
the authors of their own history.” Today everyone talks about them and struggles for
their recognition, promotion and protection.

30.2 MEANING OF HUMAN RIGHTS

The concept of Human rights, though central to political science is poorly understood.
There is no agreement on its meaning, nature, and content. It is a concept very much
contested not only between East (representing former socialist states) and West
(representing liberal - democratic states) but also between developed and developing
countries. Each group of nations has a different perception of human rights.

The so-called first world countries of the West believed in the supremacy of the individual,
while the communist countries of East focused on the community and the unconditional
priorities of class interest. Hence, the individual benefitted from these group rights, as
his/her rights were better provided for, within the community. The former gave priority
to economic, social and cultural rights and insisted that they could not be separated from
the class character of society in which they existed, while the latter asserted the primacy
of civil and political rights. This debate of priority of one set of rights over another
continued to occupy the agendas of national and international governance during major
part of the 20th century.

The newly emerging states of the Third World, while adopting the Eastern or Western
model of human rights paradigms in their constitutions, or a combination of both,
focused on solidarity or group rights such as right to self-determination of peoples,
including sovereignty over their natural resources, the right to development, the right to
a healthy and ecologically balanced environment, the right to peace and the right to
ownership of the common heritage of mankind. They also insist on interdependence and
indivisibility of civil and political rights to economic and social rights.

Thus, the modern concept of human rights is comprehensive in its nature and content.
It includes three types of rights: civil and political, economic, social and cultural and

194
the emerging collective or group rights. In fact, the catalogue of rights is expanding
everyday. Moreover, it must be noted that no catalogue elaborating specific human
rights will ever be exhaustive or final. Its content goes hand in hand with the state of
moral consciousness, or development of civilisation at any given time in history.

It is gratifying to note that in general the East is now shifting more towards the West
in their perception of human rights, and civil and political rights are given greater
attention than ever before. The collapse of communism and the end of the “Cold War”
suggests that arguments over divergent concepts of human rights are no longer a subject
of mutual accusation and a spirit of cooperation between East and West is evolving
gradually.

Though there exist definitional problems of the concept of rights, this unit neither deals
with this question nor lists various definitions found in the literature. In our understanding
human rights are those conditions of life that allow us to develop and use our human
qualities of intelligence and conscience and to satisfy our spiritual needs. We cannot
develop our personality in their absence. They are fundamental to our nature: without
them we cannot live as human beings. In sum, they constitute, as opined by Michael
Freeden, “a conceptual device, expressed in linguistic form, that assigns priority to
certain human or social attributes regarded as essential to the adequate functioning of
a human being; that is intended to serve as a capsule for those attributes; and that
appeals for deliberate action to ensure such protection.”

30.3 EVOLUTION OF HUMAN RIGHTS

The idea of “rights” and “duties” of citizens is as old as the concept of the state. One
may find their origin in ancient Greek and Roman political systems in Europe, Confucian
system in China, the Islamic political system in the Muslim world and the “Panchayat”
system in India. But the concept of rights in those systems was not fully developed and
understood in the sense we know it today. It suited those socio-political milieus.

Many important events and revolutions contributed towards the development of human
rights. First, the earliest charters of human rights are to be found among the three British
constitutional documents, namely, the Magna Carta (1215), the Petition of Rights (1628)
and the Bill of Rights (1689). These three documents were the forerunners of the
modern bills of rights.

It was in the late 17th and the 18th centuries that the necessity for a set of written
guarantees of human freedom was felt as a new philosophy of governance. The dignity
and rights of man was the dominant theme of political philosophy of the 18th century.
This theme flowered into practical significance with such historic documents as the
Virginia Declaration of Rights, 1776, the America Declaration of Independence, 1776,
the French Declaration of the Rights of Man and Citizen, 1789 and of more lasting
importance, the series of Amendments to the U.S. Constitution, adopted in 1791 as the
American Bill of Rights.
The constitutional settlement in the U.S. and the attached Bill of Rights provided a
model for the protection of human rights. For many years this U.S. model stood almost

195
alone till a more detailed incorporation of rights was made in the Belgian Constitution
of 1831, followed by the Italian Constitution of 1848, the Greek Constitution of 1864,
the Danish Constitution of 1866, the Austrian Constitution of 1867, the Spanish
Constitution of 1876, and also the Argentinean Constitution of 1893. This trend of
incorporation continued in the 20th century also. Now the overwhelming majority of
states in the world have a written constitution providing checks and balances against the
abuse of authority and enshrining in one form or another fundamental rights and liberties
of individuals.
While the British, American and French documents gradually elaborated important civil
and political rights, the October Revolution of Soviet Russia in 1917 brought to forefront
the social, economic and cultural rights. This socialist revolution left a lasting impact
on developing a new concept of human rights that recognised economic, social and
cultural rights as human rights. Traditionally the Western liberal countries (including
their scholars) did not regard them as human rights.
The impact of socialist revolution is clearly seen in the drafting of many international
human rights treaties under the auspices of the United Nations. With the establishment
of the United Nations in 1945 the process of evolving an “International Bill of Rights”
began. In 1948 it adopted the Universal Declaration of Human Rights, which included
both civil-political and economic-social rights in a single document. Since the Universal
Declaration was not a legally binding instrument, the UN subsequently adopted two
covenants in 1966 (one on civil and political rights and the other on economic, social
and cultural rights). These covenants are legally binding on ratifying states. It must be
noted that the Universal Declaration and the two covenants constitute what is popularly
known as the International Bill of Rights. Thus human rights have been internationalised
and they are available to every human being wherever he lives.
This new concept of human rights giving equal treatment, if not equal importance, to
both sets of rights (i.e., civil-political and economic-social) became a characteristic
feature of many constitutions that came into existence after the Second World War.
These constitutions in various manifestations included certain social and economic rights
besides elaborating in detail the civil and political rights. The Italian Constitution of
1948 and the Bonn Constitution of 1949 are the prominent examples in this regard.
Many European States are increasingly accepting the idea that the state should be
socially responsible and take care of the basic needs of the individuals. In recent decades
many countries have enacted either new constitutions or parliamentary statutes to give
a constitutional status to the emerging concept of human rights, one that is comprehensive
in nature and content.
It is beyond the scope of this unit to give details of individual constitutions and human
rights protections they afford. However, our discussion centres on some major political
systems in the world whose constitutions enshrine human rights provisions. These include
the UK, USA, USSR, Germany, Switzerland, Canada, India and South Africa.

30.4 WESTERN PERSPECTIVE OF HUMAN RIGHTS

In the liberal democratic political systems of the West European and North American
states traditionally the primary focus was on civil and political rights. Socio-economic
196
rights were not recognised as fundamental rights in these states, though a few of them
found their way in one or other form in the constitutions of these states. It is only in
the later part of the 20th century that states like Canada and Switzerland included in
their constitutions positive rights or group rights. Let us examine the human rights
provisions in the constitutions of the UK, USA, France, Switzerland and Canada.

The United Kingdom

There is no written constitution in the UK. The law of the constitution is embodied in
historic documents or charters, in statutes of a constitutional nature, and in the common
law (judge made legal rules). As noted earlier, Magna Carta, the Petition of Rights
(1628) and the Bill of Rights (1689) were the best-known historic documents. The other
documents of importance were the Act of Settlement (1701), The Reform Act of 1832
and the Parliament Act of 1911. Because such laws deal with fundamental political
rights and the allocation of power among governmental institutions, they are regarded
as part of the constitution. Most of the civil rights are rooted in common law. Rights
are safeguarded through the application of the “rule of law”. Although the British have
no detailed list/bill of rights such as that exists in the American constitution, these rights
are nevertheless protected.

It is gratifying to note that in 1998 the British Parliament passed a “Human Rights Act”,
which became operational in October 2000. This Act incorporates the European
Convention on Human Rights (ECHR). (The UK had ratified the ECHR in 1951). Now
the rights enumerated in ECHR have a status of domestic law. Jack Straw, the then
Home Secretary, described the Act as “one of the most important pieces of constitutional
legislation the UK has seen.” Prof. K.D. Ewing has remarked that the adoption of the
Act is certainly the greatest constitutional change since the Parliament Act of 1911 and
quite possibly since the Bill of Rights of 1688.

USA: Compared with other liberal democratic systems, the American System seems to
be fully defined and safely implemented or protected. The first ten amendments to the
constitution (in 1791) are popularly known as the Bill of Rights, which guarantees
certain individual freedoms to US citizens. These classical rights and liberties are written
into both federal and state constitutions. The courts enjoy judicial supremacy and the
power of judicial review which enables them to determine the constitutionality of the
laws and to make observance of human rights real. While interpreting the provisions of
the constitution or laws the courts uphold these rights and also determine their nature
and content. Following civil and political rights are recognised by the American system:
the freedom of religion, speech, the press, peaceful assembly, association, and petition;
security against unreasonable searches and seizures; protection against deprivation of
life, liberty, or property without due process of law; protection against having private
property taken for public use without just compensation; the right to a speedy and public
trial by an impartial jury; the right to choose counsel for one’s defence; to subpoena
witnesses in one’s favour, and to have a trial that is fair in all respects and in accordance
with due processes of law; security against excessive bail or fines and against cruel and
unusual punishments; the equal protection of laws; protection against slavery, involuntary
servitude, ex-post-facto laws, unwarranted suspension of the writs of habeas corpus, and

197
finally, various guarantees related to taxation. Later amendments prohibited human
slavery (1865), extended the suffrage to racial minorities (1870), granted voting rights
to women (1920) and provided equal rights to women and the non-denial or non-
abridgement of equality rights on account of sex (1972). Thus, it must be noted that the
original bill of rights of 1791 has been expanded from time to time. The Americans took
almost two centuries in developing their modern bill of rights.

Although the U.S. Bill of Rights was very impressive and best in the world, the Blacks
from the South experienced discrimination, bias, and prejudice, and police arbitrariness.
For almost a century the Supreme Court endorsed the Southern apartheid system in U.S.
and did not protect the constitutional rights of racial minorities. The breakthrough came
finally in 1954 with the decision in Brown v. Board of Education, in which a unanimous
Supreme Court declared racial segregation in public schools to be unconstitutional.
Despite the advances made by the civil rights movement after Brown judgement, many
states retained racist legislation, notably laws outlawing interracial marriages. However,
in 1964 Civil Rights Act was passed which introduced a new concept of “affirmative
action” principle into the political, judicial and administrative language of the USA. Its
purpose was to reduce inter-ethnic inequalities in society.

France: In contrast to the British system, the French Constitution (Fifth Republic)
includes both sets of rights - i.e., civil-political and economic-social. For instance, the
preamble to the constitution declares that the French people solemnly proclaim their
attachment to the rights of man, which were confirmed by their incorporation in the
preamble to the Fourth Republic constitution of 1946. The Constitution recognises and
guarantees such rights as those of workers to organise unions of their own choice, to
bargain collectively, and to strike; equal access to education for all persons; and the
guarantee of protection against the hazards of illness, unemployment and old age.
Protection to these individual liberties is offered through the system of administrative
jurisdiction, but these procedures protect personal rights (such as property rights, against
an entrenched and solid bureaucracy), rather than political freedoms. Infringements of
traditional civil liberties are not infrequent. Article 16 places in the hands of the President
virtually unlimited power over the fundamental liberties of Frenchmen.

Germany: In erstwhile West Germany, the Bonn Basic Law (i.e., the constitution) of
1949 guarantees the basic rights in chapter I itself covering nineteen articles. It includes
an impressive list of rights compared to the Weimar Constitution of 1919, which provided
rights of religious communities only. The new constitution guarantees such basic rights
as inviolability of person, right to full development of personality, freedom of worship
and expression, freedom to hold meetings and form associations, equal rights for both
sexes and all races and creeds. Certain articles guarantee freedom of movement and free
choice of work, which prohibit the searching of homes or the reading of private letters
except under proper legal procedure, and which assert the prime right and duty of
parents to care of their children. The entire educational system is placed under state
supervision, and covers both secular and denominational schools. Academic freedom
for teachers is assured provided they are loyal to the constitution. While guaranteeing
the right to form associations and societies, the constitution states that whoever abuses
the basic rights to overthrow democracy shall forfeit them, and declares unconstitutional
any political party which shows by its aims, behaviour, or internal organisation that it

198
is opposed to democratic principles. It may be noted that the Communist Party and a
neo-Nazi party have been suppressed in accordance with these provisions. The rights of
property and inheritance are guaranteed, but law can determine their extent. Property
involves obligations and it must be so used as to promote the welfare of the community
as well as of its owner.

Other rights guaranteed are equality before the law, gender equality, marriage and
family related rights, requiring the protection of family, children born outside marriage,
right of asylum and right of petition. The Bonn constitution declares that certain basic
rights are unamendable and government can longer suspend them in emergency situation.
It only sets various limits on the exercise of political rights. The legislature cannot
infringe them. The German constitutional court has vigorously asserted itself in the
matter of protection of rights. Judicial review extends to the field of rights and liberties.
For a country with strong authoritarian traditions, this is considered to be an important
development.

Canada: The Canadian constitution is distinct in two respects from the general Western
liberal perspective which lays greater stress on the rights of the “individual” and neglects
community or group rights. First, it incorporates a scheme of minority rights and the
rights of indigenous people and second it also includes some positive rights. Let us
elaborate these aspects.

The 1857 Constitution Act had guaranteed linguistic rights to minorities, besides granting
religious freedom. The use of English and French was guaranteed. The Act had also
stated that preservation of culture, religion, language, local communities and minority
rights required significant governmental involvement and support. Similarly, the 1982
Canadian Charter of Rights and Freedoms not only elaborates and spells out the content
of the classical civil liberties, but also provides many positive rights, i.e., guarantees of
affirmative entitlements. For instance section 23 of the Charter guarantees the rights of
parents of the French or English-speaking minority to have their children receive education
in their language. The public funds have to be provided for this purpose.

Among the civil and political rights guaranteed by the 1982 Charter includes freedom
of religion, speech, association, freedom of movement, right to vote and contest election,
legal right of personal integrity, right to be secure against unreasonable search or seizure,
right not to be arbitrarily detained or imprisoned, right to be informed on arrest/detention,
fair trial, no cruel punishment, right against self-incrimination, right to interpretation,
linguistic and educational rights of minorities.

The Canadian Charter, which is a Constitutional Act, is not indifferent towards socio-
economic disparities in the state. It mandates the state to provide financial assistance for
interpretation in the courts if the witnesses do not understand the language of the
proceedings. The sense of community solidarity with the poor and weak, social
responsibility of the state, respect for human dignity, recognition of group membership,
and peaceful accommodation of social and cultural differences are some of the
characteristic features of the constitutional law in Canada. According to the Charter,
human rights constitute limits as well as objectives of governmental action and incorporate
both don’t’s and do’s.

199
Another significant feature of the Charter is that it gives a constitutional status to the
existing aboriginal and treaty obligations. Summing up it can be said that multiculturalism,
group rights, minority rights and the rights of aboriginals form important agenda of
contemporary Canadian political discourses.

30.5 SOCIALIST PERSPECTIVE OF HUMAN RIGHTS

The Marxist-Leninist theory of human rights is in sharp contrast to the Western liberal
perspective. It represents a unique model and a distinct paradigm of rights. It considers
that the individual is not an abstract entity, or an autonomous person, but is indivisible
from the social whole. The rights of the individual derive from a fundamental economic
relationship and from his place in a pattern of production. Therefore, the socialist
perspective gives priority to economic and social rights. In fact, economic and social
rights are taken to come before civil and political rights. The primary liberty in the
socialist countries is economic: the freedom from exploitation that is delivered by having
power in the hands of the working class. As social relations improve, and as the socialist
system is consolidated and its material and spiritual wealth increases, the ways and
means for implementation of human rights likewise increase.
The socialist doctrine of rights is best reflected in the constitutions of the former USSR
(1936 and 1977). The latter provided an impressive bill of rights. Most of the rights
enshrined were economic, social and cultural rights, such as right to work, right to rest
and leisure, right to material maintenance in the event of sickness and disability, right
to health protection, right to housing, right to education, right to enjoy cultural benefits,
right to freedom of scientific, technical and artistic work and right to participate in
public affairs of the state. Political rights are also recognised. These included freedom
of speech, of the press, of assembly and meetings, street processions and demonstrations,
and the right to association. Many personal freedoms were also included such as
inviolability of person, inviolability of homes of citizens and privacy of correspondence,
the defendants’ right of defence, freedom of conscience and equality of rights of citizens.
For exercising these rights the citizens are expected to perform many obligations and
duties imposed by the socialist system of governance. These rights can be enjoyed in
conformity with the interests of the working class and in order to strengthen socialist
system.
Western scholars criticised the soviet system of rights and liberties. Political rights, right
to form associations and right to criticise or freedom of press were severely restricted.
No political party other than communist party was allowed to exist. Many provisions
of the Soviet bill of rights were subject to many limitations. There was freedom for
antir-eligious propaganda, but not for pro-religious teachings. There was right to work,
but no right to strike. There were a number of enumerated duties, such as military
service, and the duty to abide by the constitution, to observe the laws and to maintain
labour discipline. In sum, the constitution not only specifies the purposes for which
“rights” may be employed but in addition insisted that the furtherance of these purposes
was among the primary duties of the citizens.
Despite these limitations on the rights and the virtual absence of political and other civil
rights in the sense we find in Western democracies, the Soviet system should be lauded

200
for its seriousness in implementing some of the socio-economic rights. For instance,
right to health protection and right to housing were not only proclaimed but were
actually implemented. It is interesting to note that the USSR had more than 120 beds
in hospitals for every 10,000 people in comparison to 80 in the USA, and 90-95 for
Britain and France. In institutionalising and implementing right to housing, the Soviet
Union was the first country in the world. During a period of 10 years (1965-1975) it
built 22.5 million flats providing accommodation to 111 million people, i.e., half of the
country’s population. By 1980, 80% of the people in towns had received their self-
contained flats on a nominal rent amounting to a mere 3% of family income.

The new constitution of Russian Federation, adopted in 1993, after the dissolution of the
USSR, no doubt lists major civil and political rights that we find in the Western liberal
traditions of human rights, it does not altogether ignore positive socio-economic rights.
It provides for right to a home, right to health care and medical attendance, right to
education etc.

30.6 SYNTHESISING CIVIL - POLITICAL AND SOCIO-

ECONOMIC RIGHTS: EMERGING TRENDS
Some constitutions drawn up in recent decades are including both civil-political and
socio-economic rights in their provisions. The hitherto neglected socio-economic rights,
imposing positive obligations on the states, are being increasingly recognised in the
constitutions drafted after the end of the Cold War, for instance those of South Africa
and Switzerland. These constitutions, like the Indian Constitution of 1949, adopt a
synthesising approach of human rights. Here we discuss briefly the constitutional
developments in India, South Africa and Switzerland.

The Indian Constitution includes a detailed bill of rights elaborating civil and political
rights, which are guaranteed and enforced by the Supreme Court and the High Courts.
Five significant features of the constitution regarding human rights and duties are worth
mentioning here. First, the constitution not only includes the rights of the individual but
also provides for cultural and educational rights of minorities under article 29 and 30.
Second, besides abolishing untouchability (under article 17) and by enacting many other
secular laws to abolish discriminatory treatment of untouchables and Hindu women
(whose rights were extremely limited compared to their male companions), the Indian
political system is striving to replace the traditional, unjust and stratified social order
(which guaranteed rights to only higher castes) with an egalitarian and socialist system.
Third, it provides for positive discrimination or affirmative action policies towards
weaker sections of the society such as the Scheduled Castes and tribes, other backward
classes and women. This policy is unprecedented in scope and extent and has no parallels
in any part of the world. Under this policy 49.5 percent of jobs are reserved for these
groups besides reserving 22.5 per cent of seats in educational institutions and legislative
bodies. 73rd and 74th Constitutional Amendment Act, 1992, reserves 33 percent of
seats in panchayat and municipal bodies for women. As a result, now more than one
million women have been elected in panchayat elections, reflecting the broad participation
in local government. This has strengthened the grass roots of democratic institutions.

201
The inclusion of non-justifiable socio-economic rights in the constitution, under the title
“Directive Principles of State Policy”, constitutes the fourth important feature. It includes
right to adequate means of livelihood, right of both sexes to equal pay for equal work,
right against economic exploitation, children’s rights and their protection against
exploitation and to opportunities for healthy development, consonant with freedom and
dignity; right to equal opportunity for justice and free legal aid; right to work; right to
public assistance in case of unemployment, old age, sickness and other cases of undeserved
want; right to humane conditions of work and maternity relief; right to a living wage
and conditions of work ensuring decent standard of life for workers and right of workers
to participate in the management of industries. Though these rights are non-enforceable
by judiciary, they have been at least recognised in the constitution. Moreover in many
cases they have been implemented through court orders or the statutory laws. Finally,
under article 51A, the constitution includes ten fundamental duties. These duties were
incorporated by the 42nd constitutional amendment Act in 1976.

The South African constitution of 1996 includes a “bill of rights”, which is very
comprehensive as it includes civil-political, economic-social-cultural and group or
collective rights. articles 7-39 of the constitution elaborate the detailed nature of human
rights. Besides reiterating the classical civil-political rights, it recognises the rights of
everyone to a healthy and clean environment, right to housing, health care, food, water
and social security, right to education, the rights of cultural, religious and linguistic
communities.

In the 1999 Swiss constitution, (which entered into force in 2000) also the synthesising
approach of both sets of rights is reflected. It recognises certain socio-economic rights.
For instance, it enshrines a person’s right to have his or her elementary needs fulfilled
in a provision stating: “persons in distress and incapable of looking after themselves
have the right to be helped and assisted, and to receive the means that are indispensable
for leading a life in human dignity” (article 12). Moreover, the ratification of the
International Covenant on Economic, Social and Cultural Rights in 1991 (by which its
provisions have immediately become part of the Swiss law) has reinforced the significance
of social and economic rights within legal and political debates in Switzerland. Regardless
of the actual progress made in implementing these socio-economic rights, it can be said
that the idea of a socially responsible state is now firmly entrenched in Swiss constitutional
thinking.

30.7 CONSTITUTIONAL PROTECTION OF

INTERNATIONAL HUMAN RIGHTS STANDARDS
The United Nations, Council of Europe, OAS, and OAU have adopted a large number
of international human rights treaties. Prominent among them are the International
Covenant on Civil and Political Rights (ICCPR), International Covenant on Economic,
Social and Cultural Rights (ICESCR), the European Convention on Human Rights
(ECHR), the American Convention and the African Charter on Human Rights. These
treaties have been widely ratified (by March 2003 ICCPR 145 states parties; ICESCR,
141; ECHR, 41 States; American Convention 22 states; and African Charter on Human

202
and People’s Rights - all 53 States of OAU). By ratifying the two UN Covenants and
the regional human rights treaties, majority of states in the world have accepted
international obligations on human rights, which are available to all human beings
within their respective jurisdictions.

The actual domestic protection afforded to the rights enumerated in International Bill of
Rights depends on the legal and political system of the relevant state parties to the UN
Covenants. In certain states, such as the Netherlands, the ICCPR has direct effect, and
is therefore part of a state party’s domestic law. Alleged breaches can be litigated in
domestic courts. In other states, the ICCPR is not self-executing, and so is not
automatically part of municipal law, e.g., in the UK, India and Australia, treaties must
be specifically incorporated into domestic law before they become enforceable. In none
of these states has the ICCPR been so incorporated. However, in these states statutes
of various kinds protect the rights contained in the ICCPR. Furthermore, in these states,
the ICCPR has an indirect effect in that its norms are used by the judiciary to construe
ambiguous statutes, and to fill lacunae in the common law.

Among the three regional human rights treaties the ECHR, which is the oldest (entered
into force in 1953) has an impressive record of achievements. It has been ratified by
both West and East European states (the latter after the collapse of communist systems
there). The list of rights guaranteed in the ECHR has been expanding over the years.
Subsequently through the adoption of protocols 1, 2, 6 and 7 new rights have been
added, such as right to property, education, free elections, prohibition of imprisonment
for debt, prohibition of expulsion of nationals and prohibition of collective expulsion of
aliens, abolition of the death penalty and compensation for wrongful conviction. In a
substantial number of states parties, the ECHR enjoys the status of domestic law. For
instance, it has been incorporated in UK, Nordic and Baltic countries. Under the Croatian
Constitution (article 134), the Convention became a part of internal legal order with
legal force superior to ordinary law after its ratification in 1997. In Slovenia, the ECHR
had similar status. Under article 10 of the Czech Republic, the convention applies
immediately and prevails over national domestic law.

In recent years the constitution makers in many countries are attaching growing importance
to the need to secure the observance of international human rights standards through
special clauses in their constitution. Such clauses have been written into the Swedish
(chapter 2, section 23); Norwegian (section 110 C), Latvian (article 89), and Finnish
(section 16a) constitutions. In Norway a Human Rights Act was promulgated on 21
May 1999. Distinctive features of this incorporation Act are that it includes a priority
clause (section 3) and covers three treaties, the ECHR, the ICCPR and the ICESCR. In
Estonia (article 3 and 123) and in Lithuania (article 138) the constitutional guarantee for
international human rights is achieved through general clauses on the domestic
applicability and even supremacy of international treaties.

Thus, in all these countries the ECHR provisions may be invoked as law in the national
courts and creates rights directly enforceable by individuals. Even in states parties
where the convention is not incorporated in domestic law, the national courts frequently
look to it while interpreting and applying domestic law so as not to violate this treaty.

203
Finland has a gone a step ahead. The recent Bill of Rights Reform of 1995 included
economic and social rights in chapter two of the Constitution Act. This implies that
socio-economic rights can also be judicially enforceable. Finland also has incorporated
the European Social Charter (1961) in 1990, which elaborates socio-economic rights.
When invoked by individuals the domestic courts can implement its provisions.

Under ECHR there is a mandatory procedure of individual complaints system. The

individuals of the states, which have ratified the convention, can petition the European
Court of Human Rights at Strasbourg, France, if they feel that their governments have
violated their Convention rights. A huge corpus of human rights jurisprudence has
emerged as a result of judgements by the European Court. In many an instance, it has
found states in breach of its international obligations to protect human rights. Thus, the
ECHR has developed over the last fifty years into a constitutional bill of rights for the
entire continent of Europe.

30.8 VIOLATION OF BASIC RIGHTS

Notwithstanding the adoption of Bills of rights in the national constitutions and ratification
of international treaties on human rights by a large number of states, basic rights of the
individuals are violated in almost all countries. Absolute power allows governments to
destroy different communities, it also enables them to infringe on the rights of citizens.
Just as governments can help to institutionalise the concept of human rights and protect
them for everyone irrespective of one’s caste, colour, sex, or religion, they can also use
their powers to violate human rights in the most systematic manner. The 20th century
has witnessed enormous progress in the extension of civil, political, economic, social
and cultural rights in all societies in the world. However, at the same time core human
rights, such as right to life, freedom from torture, slavery etc. have probably never
before been violated on such a gross scale. Millions of people have lost their lives in
political persecution by dictatorial regimes. Millions were also killed in Nazi extermination
camps and during Stalin’s rule in the former Soviet Union. Gross violation of human
rights were seen in China, Cambodia, Chile, Iraq, Argentina, Guatemala and Haiti,
Bosnia - Herzegovina and the apartheid regime of South Africa, although on a smaller
scale. These extreme abuses of governmental power illustrates a dilemma that troubled
the founding fathers of the American Revolution: “the problem of creating a government
strong enough to govern effectively but not so strong enough that it could destroy the
rights of those whom it was so designed to serve.”

30.9 SUMMARY
A comparative analysis of human rights in different countries and regions of the world
reveals that the concept of rights has a diverse meaning, understanding and history. The
Western liberal democracies, where the idea of constitutional rights first originated,
assigned priority to civil and political rights and ignored to acknowledge the importance
of economic and social rights. Whereas the erstwhile socialist states of Eastern Europe
assigned primacy to second generation/positive rights (i.e., economic and social rights)
and ignored to acknowledge the value of civil and political rights. With the establishment

204
of the United Nations and the adoption of the International Bill of Rights, which gives
equal importance to both the sets of rights, the idea of a comprehensive approach to
human rights is getting widely accepted all over the world. The UN approach provides
an integrated view of all human rights and attempts to overcome the artificial split
between two sets of human rights on ideological grounds. It treats all human rights as
universal, indivisible, interdependent and interrelated.

This new thinking on human rights is reflected in the constitutions drafted after the
Second World War in general and in the constitutional development and in some European
Countries (Switzerland and Finland), Canada and South Africa in the last two decades
in particular. In some of these constitutions we find both sets of rights and, sometimes,
additional rights like minority or group rights.

Almost all East European states, after the collapse of communism, are now increasingly
accepting the Western liberal perspective of human rights and providing civil-political
rights to their citizens. They have not only ratified the ECHR but some of them have
also made it a part of their national law with its status superior to ordinary law. Thus,
it can be stated that the East and West are no longer divided now on the nature and
content of rights. Their ideological divide has become a thing of the past and now the
ECHR is developing into a constitutional bill of rights for the entire continent of Europe.

Despite the constitutional guarantees of human rights and their international recognition
in UN covenants and regional human rights treaties like the ECHR, violation of basic
rights abound in all parts of the world. Genocide, “ethnic cleaning”, torture and
disappearances are some of the serious manifestations of human rights abuses. However,
every government proclaims its faith in human dignity and attempts to protect all human
rights for all.

30.10 EXERCISES
1) Discuss the major milestones in the evolution of the concept of human rights.
2) Critically examine the contrasting perspectives of human rights of the Communist
East and the Democratic West.
3) What are the emerging trends in Human Rights?
4) To what extent have human rights been internationalised?
5) Why do governments violate human rights?

205
SUGGESTED READINGS
Almond, Gabriel, Comparative Politics: A Developmental Approach (Boston: Little
Brown, 1970)

Almond, Gabriel, et al., Comparative Politics Today - A World View (New York, NY:
Longman, 2000).

Aziz, A, and D.D. Arnold., (eds.) Decentralized Governance in Asian Countries (New
Delhi: Sage, 1996).

Basta, L.R, and Fleiner, T., (eds.) Federalism and Multiethnic States (PIPF, 1996).

Bird, R.M, and Stauffer, T., (eds.) Intergovernmental Fiscal Relations in Fragmented
Societies (Bale et Fribourg: Helbing & Lichtenham, Publications of the Institute of
Federalism, 2001).

Blau, P. and Meyer, M., Bureaucracy in Modern Society (Random House, 1987)

Bouandel, Yocef., Human Rights and Comparative Politics (Aldershot: Dartmouth, 1997).

Claude, R.P., (ed.) Comparative Human Rights (Baltimore: Johns Hopkins University
Press, 1976).

Collins, C., “Decentralisation and the Need for Political and Critical Analysis”, Health
Policy and Planning, vol. 4, no.2, 1989, pp. 168-171

Commoner, B., The Closing Circle, (London: Jonathan Cape, 1972)

Donnelly, Jack., Universal Human Rights in Theory and Practice, (2nd edition) (Ithaca/
London: Cornell University Press, 2003).

Dreze, Jean., “Militarism, Development and Democracy”, Economic and Political Weekly,
April 1-7 2000, pp. 1171-1183

Duchacek, Ivo D., Comparative Federalism: The Territorial Dimension of Politics (New
YorkHolt: Reinehart and Winston, 1970).

Duverger, Maurice., Party Politics and Pressure Group (New York: Thomas Y.
Cromwell, 1972)

Elazar, Daniel J., (ed) Self Rule/Shared Rule (Ramat Gan: Turtledove Publishing, 1979).

Elazar, Daniel Judah., Exploring Federalism (Tuscaloosa: The University of Alabama

Press, 1987).

Esman, Milton J., Essays in Federalism (Claremont, Calif.: Institute for Studies in
Federalism, 1961).

206
Fields, Gary S., Poverty, Inequality, and Development (Cambridge: Cambridge University
Press, 1980).

Franck, T.M., Human Rights in the Third World Perspective (Dobbs Ferry, NY: Oceana,
1982).

Gurnam Singh., “Modernisation, Ethnic Upsurge and Conflict in South Asia”, South
Asian Studies, vol. 33, nos. 1 & 2, 1998, pp. 1-11.

Gurnam Singh., “Modernisation, Ethnic Upsurge and Conflict in the World”, International
Journal of Group Tensions, vol. 24, no. 4, Winter 1994, pp.

Gurnam Singh., Ethno-Nationalism and Emerging World [Dis] Order, (New Delhi:
Kanishka Publishers, 2002)

Mahajan Gurpreet., The Multicultural Path (New Delhi: Sage Publication, 2002)

Heady, F., Public Administration: A Comparative Perspective (New York: Marcel Dekker,
1984)

Helm, D. and Smith, S., “The Assessment: Decentralisation and the Economics of Local
Government”, Oxford Review of Economic Policy, vol. 3, no. 2, 1986.

Hempel, Lamont,C., (1996) Environmental Governance, The Global Challenge,Island

Press, Washington.

Hitchner, D.G. and Carol Levine, Comparative Government and Politics (London: Harper
and Row, 1981)

Hughes, A., “Alternative Forms and Levels of Popular Participation: A General Survey”,
in Lisk, F. (ed.), Popular Participation in Planning for Basic Needs (Gower, Aldershot:
ILO, 1985).
Human Development Report, (1994) UNDP.
Huntington, Samuel P, The Third Wave (University of Oklahoman Press, 1991)
Ignatius Jesudasan, “Politics of Conflicting Identities”, Third Concept, vol.200, October
2003, pp. 18-20.
Irish, Prutho and Richardsons, The Politics of American Democracy, Prentice Hall, New
Delhi.
Jean Blondel, Comparing Political Systems (London: Weidenfeld and Nicolson, 1972)
John A. Armstrong, “Nations before Nationalism”, in John Hutchinson and Anthony D.
Smith, (ed.), Nationalism:Critical Concepts in Political Science, Vol.1 (London:
Routledge, 2000).

Joshua A. Fishman, “Social Theory and ethnography: Language and ethnicity in Eastern
Europe”, in Hutchinson and Smith, (ed.), Nationalism : Critical Concepts in Political

207
Science, Vol.1 (London: Routledge, 2000).

Kabeer, Naila, Reversed Realities: Gender Hierarchies in Development Thought (London:

Verso, 1994)

Katz, Ellis and Tarr, G. Alan, eds., Federalism and Rights (Lanham, MD: Rowman &
Littlefield, 1996).

Korten,David C. (2001) The Responsibility of Business to the Whole. in Richard Starky,

Richard Welford’s Business and Sustainable Development, Earthscan Publications,
London.

Kramer, D.C. Comparative Civil Rights and Liberties (Washington: University Press of
America, 1982).

Kramer, J. and Schneider, H-P, eds., Federalism and Civil Societies (Baden Baden:
Nomos Verlagsgesellschaft, 1999).

Laski, H.J., Parliamentary Government in England (London: Allen and Unwin, 1933)

Logan, B.I., 2002, Globalisation, the Third World State and Poverty Alleviation in the
st
21 Century, Ashgate Publishing, Company, USA.

Macridis, Roy C. and Bernard E. Brown, Comparative Politics, (Chicago: The Dorsey
Press, 1986)

Macridis, Roy C., Modern Political Regimes, Patterns and Institutions, (Boston: Little,
Brown and Company, 1986)

Majeres, J., “Popular Participation in Decision-Making with Reference to Developing

Planning: An Institutional Approach”, in Lisk, F. (ed.), Popular Participation in Planning
for Basic Needs (Gower, Aldershot :ILO, 1985).

Martin, Ravallion, 1992, Poverty Comparisons, Clarendon Press, Oxford.

Monserrat Guibernau, Nationalism: The Nation-State and Nationalism in the Twentieth

Century (Cambridge: Polity Press, )

Morrison, Herbert, Government and Politics, Oxford University Press, London

Narayan, Deepa (ed.), 2002, Empowerment and Poverty Reduction: A Source Book,
(World Bank, Washington D.C.)

Neera Chandhoke, Beyond Secularism (New Delhi: Oxford University Press, 2002)

P.L. Dharma, “Identities Vs. Identities”, Third Concept, vol.201, November 2003, pp.
46 50.

Palombara, Joseph La, “An overview of Bureaucracy and Political Development”, in

Joseph La Palombara, Bureaucracy and Political Development (New Jersey: Princeton

208
University Press, 1963).

Parkin, Sara. [1992] Ecological Economics, A practical Programme for Global Reform,
Zed Books , London

Perlmutter, Amos, Modern Authoritarianism (New Haven: Yale University Press, 1983)

Rai, Shirin M., Gender and the Political Economy of Development (Cambridge: Polity,
2002)

Ratna M. Sudarshan, “Communities and Collective Security”, Seminar, vol. 531,

November 2003, pp. 65-69.

Ray, Samirendra N., Modern Comparative Politics: Approaches, Methods and Issues
(New Delhi: Prentice Hall of India, 1999).

Redclift, M., (1987) Sustainable Development: Exploring the Contradictions, Methuen,

London,UK

Rupinder Kaur Dhillon, “Nation-Building and State-Formation in Multi-Ethnic Societies:

Focus on South Asia”, BIISS Journal, vol.22, no.2, 2001, pp.209-244.

Rustow, Dankwart A, “The Surging Tide of Democracy”, Journal of Democracy, Vol.

3, No. 1, 1992, p. 120.

Schattsth Neider, E.E., “The American Party System” in Bailey edited American Politics
and Government. Oxford and IPH, Calcutta

Schmidheiny, Stephen (1998) Changing Course, A Global Business Perspective on

Development and the Environment, The MIT Press, London.

Sen, Amartya, 1981, Poverty and Famines: An Essay on Entitlement and Deprivation,
Clarendon Press, Oxford.

Sen, Amartya, 1985, Commodities and Capabilities, North Holland, Amsterdam.

Sharma, Anju., and Apurva Narain, (2002) Puppets on Purse Strings, Down to Earth,
CSE ,April 30]

Shiva, Vandana.,(1993) Monocultures of Mind, Indian Journal Of Public Administration,

July-September, No.13. 243

Singh, Amita, (2000) The Politics of Environment Administration, Galgotia, New Delhi.

Singh, R.V.,(2002) Can of Worms, Down to Earth, April 30, 7-9.

Stavanhagen, R., Ethnic Conflicts and the Nation-State (New York: Sr. Martin Press,
Inc., 1996).

Suneel Kumar, “Group Identities, Nation-Building and Ethnic Response in the Third
World”, Punjab Journal of Politics, vol. 27, no. 1, 2003.

209
Surinder S. Jodhka, (ed.), Community and Identities, (New Delhi: Sage Publications,
2001)

Ter-Minassian, T., (ed.), Fiscal Federalism in Theory and Practice (Washington, D.C.:
International Monetary Fund, 1997).

Theodoulou, Stella and Matthew Cahn (eds.), Public Policy: The Essential Readings
(Prentice Hall, 1995), p. 259-265.

UNDP, Human Development Report, Several Annual Reports, U.N., Geneva, Switzerland.

Visvanathan, Nalini, Lynn Duggan, Laurie Nisonoff and Nan Wiegersma, The Women,
Gender and Development Reader (London: Zed Books, 1997)
nd
Watts, Ronald L., Comparing Federal Systems, 2 ed., (Montreal & Kingston, London,
Ithaca: McGill-Queen’s University Press, 1999).

Weber, Max. “Bureaucracy”, in H. H. Gerth and C. Wright Mills (eds.), Max Weber:
Essays in Sociology (Oxford University Press, Inc. 1946).

Weingast, B. [1992] ‘The Economic Role of Political Institutions’ , Hoover Institution,

Stanford University.

Wildasin, D.E., Fiscal Aspects of Evolving Federations (Cambridge: Cambridge

University Press, 1997).

Wilson, James, Bureaucracy: What Government Agencies Do and Why They Do It,
(U.S.A., Basic Books, Inc., 1989).

World Bank, 2001, Attacking Poverty, Washington, D.C., USA.

World Commission on Environment and Development (1987) Our Common Future,

Brundtland Commission Report. Oxford University Press, Oxford

World Conservation Monitoring Centre,(1992) Global Biodiversity: Status of the Earth’s

Living Resources, Chapman and Hall, London .
Young, C. (ed.), Ethnic Diversity and Public Policy: A Comparative Inquiry (Basingstoke:
Macmillan, United Nations Research Institute for Social Development, 1998).
Young, C., The Politics of Cultural Pluralism (Madison: University of Winsconsin,
1976).
Zakaria, Fareed, The Future of Freedom: Liberal Democracy At Home and Abroad
(New York: W.W. Norton & Co., 2003)
Zeigler, H. and G. Wayne Peak, Interest Groups in American Society (New Jersey:
Prentice Hall, 1972).

210
UNIT 24 INTEREST GROUPS, PRESSURE
GROUPS AND LOBBYING
Structure
24.1 Introduction
24.2 Interest Governments and Pressure Governments
24.2.1 Interest Governments Defined
24.2.2 Meaning of Pressure Governments
24.3.3 Mass and Traditional Groups
24.3 Interest/Pressure Groups and Political Parties
24.4 Classification of Interest Groups
24.4.1 Almond’s Classification
24.4.2 Jean Blondel’s Classification
24.4.3 Maurice Duverger’s Classification
24.5 Role of Interest/Pressure Groups
24.5.1 Lobbying
24.6 Summary
24.7 Exercises

24.1 INTRODUCTION
You have read in the last unit that political parties are organised groups of people who
seek popular support to govern a country. No one person can be a member of more than
one party. In democracies, parties are competitive, and those voted to power assume
responsibility of governance. In the present unit, we will discuss about the interest
groups, pressure groups and their pressure politics, generally known as lobbying. A
group may include large or small number of people having common social, cultural,
trade of business interests. There can be no bar on a person being member of two or
more groups. Interest groups are not political parties as they do not participate in
electoral politics, and on their own have no direct role in the governance of the country.
However, if necessary, in their interest, they may support one political party or the
other, and try to influence legislation and executive decisions by using various methods
of exercising pressure on the government of the day. When a group carries on its
function of pressurising members of the legislature by contacting them in the parliamentary
galleries, the practice is known as lobbying. This term originated in the United States
where lobbying is an accepted practice, and there are regular lobbyists who charge fees
for influencing the legislators and officers in the interest of certain groups.

Without being political parties, without contesting elections in their own name, and
without seeking government jobs or entering the legislatures, the interest and pressure
groups do play a vital role in contemporary democracies in the decision-making process.
We will examine their varied role in this unit.

121
24.2 INTEREST GROUPS AND PRESSURE GROUPS
People having common interests often get together. When they organise themselves to
protect and promote their interest they are known as interest groups. Cell phone operators
in India, oil producers in different countries, automobile manufacturers in the United
States in their associational forms are all interest groups. We in India have a very large
group called the Federation of Indian Chambers of Commerce and Industry. It includes
various chambers of commerce and industry. As such it represents large number of
interest groups. There are numerous such groups in every country today. Interest groups
have been defined by a number of prominent writers. Some prefer to use the term
pressure groups, while others call them interest groups. Actually there is a clear distinction
between the two, though it is not always easy to lay down clear demarcation.

24.2.1 Interest Groups Defined

Almond & Powell have defined the interest groups, and discussed their role in the wider
context of interest articulation. In every society, there is a process of presenting people’s
demands before the policy-makers. Almond & Powell say that, “The process by which
individuals and groups make demands upon the political decision-makers we call interest
articulation.” These demands may be of temporary nature like a demonstration worldwide
asking the United States not to wage war against Iraq. Or, the demand may be articulated
for a long-term interest, like traders demand for tax relief, or trade unions’ demands for
better working conditions. As Almond and Powell have said the interest articulator may
be as varied as an unorganised mob or a well-organised systematic organisation.
Admitting that their definition may not be perfect, yet Almond and Powell say: “By
‘interest group’ we mean a group of individuals who are linked by particular bonds of
concern or advantage, and who have some awareness of these bonds. The structure of
interest group may be organised to include continuing role performance by all members
of the group, or it may reflect only occasional and intermittent awareness of the group
interest on the part of individuals. Thus, an interest group is an association of people
to achieve certain specific objectives, and for this purpose it may even pressurise the
institutions of the state.

Discussing the pressure groups, David Truman describes them thus, “Pressure groups
are attitude groups that make certain claims upon other groups in the society.” The
activities of the government have direct impact on the lives of people. On the other
hand, activities of the individuals cannot help affecting the decisions of the government.
This work can be effectively done only by organised groups of people. Hitchner &
Levine prefer the use of the term interest groups. They say that, “An interest group is
a collection of individuals who try to realise their common objectives by influencing
public policy.” They argue that interest groups and pressure groups are not the same
thing. The term pressure groups have a negative connotation as it implies use of pressure,
or unwanted interference, by groups to achieve their objectives. Interest groups can be
described as the non-state actors, or individuals, or modern states. But, politics alone is
not the objective of their activities. According to Hitchner & Levine, “The interest
group system is thus a part of both the general culture and social framework and the
political structure of a particular state.”

122
Interest groups are organisations of people for the achievement of certain specific goals,
who, if necessary, pressurise the state. They may be regularly involved in the pressure
politics, or may at times involve themselves in pressure politics, and at other times
perform other functions to promote their interests.

24.2.2 Meaning of Pressure Groups

We have said above that the terms interest groups and pressure groups, despite differences
in their nature, are often used as synonyms. In this sub-section, we will concern ourselves
mainly with the meaning of pressure groups. Duverger was of the view that, “Most
pressure groups… are non-political organisations, and pressure politics is not their
primary activity. Any group, association or organisation, even those whose normal
concerns are far from politics, can act as pressure groups in certain areas and under
certain circumstances.” It is generally believed that the pressure groups try to bring
about changes in policies of the government either by influencing its institutions, or
even otherwise. However, the pressure groups do not enter the legislature on their own.
Carter & Herz had argued that the modern pluralist society, full of economic, professional,
religious, ethical and other interest groups, is faced with the major problem of how to
coordinate the activities of different groups on the one hand and government and politics
on the other. Interest groups enjoy freedom to be established and function in a free
democratic society. When these groups endeavour to influence the political process, and
thereby get favourable decisions in matters such as enactment of legislation, imposition
of taxes and duties, framing of rules and issuance of licences, etc. then these interest
groups transform themselves into pressure groups. Another writer V.O. Key was of the
opinion that the interest groups are such private organisations who are established to
influence the public policy. They do not take part in the selection of candidates or the
legislative processes. They devote themselves to pressurise and influence the government
in order to promote their interests.

Writing in the context of liberal democratic countries, particularly, the United States,
S.E. Finer had opined that, “…the pressure groups are, by and large, autonomous and
politically neutral bodies, which bargain with the political parties and the bureaucracy
irrespective of the political complexion of the government in power.” The groups can
adopt various methods of bargaining, in their interests, including even unconventional
or corrupt methods. It is obvious that the pressure groups are associations of individuals
for the promotion of the interests of their members. Every individual has numerous
interests. One may be an office-bearer of a residents’ welfare association, father of
university-going children, and a sugarcane farmer, a shareholder in a large business
house or industrial establishment and may also be a social activist as also a trustee of
a religious or charitable institution. All the interests of one individual cannot be served
by one group. He or she, therefore, may join several interest groups to put pressure on
the state for different purposes.

Interest groups, or pressure groups, are not new phenomenon in politics. These groups
have existed, in one form or the other, at all times. But, these groups are deliberately
organised and are much more powerful today. This is because modern governments
have taken upon themselves numerous non-traditional responsibilities. As mentioned
earlier, an interest group is a voluntary association of individuals who join hands to

123
protect and promote their particular interest. What is an interest? La Palombara defined
interest as “a conscious desire to have public policy of authoritative allocation of values
move in a particular, general or specific direction.” We must, however, remember that
there are always some groups which are not concerned with public policy. We are not
concerned with them in the present unit.

For our purpose, an interest group is a group which has a stake in pressure process.
There is a view that the terms like pressure groups, organised interests, lobbies etc. are
all synonyms. But there are certain differences also. According to H. Zeigler, it is “an
organised aggregate which seeks to influence the context of governmental decisions
without attempting to place its members in formal governmental capacities.” In the
words of Alfred de Grazia, the pressure group is “simply an organised social group that
seeks to influence the behaviour of political officers without seeking formal control of
the government.”

Every society is divided into a number of groups. With the passage of time, they have
become more and more specialised. While there are numerous groups like those of
industrialists, bank employees, university teachers, workers in industry and commerce,
which operate within a country, there are other groups that transcend national borders.
There are certain essential features of the pressure groups. These are (i) pressure groups
are part of the political process of a country (ii) they attempt either to strengthen or
change the direction of government policy and (iii) they do not seek, as pressure groups,
to directly capture political power and run the government.

24.2.3 Mass and Traditional Groups

The interest or pressure groups may be divided into two categories, on the basis of their
organisation. These are either mass groups or traditional groups. This distinction is
similar to the one between mass and traditional parties.

Like the mass political parties, the mass groups also have large membership. The groups
having thousands or even lakhs of members require an effective organisation. This
category includes well-organised trade unions, and also organisations of farmers,
associations of craftsmen, and associations of small businessmen. These are groups
related to industrialists or workmen of various types. In addition, there are youth
organisations, associations of athletes, and cultural committees. The earliest mass groups
were set up on the initiative of socialist parties to organise the working people. Thus,
the bases of both the trade unions and socialist movements can be traced to the working
people. Today, there are numerous interest groups having a common objective, but
operating in the social sector. Some of such groups, according to Duverger, are groups
concerned with disarmament, abolition of nuclear weapons, and those fighting against
casteism, communalism and fundamentalism. However, in the People’s Republic of
China and other former and present socialist countries several mass organisations act as
subsidiaries of the concerned Communist Parties. Practically every enlightened person
helps interest groups in giving them the form of mass movements, by their active
association. Some of the mass groups are youth organisations, women’s groups and
peace movements largely, but not essentially, in communist countries. Duverger describes

124
them as the parallel hierarchies. Such groups are now becoming active in western liberal
democracies.

You have read in the last unit that traditional political parties are generally associated
with elitist sections. Similarly, traditional pressure groups value quality more than the
members. They are relying more and more on the elitist sections.

The earliest elitist groups include the intellectuals’ organisations of the eighteenth century,
and the twentieth century political clubs of France. For example, The Jean Moulin Club
of France is one such group. It has only about 500 members. Its members (elite) include
senior government officials, engineers, university professors and influential journalists.
Even in India, there are a number of elite groups with limited membership. One such
elite group in India is Association of Defence Officers’ Wives. Similarly, there is
Association of Steel Producers. The Federation of Indian Chambers of Commerce and
Industry (as mentioned earlier) is a very powerful elite group. Traditional, or elite group
of different countries include groups of concerned country’s industrialists, associations
of higher administrative service officers, unions of intellectuals, of writers, of poets, or
artisans etc. There are many such groups in the UK, USA, France, Germany, Japan and
India.

24.3 INTEREST/PRESSURE GROUPS AND POLITICAL

PARTIES
A distinguishing feature of interest/pressure groups is that they seek to influence public
policy-makers, but without attempting to take over directly the control and conduct of
the government. Political parties, on the other hand, are primarily concerned with
governance – to contest elections and try to secure majority of seats in the legislature,
or the office of chief executive, and govern the country. Neumann pointed out the
distinction between parties and the interest groups thus:

Fundamentally, pressure groups are the representation of homogeneous interests seeking

influence. The interest group is strong and effective when it has a directed specific
purpose. Political parties, on the other hand, seeking office and directed towards policy
decisions, combine heterogeneous groups. In fact it is one of their major themes to
reconcile the diverse forces within political society. Theirs is an integrative function
which is not the domain of the interest groups.
Maurice Duverger made a distinction between the two in the following words:
Political parties strive to acquire power and exercise it—by electing—mayors and
deputies, and by choosing cabinet ministers and the head of state. Pressure groups on
the contrary, do not participate directly in the acquisition of power or in its exercise;
they act to influence power while remaining apart from it… they exert pressure on it…
Pressure groups seek to influence the men who wield power, not to place their own men
in power, at least not officially…

It is possible that sometimes members of a pressure group may become members of the
legislatures or even the executive; but even if that happens, it is kept secret. Harold R.

125
Bruce wrote: “In their relation to the political parties pressure groups are in the singular
position of being independent of them and also cooperative with them as a given
situation may dictate. Pressure groups are normally not partisan in character; they
disregard party lines; they seek popular support among the voters or support of members
of legislative bodies and executive authorities…” Similar views were expressed by
Duverger. He wrote, “Certain powerful groups actually have their own representatives
in governments and legislative bodies, but the relationship between these individuals
and the groups they represent remains secret or circumspect.”

Thus, political parties are directly engaged in political activity, including selection of
candidates for election, presenting formally formulated policies and a clear platform for
seeking popular votes, and if successful to run the affairs of state. Those who get lesser
number of votes and seats, sit in the opposition and offer constructive opposition to the
ruling party. None of them come within the role of the pressure groups. The interest/
pressure groups are essentially non-political associations. Their primary functions may
be economic, social, religious or humanitarian. Pressure is not their main business. They
do so if necessary for the promotion of the interests of their members. Parties are
committed to a wide-range of issues and policies; their goal is political power. An
interest group, on the other hand, has a narrower focus. It is primarily to articulate
specific demands that it comes into existence. As Professor S.R. Maheshwari wrote, “It
is the task of a political party to reconcile and aggregate their competing demands of
interest groups and put them into coherent programmes and action plans. Thus viewed,
political parties prevent the interest groups from directly dominating the decision-making
apparatus and process in a country.”

The relationship between the parties and pressure groups is not the same everywhere.
Each political system has different nature of parties and groups, as also their relationship.
In the United States and Britain, the interest groups articulate demands, seeking to
transform them into authoritative policies by influencing the political processes. While
the groups are functionally specific and differentiated, the parties play the aggregative
role. As Almond wrote, “… the party system stands between the interest groups system
and the authoritative policy-making agencies and screens them from the particularistic
and disintegrative impact of special interests.” Secondly, France and Italy offer a different
type of relationship. In these two, and some other countries, both the parties and interest
groups exist as fairly well organised entities, but not as autonomous systems. The
parties control the groups in various ways. Thus, one finds communist-controlled or
socialist party-controlled trade unions. In such a situation, “the interest groups get
prevented from articulating functionally specific, pragmatic demands, for their activities
have become highly political.” When groups allow themselves to become affiliates to
parties, they, in turn, weaken the capacity of parties to aggregate various interests.
Thirdly, in several third world countries of Asia, Africa and Latin America, neither the
parties nor the pressure groups stand very well differentiated. In the words of Gabriel
A. Almond, “Associational interest groups such as trade unions and business associations
may exist in the urban westernised parts of the society, but in the village and the
countryside interest organisation takes the form of lineage, caste, status, class, and
religious groups, which transmit pressure demands to the other parts of the pressure
structure by means of information communication.” In many of the Third World countries,

126
parties tend to be adhoc arrangements, without clear policies and without grassroots
organisation. Consequently, adds Almond, “… the significant political groups are neither
the parties, nor the associational interest groups, but elements of cliques from the
bureaucracy and the army.”

Whatever pattern is followed in a political system, it is clear that the pressure groups,
despite being independent of the parties, do still maintain contacts with them, in one
way or the other, and try to influence legislation and decision-making process through
these contacts.

24.4 CLASSIFICATION OF INTEREST GROUP

Interest groups have been variously classified by different scholars. Some of these
classifications are briefly discussed below. Certain conclusions will be then drawn from
these analyses.

24.4.1 Almond’s Classification

In detailed analysis of interest groups, Almond says that there can be four different
types of groups. This classification has generally been supported by Hitchner and Levine
also. According to Almond, the interest groups are of following types:
i) Institutional Interest Groups;
ii) Anomic Interest Groups;
iii) Associational Interest Groups; and
iv) Non-Associational Interest Groups.
The institutional interest groups are closely connected with various institution, and even
political parties. These groups also exist with in the legislatures, bureaucracies, churches,
corporations and even armed forces. They are very active in the bureaucracy, for it is
there that most of decision-making is done. They are equally close to legislatures. They
form part of a highly organised structure, but this structure has been created for purposes
other than what these groups articulate. These groups do not need any other organisation
to articulate their demands. As Almond said, institutional interest groups are “formal
organisations, composed of professionally employed personnel, with designated political
and social functions other than interest articulation. But, either as corporate bodies or
as smaller groups within these bodies (such as legislative blocs…). These groups may
articulate their own interests or represent the interest of other groups in the society.”
Such groups are very influential and powerful. In some of the third world countries,
they are not satisfied only by exercising influence. They even seize power, as, for
example, the military clique did in Burma, or Bangladesh (After Sheikh Mujib’s murder),
or Pakistan, or Nigeria. These are exceptions. These groups are generally concerned
with better conditions for their members.

The anomic interest groups, Almond said, are “more or less spontaneous penetrations
into the political system from the society.” These groups often appear when normal
means of expressing dissatisfaction prove ineffective. They may be concerned with

127
religious or linguistic or ethnic disturbances, or demonstrations, even assassinations and
hijackings. They are generally characterised by unconventional, usually violent means.
Such groups may influence the political system in numerous unconventional ways. They
are occasionally found even in the western developed nations.
The associational interest groups are closely associated with formally organised
institutions. They are functionally specialised, and they articulate the interests of specific
groups, such as management, labour, business and agriculture. These groups are found
in those countries where right to association is constitutionally recognised. Some of
them have regular paid employees on their roles to influence the concerned institution.
These groups are generally concerned with economic interests. The Federation of
Economic Organisations, and the Federation of Indian Chambers of Commerce and
Industry are some of the examples of associational groups. The associations of teachers,
lawyers, doctors and other professionals all come in this category.
Unlike the well-organised associational system, the non-associational groups are based
on factors like kinship, ethnicity, status and religious. They articulate the interests
informally and irregularly. They do not have any permanent organisation.

24.4.2 Jean Blondel’s Classification

Interest groups have been classified by Blondel on the basis of factors responsible for
their formation. Broadly speaking there are two categories of groups. These are (i)
community interest groups; and (ii) associational groups. Both the categories are further
divided into two sub-categories each.
The community interest groups are formed to promote community interests. The social
relations are in the back of their formation. Community life brings people together.
They share the joys and sorrows of people together. Most of the community groups are
informal; only some are formally organised. They put pressure on the government to
seek state protection and assistance. The community groups are divided between (a)
customary and (b) institutional groups. The groups that essentially follow the customs
and traditions of the community fall in the category of customary groups. The groups
of castes and sub-castes in India are of this type. Blondel has described those community
groups as institutional who are formed by people living together for a long time, and
who develop common social relationship. Some of the examples of this type can be
welfare associations of serving or retired soldiers like the veterans unions, the civil
servants welfare associations, or the senior citizens’ welfare bodies.
The associational groups identified by Blondel generally follow the pattern of Almond
and Hitchner & Levine. These groups have two sub-categories (a) protective groups and
(b) promotional groups. The protective groups try to protect the interests of their members
like those of trade unions and associations of traders or professionals. They, thus, have
more or less homogeneous clientele. The promotional groups, on the other hand, have
membership or large cross-sections of community. The promotional groups may include
group for disarmament, or the Greens seeking promotion of environmental security.
Besides, the protective groups generally manage to have greater influence over policy-
making process than the promotional groups. As Robert Salisbury wrote, in the context
of British groups, the protective groups have “substantial influence over policy”, whereas

128
“promotional pressure, even when they mobilise a large following, tend to be regarded
as having only a minor impact on public decisions.” Finally, the protective groups
generally have more flexible strategies, while the promotional groups face the problem
of goal adaptation following the change in political situation. The protective groups
never run out of the agenda, while the promotional groups are terminal in nature, at least
in conception.

24.4.3 Maurice Duverger’s Classification

Maurice Duverger, who prefers to use the term pressure groups, talks of two main
problems. These are: First, whether those groups should be called pressure groups
whose only function is to exert political pressure, or even those can be called pressure
groups which have multi-dimensional activities. Second, whether the term pressure
groups should be used only for non-official groups or even official groups can be
brought in this category. It is in the context of these two questions that Duverger
offered the following classification.
In the context of his first question, Duverger distinguishes between (i) Exclusive Groups;
and (ii) Partial Groups. In the first category are those groups whose only function is to
put pressure on the political system. Thus, the French Parliamentary Association for the
Defence of Educational Freedom is an exclusive group. There are several groups in the
United States who are whole-time in the business of pressure politics, through the
device of lobbying (see below). The partial groups, on the other hand, are essentially
set up to be the promoters of interests of their members, but in that process do occasionally
use pressure tactics. There are numerous such partial groups in every democratic country
including Britain and India. Several associations of professionals (doctors, lawyers,
chartered accountants, and architects), of university or school teachers, or women activists,
or those concerned with cultural activities also, if needed, try to put pressure on civil
servants, legislators and others. But, there can be no rigidity in this classification. Any
partial group may take to whole time pressure politics.
On the second basis, Duverger makes a distinction between (i) Private Groups; and (ii)
Public Groups. The first country to have experienced the pressure groups was the
United States, where private institution groups had begun to use pressure on the state
apparatus. Gradually, even official or public groups also joined in the process of pressure
politics. The official groups may even include those officials who secretly align themselves
with one or more pressure groups to serve certain interests.
Duverger also refers to, what he calls pseudo-pressure groups. These groups include
specialists who use pressure politics not for themselves, but for others. This is often
done for monetary consideration. Duverger includes in this category, the technical experts
as well as information (mass) media. A reference will be made below, while dealing
with the role of pressure groups, to the role of mass media.

24.5 ROLE OF INTEREST/PRESSURE GROUPS

The role of pressure groups depends to a large extent on the type of government that
a country has. Their role in the presidential system, as in the United States is more

129
significant than that in parliamentary democracies, like Britain and India. Their role is
minimum, or non-existent, in one-party states, and particularly in authoritarian systems.
Their role is highlighted by Henry Ehrmann, while discussing the merits of pressure
groups. He says: “The interests which they represent link their membership with
community values. Hence groups are likely to reflect more accurately than do other
bodies, the concerns of the society in which they operate.” Further, where the formal
system of representation proves inadequate, interest groups, represent community values
more realistically than do parties.
Interest groups employ all conceivable methods to promote their interests. They request
and cajole, they bribe and entertain. The most popular method of pressure politics,
called lobbying, was developed in the United States. Lobbying is only one of the
methods of pressure politics, yet it is the most effective. Lobbying is, peculiarly American
practice, and its practitioners try to directly influence the lawmakers and other officials.

24.5.1 Lobbying
Lobbyists, in the words of Alfred de Grazia are “highly organised; they claim large
membership lists; they have agents who are skilled in persuasion and public relations;
they insist that their purposes are consonant with the public welfare.” Lobbying is, as
mentioned above, an American practice, though it is not the monopoly of the United
States. Lobbying is practised in many other democratic countries also, yet it will be
appropriate to discuss this practice in the American background.
The term “lobbying” is used to indicate the technique of establishing contracts with the
members of Congress and state legislatures to influence them to vote for or against a
measure to suit the interest of a pressure group. Very often pressure groups engage ex-
members of the Congress to influence the legislators. They are familiar with the lobbying
techniques. There are several hundred regular ‘lobbyists’ working permanently in
Washington D.C. They are paid employees of interest groups. They need not necessarily
influence the legislators in the lobbies of the Congress, although the term is derived
from that. According to Johnson, much of the time of Congressmen is spent “at the
behest of groups and individuals, in urging administrative officers from the President
down to ‘go easy’ on enforcing certain laws, to enforce others vigorously… and so on.”
Representatives of special interests haunted the environs of the First Continental Congress,
but the word “lobby” was not used until 1808 when it appeared in the reports of the
tenth Congress. By 1829, the term “lobby-agents” was used for favour-seekers at the
capital of New York. By 1832, it had been shortened to “lobbyist” and was widely in
use in the American capital.
The lobbyists build ‘contacts’ with the Congressmen “dog their footsteps”, and try to
influence their decisions and votes. Generally they seek to promote the legitimate interests
of the groups, but sometimes do indulge in selfish game also. In some rare cases even
methods such as bribery—direct or indirect—and blackmail are also used to influence
the legislators. A strong-willed Congressman may even be coerced by arranging a flood
of letters, telegrams and telephonic calls from the voters in his district. In recent years
legislative provisions have been made to curb the pressure politics and lobbying, but it

130
cannot be said that much success has been achieved in checking the practices. Political
parties, pressure politics and lobbying have become parts of American political system.
Most of the American interest groups have been economic in character. There have been
labour pressure groups that seek to represent the point of view of organised labour in
elections and in the Congress. On the other hand, there have been business pressure
groups that sought to represent the interests of industry. In recent times, however,
several groups have emerged that focus on social activities. Some such groups are, the
National Council of Christians and Jews and the United Methodists. Thus, every major
community has its own lobby. There are several new ideological interest groups like the
Common Cause and the National Committee to Secure a Free Congress. This is a very
special group known as “Save the Whale”. They print bumper stickers saying “Save the
Whale”.
The common belief is that the pressure groups have an impact only on the legislative
process. Actually, as Dr. Kirkpatrick asserts, pressure groups in America impact on
decision-making process at every stage… They impact on public opinion. They have
large campaigns. Advertisements get placed in newspapers.” The pressure groups are
very active during national as well as local elections. The groups influence the executive
officers and even the judges.
The French scholar Alexis de Tocqueville had once said if you put three Americans in
a room together they would from an organisation. It is true. Americans have been
described as “joiners”. They are organisers. They form pressure group and seek solution
of all their problems through them. Dr. Kirkpatrick refers to the role of organised group
even in non-government spheres. She told an Indian interviewer in 1978.
“I am a member of the American Political Science Association (APSA). Every learned
profession in the United States has its own professional association. These conventions
bring a lot of business into a town and to hotels: hotels survive on the business of these
conventions.”
“The American Political Science Association has a contract to hold its next convention
in Chicago. But the organised women groups inside the American Political Science
Association mobilised a very effective political action campaign within the APSA, and
secured a vote that the meeting should not be held in Chicago,” because Illinois (the
state in which Chicago is situated) had not ratified an amendment to the Constitution
providing for equal rights for all men and women.
It is true that pressure groups are now active in every democratic country including
Great Britain and India. But, there is no doubt that the active role that the interest groups
have played in the American politics is more significant than the role played by similar
groups in other countries. They have actually become the ‘Anonymous Empire.’

24.6 SUMMARY
Interest groups are voluntary associations of people who have common interests to
promote and protect. These interests may be economic, social, cultural, linguistic or
religious. Each country has a very large number of interest groups. Since an individual

131
often has several interests—as an employee of the state, or of a public or private
undertaking, as a devout believer, as an office-bearer of a residents’ welfare association,
or as an activist of a movement such as Narmada Bachao Andolan or the Association
of Defence of Freedom of Education of France. The groups may be permanent like the
trade unions or chambers of commerce or industry. Some groups may be purely temporary
such as group to fight sectional violence or to provide relief to the victims of earthquake
or a cyclone. Some of the groups are private, while others are public or official. There
may also be some semi-private group. Interest groups are generally called the pressure
groups as most of them, most of the time, try to put pressure on the legislators, bureaucrats
and other officials to have legislation enacted or policy formulated to suit their interests.
There may be a small number of interest groups who may not resort to pressure politics,
but such groups are rare. Thus, pressure is an important activity of interest groups.

Interest/Pressure groups have been classified by several scholars on different criteria. In

the present unit, you have made aware yourselves of the classifications of Almond,
Hitchner and Levine, Jean Blondel and Maurice Duverger. You have also read that
depending on the base of a group it may be either a mass group or a traditional group.
You have also read that pressure groups are not political parties. The two are entirely
different. While parties seek political power of governance, the pressure groups are
essentially concerned with interests of their members, and for that purpose they apply
pressure. The most common device of pressure politics is lobbying. This practice
originated in the United States, and is largely, though not exclusively, adopted in that
country. In practice pressure is applied on the legislators and others not only in the
lobbies of the legislature, but whatever the pressure tactics, like bribery, jobs for relatives,
five star luxuries, etc., are used, collectively the device, wherever practiced, it is called
lobbying.

24.7 EXERCISES
1) Define interest groups, and highlight the distinction between interest groups and the
pressure groups.
2) Distinguish between mass and traditional interest groups.
3. Discuss the relationship between the political parties and the pressure groups.
4) Distinguish between institutional, anomic and associational interest groups.
5) Explain Maurice Duverger’s classification of pressure groups.
6) Discuss lobbying as a device of pressure politics.

132
UNIT 25 POVERTY AND HUMAN DEVELOPMENT
Structure
25.1 Introduction
25.2 Poverty: A Broader Outlook
25.2.1 Poverty Related ‘Other’ Concepts
25.3 Poverty and Inequality
25.3.1 Growth, Poverty and Inequality
25.4 Measurement of Poverty
25.5 What is Human Development?
25.5.1 Human Welfare: Traditional Thinking
25.5.2 Human Development: Current Thinking
25.5.3 Status of Human Development at Global Level
25.5.4 Measures to Improve Human Development
25.6 Globalisation, Poverty and Human Development
25.7 Summary
25.8 Exercises

25.1 INTRODUCTION
One often comes across terminologies like the “world is divided between haves and have
nots” or “poverty anywhere in the world is danger to prosperity everywhere”. These
terminologies point out to very core issues of poverty and human development normally faced
by the developing and the least developed countries. The issues have come to the fore in the
post World War II period as some countries progressed rapidly and industrialised their
economies, while some remained poor. The industrialised countries became developed and
were able to solve the problems of employment, provision of public goods and basic services
to a large extent. The poor countries have not been able to adequately industrialise their
economies and have been grappling with the problems of unemployment, low per capita
income, illiteracy, inadequate basic health services and sanitary facilities etc.

The problems of the poor countries since the beginning of the 1980s have become critical as
the wave of globalisation and privatisation compel them to readjust and restructure their
economies under the guidelines of international financial and trade organisations. The policy
guidelines, so far, have not proved so beneficial mainly because the process of globalisation
and privatisation is skewed towards the developed countries. Against this backdrop we
analyse the subject matter and bring out the various facets involved in its discussion.

25.2 POVERTY: A BROADER OUTLOOK

There are two broad views on poverty: one is of a sociologist and other is of an economist.
A sociologist looks at it as a multidimensional concept by taking into consideration the many
aspects of human well-being. For instance, people deprived of social contacts are described
as being socially isolated, and hence poor in this dimension. Similarly, people living in squalid

1
housing are viewed as “housing poor and people with health deficits as “health poor”. Individuals
who fail “to reach ‘minimally acceptable’ levels of different monetary and non-monetary
attributes necessary for a subsistence standard of living” are defined as being poor.

Economists tend to prefer a concept of hardship that reflects “economic position”, or “economic
resources”. However, there are widely varying perspectives on which economic variables best
identify those people whose economic position lies below some minimally acceptable level.
Some rely on the income of a family, and compare this to some minimum income standard
or “poverty-line”. Others look to the level of consumption as an indicator of the living. Still
others rely on families’ own assessment of their economic well-being, and move from this
assessment to a judgment regarding who is poor and how many of them there are.

Another concept (within the economists’ purview) recently brought out by Amartya Sen is
concerning ‘human capabilities’. This concept rests on individual “capabilities”. Like other
poverty measures, this measure seeks to identify those in the population who experience the
most severe hardship, those who are the most deprived. In this case, those who are at the
bottom of the distribution of “capabilities-to-generate-minimum-necessary-income” are taken
to be the most needy. This is “self-reliant poverty” indicating that individuals who are self-
reliant poor are unable to be economically independent. The income they are capable of
generating lies below a socially-defined minimum standard of living. In essence, being incapable
of independently securing sufficient income to meet basic needs may reflect a more debilitating
and vulnerable situation than being short of cash income in a particular year, living currently
in substandard housing, or even living temporarily at a consumption level below a minimum
acceptable standard. The ‘capability’ concept is explained by Amartya Sen: “The basic failure
that poverty implies is one of having minimally adequate capabilities and hence that ‘poverty’
is better seen in terms of capability failure than in terms of the failure to meet the ‘basic needs’
of specified commodities”.

Human capabilities are examined at an individual and collective level. Poor people need a
range of assets and capabilities at the individual level (such as health, education, and housing)
and at the collective level (such as ability to organise and mobilise to take collective action
to solve their problems). Closely connected with the concept of ‘capabilities’ is ‘entitlements’
developed by Amartya Sen. Entitlements, as described by Sen are “Socially Sanctioned
claims, effective legitimate command over food that is available”. A person’s effective legitimate
commands are his or her entitlement. The failure of entitlement to cover subsistence needs is
mostly the cause of starvation and death in famines. This had happened during a famine in
West Bengal (in India) in 1942 and this has been happening in certain parts of Africa in recent
years.

However, expansion of entitlements should not be seen as the ultimate goal of human well-
being. Instead the focus of real interest is what people can do and be with their entitlements.
The capability of doing valued things (functioning) is what really matters. A person’s capability,
in Sen’s words, is defined as “the set of functioning bundles, representing the various ‘beings
and doings’ that a person can achieve with his or her income, social and personal characteristics.”
A person’s capability to be nourished depends crucially on other characteristics of a person
that are influenced by such non-food factors as medical attention, health service, basic education,
sanitary arrangements, provision of clean water, eradication of infectious epidemics and so on.

2
This concept of capability has gained much ground in various poverty eradication programmes
of the World Bank and non-governmental organisations (NGOs) working at the international
level. Mainly because it has been observed that mere rise in income of an individual or a family
cannot provide sustained capacity to a person or a family to achieve either minimum standards
of income to lead a dignified life in a long period. And by strengthening human capabilities
there is assurance of enriching human development. The concept of human capabilities and
human development are interdependent and correlated.

25.2.1 Poverty Related ‘other’ Concepts

Most of the time issue of poverty gets messed up with other issues which create confusion
in understanding the issue in proper perspective. In the following lines we would throw light
on such issues.

Who is Poor?

The idea of poor is different in different societies, and is likely to depend on value systems
as well as economic factors. For long and in many cultures of the world poor was not always
the opposite of the rich. Other considerations such as falling from one’s station in life, being
deprived of one’s instruments of labour, the loss of one’s status, lack of protection, exclusion
from one’s community, abandonment, infirmity, or public humiliation defined the poor. Mere
a certain level of income is not taken as an indicator of poverty or labelling a person as poor.

Relative Poverty and Social Exclusion

Individual, families and groups in the population can be said to be in poverty when they lack
the resources to obtain the types of diets, participate in the activities and have the living
conditions and amenities which are customary, or at least widely accepted and approved, in
the societies to which they belong. Their resources are so seriously below those commanded
by the average individual or family that are, in effect, excluded from ordinary living patterns,
customs and activities. Social exclusion is the process through which individuals or groups are
wholly or partially excluded from full participation in the society in which they live. The idea
of social exclusion originated in France and is now applied throughout the industrialised world
of the North (i.e., the developed West and the European Union). However, its applicability
for the countries of the South. (i.e., the developing and the least developed countries) is a
matter of debate. Because, most countries of the South are deprived of minimum basic needs
and therefore the concept of human capabilities is largely applicable to them.

Chronic Hunger and Famine

Chronic Hunger
Chronic hunger is a sustained nutritional deprivation (i.e., under-nutrition) of population. Chronic
hunger is one aspect of a wider set of deprivations understood as poverty. Most of the time
in print and electronic media one notices pictures of under-nutritious children and their mother
from several parts of Africa like Sudan, Ethiopia, Rwanda, Burundi, Uganda etc. There the
children under-5 mostly face under-nutritious situation and ultimately die. This has almost been
the regular phenomenon in these countries.

3
Famine
Famine is a crisis in which starvation from insufficient intake of food, combined with high rates
of disease, is associated with sharply increased death rates. During famine one can notice a
sharp increase in mortality arising from acute starvation and related disease. However, famine
is not the only form of hunger. In many parts of the world where famine has not occurred for
several decades, sustained nutritional deprivation (i.e., chronic hunger) is, nevertheless,
experienced by a significant proportion of the population. This long term condition of chronic
hunger kills more people globally than the acute crisis of famine does.
Gross National Product (GNP) and Gross Domestic Product (GDP)
While categorising a country as a developed, developing or a least developed country the
national income is taken into consideration. The national income comprises many factors and
for its measurements GNP/GDP concepts are often used. GNP is the total income available
for private and public spending in a country, while GDP measures the size of the economy.
However, both are defined technically in terms of output. GDP is clearly and simply an output
measure, defined as the total final output of goods and services produced by an economy.
In the case of GNP, output is used to define a measure of income. Thus GNP is the ‘total
domestic and foreign output claimed by residents of a country’ in one year. What they ‘claim’
is also their income; thus GNP is a measure of national income and GNP per capita is a
measure of the average income of each member of the population, including what they may
earn or receive from abroad. GNP and GDP are closely related. The GNP of India, for
example, is the output produced in India (its GDP), less whatever is ‘claimed’ by foreigners
(repatriated profits, migrant workers’ earnings, etc.), plus what Indians earn outside the country
(remittances from abroad, returns on investment abroad).
The growth in the GDP is seen as a indicator of progress of an economy. If a country with
relatively less number of population increases its GDP rapidly then that country is looked upon
as a developed or a rich country. For instance, Sweden, Japan, Norway, US, Australia, UK,
France, etc. come under this category. Contrary to this, countries with moderate GDP growth
and relatively large population and small size of economy either fall in developing or least
developed countries. They are also called as poor countries. Such countries are mostly
located in Southeast and South Asia, Africa and Eastern Europe.

25.3 POVERTY AND INEQUALITY

Before proceeding further we will touch upon a related issue that is the difference between
poverty and inequality. Do they impact each other? With the advent of globalisation, since the
beginning of 1980s, one often comes across a phrase – the rich are getting richer and the poor
are getting poorer. It precisely indicates gap between the rich and poor is widening and that
the economic inequality or inequality of income and expenditure is expanding. However,
poverty and inequality are two different things but they are closely related too. Economic
inequality, usually of income or of expenditure over a period of time such as a year or month,
refers to the manner in which that item is distributed among members of a group, frequently
a country. Inequality in wealth, at a given point in time, also refers to its distribution. Since
distribution, in this sense, is share, it is a matter of comparison. A standard procedure that

4
economists use is to compare the (percentage) share of the top 10 per cent and the bottom
10 per cent households in the country. These shares can also be expressed as ratio. Inequality,
then, is relative.

The measurements of poverty are quite different. To measure it, it is necessary to agree upon
a norm. The norm could be physical such as requirement of certain calories a day per person,
as was done in the 1960s and 1970s in Asian and African countries, or could be a monetary
figure, such as earnings or expenditure (a day, a month etc.) Physical norms, of course, can
be converted into monetary equivalents provided appropriate goods yielding the physical
quantity can be located and their prices too can be agreed upon. Poverty line such a figure
commonly is accepted (US dollar a day, for instance) with those below it considered poor.
In nutshell, inequality is expressed as a ratio and the poverty line as an absolute sum. However,
neither the measurement of inequality or of poverty can be foolproof, mainly because the
assumptions about economic conditions / factors keep changing frequently within the household
as well as at the national level. Similarly there cannot be uniform prices of the goods and
services for a long period which is mostly taken as a measure of consumption expenditure.
Therefore, we find differences among economists about the extent of poverty and economic
inequality.

25.3.1 Growth, Poverty and Inequality

It is mostly presumed that (economic) growth reduces poverty and inequality. However, the
empirical studies carried over a period of time in developed, developing and the least developed
countries give a different picture. Undoubtedly growth can impact poverty and inequality; but
one cannot determine the course of its impact. Growth can reduce poverty and inequality;
growth can reduce poverty and increase inequality; growth can increase both poverty and
inequality. These diverse patterns are possible because growth is not a uniform numerical
addition. It is a process of change that affects not only the volume of output, but the composition
of that output, the number of production, the relative values of particular goods, the participation
of different sections of the population in productive activities, the purchasing power of different
sections and so on. How these impact on poverty and inequality will have to be empirically
examined. Again empirical results of one country cannot be applied to other countries,
nevertheless certain inferences can be drawn from such studies which can be tested in different
situations. For example, if there is an increase in the cereal production achieved by labour
displacing methods of production, and if the increased output is largely exported, it can lead
to an increase both in poverty and in inequality. On the contrary, if the increase in output leads
to a fall in cereal prices, a reduction in poverty is possible.

Various empirical studies that were carried out in the US in the 1990s show that between
1970s and 1980s the gap between US rich and poor has widened although the US economy
grew rapidly and expanded substantially during the period. According to one authentic study
between 1977 and 1990 the average income of the poorest fifth of America declined by 5
per cent, while the richest fifth became about 9 per cent wealthier. That left the poorest fifth
of Americans by 1990 with 3.7 per cent of the nation’s total income, down from 5.5 percent
in 1950s and 1960s. And it left the richest fifth with a bit over half of the national income.
In US the top 5 percent command 26 percent of the nation’s total income. These changes in
inequality had a similar effect on the livelihood of many ordinary Americans. Many were

5
employed but their emoluments were insufficient to provide them minimum living standards.
This led to rise in poverty. Such findings establish the relationship between inequality and
poverty.

25.4 MEASUREMENT OF POVERTY

Reducing poverty is a goal of nearly all societies. Yet, no standard measure of poverty exists
among nations, organisations and scholars. Poverty applies to individuals and households and
therefore poverty measures / indices are constructed by taking into consideration per capita
per day income. For instance, World Bank does this by measuring a ‘poverty line’ which
represents an income level below which a person is held to be in extreme poverty. If a
person’s income is less than US one dollar a day (measured in 1985 Purchasing Power Parity
– PPP) then he / she should be seen as living below poverty line and is extremely poor. A
person’s income is considered in Gross National Product (GNP), i.e., GNP per capita. GNP
per capita gives an indication of the average material living standard of a nation’s people. An
increase in GNP per capita could mean development implying an increase in prosperity or
economic well-being and hence less poverty. However, GNP per capita has limitations (in idea
of entitlement). GNP per capita is a measure of average income based on market-valuations,
and hence there are several ways in which the measure fails to give a full indication of the
incidence of poverty. Being an average, GNP per capita says nothing about the distribution
of wealth between rich and poor. The idea of measuring poverty at the level of entire nations
and hence labelling certain countries as poor on the basis of their GNP per capita is a recent
phenomenon. Global poverty is an entirely new and modern construct and the advent of global
consumer society has prompted this notion.

Estimation of poor people at a global level is regularly done by the World Bank as well as
other organisations and researchers. The estimates recently brought out by the World Bank
are exhibited here in Table 1. It shows over 2.8 billion people the world over are living below
poverty line towards the end of the 20th Century. The maximum number of poor was in South
Asia: little over half a billion people. However, the poverty rate has declined in South Asia
during the 1990s. Next to South Asia was Sub-Saharan Africa where both the number of
poor as well as poverty rate has gone up. In East Asia, number of poor and poverty rate has
declined and China has been able to reduce poverty substantially. Poverty in Eastern Europe
and Central Asia has increased by five times. The rise in the number of poor in this region
indicates turmoil in political situation which is affecting “good governance” particularly in the
social sector. There is marked fall in the incidence of poverty in the Middle East and North
Africa; however the situation in Latin America and Caribbean remained almost the same. On
global level, although the poverty rate has declined to a certain level, the number of poor has
remained almost the same. This situation paints a worrisome picture. Even though there are
massive efforts to alleviate poverty, the success is unsatisfactory.

TABLE 1 : Population Living Below $1.08 and $2.15 per day at 1993 PPP by Region
Region $ 1.08 per day $ 2.15 per day
Head count Index (%) Number of Poor Head count Index (%) Number of Poor
(millions) (millions)

1987 1998 1987 1998 1987 1998 1987 1998

6
East Asia
(excluding 26.60 14.71 417.53 267.30 67.04 48.72 1052.32 885.29
China)
23.94 9.47 114.14 53.87 62.90 44.29 299.92 252.01

Eastern Europe 0.24 3.75 1.07 17.80 3.59 20.70 16.35 98.24
and Central Asia

Latin America 15.33 12.13 63.66 60.86 35.54 31.72 147.56 159.14
and Caribbean

Middle East 4.30 2.11 9.31 6.03 30.03 29.85 65.09 85.28
and North Africa

South Asia 44.94 40.00 474.41 521.84 86.30 83.93 911.04 1094.95

Sub-Saharan 46.61 48.05 217.22 301.32 76.52 77.95 356.64 488.82

Africa

Total 28.31 23.45 1183.19 1175.14 61.00 56.11 2549.01 2811.73

Total (excluding 28.51 25.56 879.81 961.71 58.22 57.90 1796.61 2178.44
China)

Note: The headcount index is the percentage of the population living in households with a consumption
or income per person less than the poverty line.
Source: Chen, S. and Ravallion, M. (2001), ‘How did the World’s Poorest Fare in the 1990s’? in the
journal ‘The Review of Income and Wealth’, Series 47, No.3.

25.5 WHAT IS HUMAN DEVELOPMENT?

The foregoing analysis brings out one issue prominently i.e., “human capabilities” is important
in eradicating poverty. The increase in “improved capabilities” enables a person to widen his
social choices which ultimately help him to lead a decent life. Traditionally human well-being
was seen in terms of material welfare, i.e., how much an individual can acquire material wealth
or assets. And for a community or society, the well-being was considered in terms of command
of few individuals over the majority wealth of a country. However, in recent period, this view
has undergone a drastic change and more stress is now put on human development which
covers wide range of aspects in the individual case as well as society and the nation.

25.5.1 Human Welfare: Traditional Thinking

Until recently, in the assessment of (material) welfare of human communities two steps were
involved. First, to measure welfare (i.e., income) of each individual in the community. Second,
combine the welfare (i.e. income) of these individuals in some way to get a measure of
aggregate level of welfare for the society as a whole. Traditionally welfare was taken to be
synonymous with material welfare and was measured by one’s command over material
resources. Since money is a common measure of all material possessions it was believed that
some function of income (or some close proxy of it) would capture most of the aspects of
welfare and measure it adequately. Accordingly, welfare of an individual was measured by his
income alone. Also the individual welfares were aggregated in a simple way by adding all the
component incomes and dividing the sum by number of such incomes added to get an estimate

7
of per capita income. Thus Gross National Product (GNP) per capita or one of its variants
remained in use for long as an indicator of aggregate welfare of a community.

The shortcoming of this measurement was that it took into account only income of an individual/
communities into consideration but neglected other factors such as accessibility to public
goods, human capabilities, status of women (employed or unemployed), social status of an
individual (despite the level of income), political freedom, etc. To overcome these shortcomings
a new thinking has evolved since mid-1970s mainly centring around distribution of income in
the society and availability of social choices to each individual to enhance one’s capabilities
to lead a decent life.

25.5.2 Human Development: Current Thinking

In the traditional view (i.e., material welfare), development is people’s command over resources
like flow of income and ownership of assets, or at times measured in terms of expenditures
likely to improve quality of life, such as, on education, health, nutrition, housing, safe drinking
water, sanitation and other social services. Economic growth is necessary to meet the objective
of better quality and content of life. However, translation of growth into better quality and
content of life is not automatic. It matters whether the resources at its command are efficiently
utilised by the society for achieving higher goals or used in “wasteful” expenditures, such as
on wars, producing and consuming alcohol and other intoxicants, flesh trade, gambling, etc.
In modern thinking, human development is seen in terms of whether economic growth has
been successfully translated into improvements in various aspects of life.

What are these various aspects of life? They are acquisition of knowledge, enjoyment of a
healthy and long life. Development, here, is people-oriented and viewed as expansion of
people’s capabilities. The people’s capabilities are measured in terms of their abilities to
improve individual’s life as well as society’s as a whole. For instance, an ignorant person in
poor health has much less capabilities than a knowledgeable and healthy person and therefore
is at a lower level of development.

The current debate on human development since the beginning of the 1990s was the result
of massive exercise carried out by the United Nations Development Programme (UNDP) to
bring forward human development profile of each nation in the world. The UNDP published
its first Human Development Report (HDR) in 1990 and since then it brings out HDR annually.
For measuring the status of human development in each country the UNDP constructs a
Human Development Index (HDI). The HDI is constructed by taking into account three
variables viz., life expectancy, adult literacy and (real) GDP. The HDR indicates the position
of various population sub-groups in the human development ladder i.e., who stands where in
terms of various indicators of development, such as, female literacy, maternal and child mortality,
expectation of life, old age security, housing and sanitation, consumption and income.

The principal concern of the concept of human development is that the economic growth of
each country, especially least developed and developing country should be people centric
meaning people should be the centre-piece of economic progress. To achieve the goal of
human development the economic growth of each country must ensure the improvement of
quality and content of human life. However, there is difference between human development
and human resource development (or human capital formation). Human development is a

8
broader concept which looks at human beings more as the beneficiaries and ultimate ends of
the development process whereas human resource development treats human beings as mere
capital goods or participants in the developmental process. Human development approach
emphasises distributive policies (of income) while human resource development indicates
production structures. Human development can be summarised as a process of enlarging
people’s choices.

As mentioned earlier there are three indices for measuring human development: (i) adult
literacy rate for measuring education status of the people; (ii) life expectancy for measuring
health status; and (iii) GDP per capita for measuring standard of living. The first two components
are semi-public goods which are supported by subsidy by the respective government of each
country. The level of human development attained is influenced by the level of subsidy provided.
It underlines the fact that the deprivation in literacy and life expectancy varies depending on
the extent of variation in the respective subsidies provided. The provision of subsidy depends
upon both the priority accorded to the development of education and health and the level of
economic growth (i.e. capacity to finance these two subsidised goods). However, the three
processes, i.e., capital formation, human development and economic growth occur simultaneously
in any country / society. These processes are intended to remove poverty thereby leading to
the widening of people’s choices.

25.5.3 Status of Human Development at Global Level

Table 2 here provides the glimpse of status of human development at global level. The human
development index (HDI) is used to throw the light on various regions of the world. It clearly
shows that in the achievement of human development the developed countries (i.e. OECD)
are much ahead whereas developing and the least developed countries are far behind. The
two regions, the Sub-Saharan Africa and South Asia are in extremely bad shape: Their indices
in the matter of life expectancy, adult literacy and per capita income are nowhere near to the
OECD countries. Their pathetic condition can be linked to the low level of GDP growth. One
way to achieve faster economic growth is to redefine their economic policies. The persistent
implementation of poverty alleviation programme is essential as Table 2 clearly shows correlation
between poverty and low achievement of human development. Extreme poverty is the root
cause of low achievement in human development.

Table 2 : Human Development Index

Life Expectancy Adult Literacy Combined Primary, GDP per

at birth (years) rate (% age 15 Secondary and Capita
and above) Tertiary gross (PPP US$)
enrolment ratio (%)
2000 2000 1999 2000

Developing Countries 64.7 73.7 61 3,783

Least Developed 51.9 52.8 38 1,216

Countries

Arab-States 66.8 62.0 62 4,793

East Asia and the 69.5 85.9 71 4,290

9
 Pacific

Latin America and 70.0 88.3 74 7,234

the Caribbean

South Asia 62.9 55.6 53 2,404

Sub-Saharan Africa 48.7 61.5 42 1,690

Central and Eastern 68.6 99.3 77 6,930

Europe and the CIS

OECD 76.8 100.00 87 23,569

High Income OECD 78.2 100.00 94 27,848

Note: Countries under high income OECD category are Norway, Sweden, Canada, US, Australia, Japan,
UK, etc. There are about 25 OECD countries. The OECD stands for the Organisation for Economic
Cooperation and Development.
Source: UNDP, 2002, Human Development Report, Geneva, Switzerland

25.5.3 Measures to Improve Human Development

Given the dismal picture of human development in developing and the least developed countries
various action programmes are suggested to change the situation. In the following lines we
elaborate these programmes:

i) Eradicating Extreme Poverty and Hunger

If one sees here Table 1 vis-à-vis Table 2 then one finds that there is direct and proportionate
relationship between poverty and human development. If a country is poor then its human
development record is unsatisfactory. People suffer from various incapacities such as illiteracy,
shorter life-span, etc. These incapabilities create the vicious circle of social evils and therefore,
the immediate goal of developing and the least developed countries should be to halve the
proportion of people living on less than US one dollar a day. Moreover there is need to halve
the proportion of people suffering from hunger.

ii) Achieving Universal Primary Education

Primary education to all is essential as illiteracy breeds most of the social problems. Primary
education, especially of girls is the need of the hour. It is found that where primary education
is imparted to the women lot, especially in rural area, that country’s population growth rate
as well as infant mortality rate remains at low level. For instance, Sri Lanka, Philippines,
Malaysia, Kerala (in India) have achieved lowest birth and infant mortality rate because of
girls’ primary education. Therefore, there is an urgent need to ensure that children everywhere-
boys and girls alike-complete a full course of primary education.

iii) Promoting Gender Equality and Empowering Women

It has been observed in developing and the least developed countries that discrimination exists
between boys and girls while enrolling them in primary and secondary education. This is mainly
because parents in these countries give preference to boys and spend more money on boys’

10
education, especially in rural areas whereas girls are neglected in education. The outlook
towards girls is limited to performing household domestic work and rearing children. The
marriage age of girls is very low. The drop-out rate of girls after primary education is unusually
high because parents get them married at a tender age. There is a need to eliminate gender
disparities in primary and secondary education. In addition there is need to empower women
by providing gainful employment or ensuring self-employment so that they can become
economically self-reliant. Empowerment is a desired process by which individuals, typically
including the ‘poorest of poor’ are to take direct control over their lives. Once ‘empowered’
to do so, poor people will then (hopefully) be able to be the agents of their own development.

iv) Reducing Child Mortality

The prevalence of widespread malnutrition and under-nutrition among pregnant women in

developing and the least developed countries, especially in rural areas, make vulnerable to
various diseases and the children born to such women die before attaining age five. The infant
and under-five mortality rates in South Asia and the Sub-Saharan Africa is unusually high. The
low income and unhygienic conditions increases the vulnerability of child to succumb to various
diseases. The reduction in child mortality may provide stability to the family structure and help
to keep small family size.

v) Improving Maternal Health

As brought out earlier here the vulnerability of pregnant women is much higher in poor
countries because of malnutrition, under-nutrition and unhygienic conditions. It affects adversely
the health of a child, especially those who are under five. The mortality rate of pregnant
women in poor countries is unusually high. For reducing infant mortality rate there is a need
to improve the maternal health, particularly, during pre and post pregnancy period.

vi) Combating HIV/AIDS, Malaria and Other Diseases

Since the beginning of the 1980s HIV/AIDS is rapidly spreading among the South Asian and
the Sub-Saharan African countries and causing death to the men, women, and children.
Especially innocent children are falling prey to this disease. It is estimated that by the turn of
st
half way mark of the 21 Century this disease may take the shape of epidemic in the poor
countries and the respective governments’ finances mostly may be spent on combating this
disease. Along with this disease, Malaria is also causing serious concerns and despite persistent
efforts to bring it under control, there is limited success. Unless these diseases are brought
under control there will be no hope in improving human development.

viii) Ensuring Environmental Sustainability

Since the beginning of the 1990s the concept of economic development has been transformed
to sustainable development (SD). The SD is a wider concept encompassing economic progress.
Conceptually, the SD is presented as wise resource use by the present generation in order to
maintain similar quality of resources for future generations; at the practical level it is presented
as the objective of development projects, especially local projects which involve environment
resources (vegetation, soil, wildlife). The SD calls for the integration of action in the following
three key areas:

11
a) economic growth and equity,
b) conserving natural resources and the environment, and
c) social development.
The sustainable development is development that meets the needs of the present without
compromising the ability of the future generations to meet their own needs.

25.6 GLOBALISATION, POVERTY AND HUMAN

DEVELOPMENT
Since the beginning of the 1980s the wave of globalisation is sweeping the world and the
developing countries and the least developed countries are often advised by the international
institutions such as the World Bank, International Monetary Finance (IMF), and WTO to
minimise the role of state/government in economic activities and ensure greater role of market
forces. Although these countries are adjusting their economies to accommodate this thinking
mostly under the structural Adjustment Programmes (SAPs), however there are resentments
and doubts about the success of it. The suspicion is mainly because the withdrawal of state
intervention from developmental activities adversely affects the welfare of the poor as market
forces largely engage in profit earning activities and neglect social development. The assessment
of the implementation of SAPs in the African and South Asian countries is not encouraging.
Rather, the SAPs have deteriorated the employment generation and prospects of poverty
alleviation have been hampered. It has indirectly affected the human development too.

On the sidelines of globalisation developing and least developed countries have been undergoing
the process of privatisation and disinvestment in public sector. It is being argued that the
privatisation of education, health service, electricity, water supply and other basic services will
improve the quality of these services and enhance the status of human development. However,
the evidence show that privatisation of these services could benefit those who could afford to
pay higher price for availing them. On the contrary, who are unable to pay higher price are
excluded from their usage. The promotion of market forces, so far, has proved detrimental to
the poor people in the sense that state/government participation in poverty alleviation programmes
is reducing. Similarly government public expenditure is also decreasing.

There are efforts to evolve a paradigm which will amalgamate the interests of poor and profit
motive of market forces. The role of NGOs to fill this vacuum is often suggested and one finds
large number of NGO’s cropping up world over in recent period. However, given the functioning
of the NGOs and financial support to them by influential organisations and governments, raises
the question of their independent work. Can they fill up the gap of state/government in
providing social and public goods? They can reach to a limited number of poor and needy
people and that too mostly in urban and semi-urban areas. What about the majority of poor
living in rural and remote areas? Who would look after poor people on the withdrawal of
government? There are no answers to these questions and the poor continue to suffer under
the process of globalisation and privatisation; which is why we often listen to the demand of
globalisation with human face. It underlines the importance of human centred economic
development.

12
25.7 SUMMARY
Two broad views have emerged to look at poverty: one is of a sociologist and another is of
an economist. Sociologist looks at it from an angle of human well-being while an economist
identifies the lack of economic resources as causing hardship to a person. For certain class
of economists “poverty line” is a defining yardstick which differentiate population living below
poverty line (BPL) or above poverty line (APL). However, there is no uniform method to
measure poverty. Different parameters are practised by researchers and institutions for
measurement of poverty. Within the economic circle, the new concept of poverty has come
up which considers poverty in terms of ‘human capabilities’. This concept seeks to identify
those in the population who experience the most severe hardship, i.e., those who are the most
deprived. The people falling under this category are unable to be economically independent
and the income they are capable of generating lies below a socially defined minimum standard
of living. The “capability concept” looks at poverty in terms of capability failure than in terms
of the failure to meet the basic needs of specified commodities. Closely connected with the
concept of ‘capabilities’ is ‘entitlements’. Entitlements are socially sanctioned claims, effective
legitimate command over food that is available. A person’s effective legitimate command is his
or her entitlement. The failure of entitlement to cover subsistence needs is mostly the key cause
of starvation and death in famines.

There is a definite pattern in relationship between poverty and human development. For
moving upward in the achievement of human development poverty reduction is an imperative
condition. The countries with no poor people such as OECD enjoy better human well-being
whereas developing and the least developed countries continue to suffer and are deprived of
even basic services and public goods like safe drinking water, electricity, sanitary amenities,
health facilities, primary education, etc. The worst sufferers are women and girls as there exists
gender discrimination in providing these goods and services. The economic dependency of
women makes them vulnerable to social evils and even within the households, particularly in
rural areas, they are discriminated. The key to improve human development lies with the
empowerment of women and the ‘poorest of poor’ in the society.

The current wave of globalisation largely under the guidelines provided by the World Bank,
IMF and WTO has opened up the debate about the widening gap between the rich and poor.
It is often said that the globalisation has benefited rich at the cost of poor. The process of
globalisation and privatisation are moving in and market forces are gaining upper hand while
the role of state/ government is diminishing. The withdrawal of state / government from public
goods and services in the developing and least developed countries is causing serious concern
to the poor. There are efforts to evolve a paradigm whereby private sector or market would
take care of the welfare of the “deprived class” of the society, nevertheless so far there is no
success and poor continue to suffer. This dichotomy calls for effective role of state / government
in providing “good governance.”

25.8 EXERCISES
1) How would you describe the concept of “human capabilities” in poverty discussion?
2) What is the difference between chronic hunger and famine?

13
3) How would you differentiate between measurement of poverty and inequality?
4) Write a brief note on current thinking of human development.
5) What ways would you suggest to improve human development?
6) How would you analyse the effect of globalisation on poverty and human development?
7) What role can “good governance” play in ensuring improved human development?

14
UNIT 26 GENDER AND DEVELOPMENT
Structure
26.1 Introduction
26.2 Structural Adjustment Policies and Impact on Women
26.3 Theoretical Debates
26.3.1 Women in Development
26.3.2 Women and Development
26.3.3 Gender and Development
26.3.4 Women, Environment and Development
26.4 Summary
26.5 Exercises

26.1 INTRODUCTION
Women’s labour plays a key role in the survival of millions of families. They work
longer hours than men and have a greater range of responsibilities, but the work they
do is neither publicly nor privately acknowledged. This chapter will explore the different
ways in which this fact has been addressed in theories about “development” and
“underdevelopment”.

One way to evaluate the changing significance of “women” as a category in development

discourse is to monitor the appearance of this category in the policy declarations and
institutional structures of major development agencies. For example, the UN has marked
each official “development decade” with a declaration summarising the lessons learnt
from the decade that had passed, and its priorities for the next ten years. The First
Development Decade (1961-70), had no specific reference to women, but in the Strategy
for the Second Decade, there was a reference to the importance of “the full integration
of women in the development effort,” and women were identified as both agents and
beneficiaries at all levels of development. In the 1990s, the task has been identified as
that of ensuring that greater understanding of the problem is reflected in altered priorities.
It is understood that empowering women for development is necessary for “increased
output, greater equity and social progress.”

The reason for the growing sensitivity to gender owes a lot to the work of feminist
scholars, economists in particular, who established that the nature and significance of
the work done by women in societies all over the world, had remained invisible to
mainstream development theory. In addition, it was generally recognised by the end of
the First Development Decade that the development programmes sponsored by the UN
had been based on the economic, strategic and political priorities of the advanced
industrial countries. These had led to increased disparities between the North and the
South. This kind of fundamental questioning of the notion of both “modernisation” and
“development” was the context in which feminist scholarship came to the fore.

In 1970 the pioneering work of the economist Ester Boserup was published in the form
of a book called Women’s Role in Economic Development. Boserup’s work was a

147
liberal feminist challenge to the early patterns of modernisation as development, although
it ultimately did not go beyond an argument for equality and efficiency. She analysed
economic data from three continents to demonstrate that while women’s agricultural
production was crucial in sustaining local and national economies, women continued to
be marginalised in the economy because they gain less than men in their roles as wage
workers, farmers and traders. She also documented the negative impact of colonialism
and modernisation in these societies, especially sub-Saharan Africa. She noted that
European colonial administrators had redefined the traditional concept of “work” in
African societies in keeping with western notions, thus excluding women’s work from
the understanding of “labour.” Not only was women’s work undermined in this way,
men were given individual ownership rights in land, thus transforming the earlier practice
of community ownership, and excluding women from their traditional rights in land.
Further, mechanisation of agriculture benefited men, because men were also given sole
access to farm technology. Thus, colonialism introduced new gender disparities that
mapped on to traditional forms of gender oppression in complex ways. Boserup’s work
showed further, that after a decade of development planning, Third World women
continued to be marginalised from access to resources and technology. Irene Tinker’s
work in 1997 reinforced Boserup’s analysis by suggesting that because western aid
agencies exported gender stereotypes, modernisation of agriculture led to the widening
of the gap between men and women in economic and social terms.

Boserup’s work, however, remained limited in that its prescriptions involved raising the
education and skill levels of women so that they could compete more vigorously with
men in the labour market.

Another challenge to modernisation theories of development came from the Basic Needs
approach that was first articulated in the 1970s. It questioned the focus on growth and
income as indicators of development. By presenting the criterion of “needs”, these
theorists lay emphasis on both physical needs (minimum levels of calorie consumption,
for example), as well as on intangible needs - of participation, empowerment and
community life. Thus it was argued that development economics was limited in that it
focused exclusively on quantitative criteria alone. The Basic Needs approach has been
revived in Amartya Sen’s theory of human capabilities. Sen argues that development
means the enhancement of human achievements and capabilities. From this perspective,
it becomes possible to see that marginalised groups such as the old, children and women,
have special disadvantages in achieving their capabilities. The family or household is
thus revealed as a space in which women and children are more deprived than men.
Amartya Sen and Jean Dreze argued that because of the limited access women have to
the world of paid work, or control over family income and its distribution, their position
within the family has been adversely affected.

The focus of this approach on non-material as well as material needs has meant a stress
on the processes of development and not only on goals. That is, participation of people,
especially marginalised groups like women, in decision-making, is thus seen to be as
important as the eventual outcomes.

Increasing pressure on governments and the UN by the international women’s movement,

consisting of non-governmental organisations and groups, provided the impetus for the

148
UN International Women’s Decade (1976-85), and several international conferences
followed on issues around women’s status and role in the national and international
political economy. These conferences (Mexico City 1975, Copenhagen 1980, Nairobi
1985, Beijing 1995), raised questions on matters as varied as gender equality in decision-
making and access to resources, gender balance in political representation, sexual and
reproductive rights, and freedom from violence. Further, these conferences tried to get
participating governments to commit to putting in place institutional mechanisms for the
ensuring of gender justice at various levels. During the 1990s, the international women’s
movement has organised in opposition to the role of multilateral financial institutions
like the International Monetary Fund, and against Third World indebtedness to advanced
capitalist countries.

26.2 STRUCTURAL ADJUSTMENT POLICIES AND

IMPACT ON WOMEN
Currently, the concern of feminist scholars of development and of women’s movements
world-wide is with the impact of structural adjustment policies (SAP) on women. Such
policies have been introduced under pressure from the World Bank in different parts of
what used to be called the Third World, from the 1980s. SAP involves a) incentives for
the private sector b) privatisation of government owned units c) de-licensing and
deregulation of industry d) disciplining of labour and e) cutting down on government
expenditure.
On the whole, while such policies may have improved the Balance of Payment situation
and brought about a rise of exports, which was their main objective, they have failed
to generate growth of incomes and employment. The majority of the people have in fact,
been pushed further into poverty. UNICEF studies have shown that women and children
of poor families are hardest hit, in terms of nutrition, workload and mortality. In addition
SAPs tend to shrink women’s employment opportunities in the organised sector, while
generating low-paying jobs in the unorganised sector, for example in the micro-electronic
industry. This phenomenon has been called the “feminisation of the work-force”, and
some economists believe that this will increase the work-participation rates of women
and help in alleviating poverty. However, the counter-argument to this is that these new
jobs are impermanent, low-paid and exhausting, without any rights to organise for
higher wages or better working conditions. Women are preferred for these sectors precisely
because of their supposed docility and because they can be paid less than men.
SAPs have generally led to women workers being forced to work in more than one job
apart from domestic labour, for mere survival. Further, inflation and wage cuts reduce
the household’s purchasing power, forcing women to find even more time-consuming
ways of cutting household expenditure. Thus women’s unpaid work intensifies.

26.3 THEORETICAL DEBATES

Feminist scholars have identified four theoretical perspectives on women and
development—Women in Development (WID), Women and Development (WAD),
Gender and Development (GAD) and Women, Environment and Development (WED).

149
26.3.1 Women in Development
This framework began to be articulated by American liberal feminists in the 1970s and
was linked with the modernisation theory of the 1950s to 1970s. That is, WID subscribes
to the assumptions of modernisation theory, that traditional societies are authoritarian
and male-dominated, while modern ones are democratic and egalitarian, thus implicitly
privileging the West as morally superior. This approach understood poverty in the Third
World to be a result of incomplete modernisation, and so its focus was on the need to
integrate women into economic systems through administrative and legal changes. This
approach therefore, did not advocate structural changes, nor did it question the sources
of women’s oppression—that is, it did not ask why women had not benefited from
development strategies. Further, it failed to recognise stratification among women along
the lines of race, class, culture. Finally, it focused exclusively on women in the “public”
realm as producers, and failed to take into account the sexual division of labour, as a
result of which women play a specific role in the “private” realm of reproduction (child
bearing, child rearing and unpaid domestic labour) which contributes to unique factors
that condition women’s lives and work.

Despite these weaknesses, the efforts made from within this framework to make the
question of gender visible in development discourse did contribute to shifts in public
policy.

26.3.2 Women and Development

This approach developed in the late 1970s as a result of critique of modernisation theory
and of the WID approach. It was closely linked to Marxist analyses and dependency
theory. There are differences between these two schools, but they share a radical political
economy paradigm which lays stress on structural and socio-economic factors.

Dependency theory focuses on imperialism as the key factor that explains under-
development—that is, it argues that economic growth and development in the west was
made possible by the systematic exploitation of other parts of the globe—the First
World is seen as the core or “centre” and the Third World as the “periphery” through
which the core has been sustained. Scholars like Raul Prebisch and Andre Gunder Frank
made the argument that while colonial countries were undeveloped before western
capitalist penetration, the Third World became underdeveloped after its incorporation
into the international capitalist system. The development that took place was a dependent
development with the metropolitan economies structuring satellite economies as well as
ensuring an outflow of surplus from them. After independence, the elite in the Third
World replicate this pattern within their countries by entering into a partnership with
First World elite, and enabling the continued exploitation by the developed world, of the
poor of their countries while enriching themselves.

Marxist analyses focus on the development of historically ascendant capitalist relations

of production rather than on imperialism. Within this understanding, capitalism overcomes
feudalism gradually all over the globe, and in this sense, imperialism is merely the
vehicle that carries capitalism all over the globe. Within a strictly Marxist framework

150
therefore, imperialism does not cause distortions in the economy of the colonised country
(as dependency theory would argue). Rather, it is simply a way in which capitalism
enters these societies.

The two frameworks share a broad perspective when it comes to the question of women
and development. The exploitation of women’s labour is seen as part of class exploitation,
and in capitalist society, is linked to capitalism. That is, women’s inferior status is
derived from structures of production. Thus within this framework, the changing role of
women in economic production are determined by a number of factors—the sexual
division of labour, the local class structure, the manner in which specific regions and
sectors of production are articulated within national economies and the global economy.
Thus, this framework accounts for great diversity and complexity in the integration of
women into the development processes.

A significant area of interest from within this framework is the exploitation of female
labour globally by multinational companies. Such companies set up “export processing
zones” in poor countries, in which low-paid female labour is exploited.

This perspective rejects the earlier, modernisation theory-derived view that women need
to be “integrated” into development. Rather, the understanding here is that women have
always been part of productive processes, and that their work is central to the maintenance
of their societies. The task is therefore, to address the ways in which their labour has
been unrecognised, exploited, marginalised, thus enabling the continued existence of
international structures of inequality.

26.3.3 Gender and Development

This third strand emerged in the 1980s, and includes insights derived from socialist
feminist critiques of Marxism.

One of the key contributions of feminist theory is the making of a distinction between
“sex” and “gender”. Sex as referring to the biological differences between men and
women and gender as indicating the vast range of cultural meanings attached to that
basic difference. The argument is that there is nothing “natural” about the sexual division
of labour. The fact that men and women perform different kinds of work both within
the family and outside has little to do with biology. Only the actual process of pregnancy
is biological, all the other work within the home that women must do—cooking, cleaning,
looking after children and so on (in other words, the whole range of work we may call
“domestic labour”)—can equally be done by men. But this work is considered to be
“women’s work.”

This sexual division of labour is not limited to the home, it extends even to the “public”
arena of paid work, and again, this has nothing to do with “sex” (biology) and everything
to do with “gender” (culture). Certain kinds of work are considered to be “women’s
work”, and other kinds, men’s, but more important is the fact that whatever work that
women do, get lower wages and are less valued. For example, nursing and teaching
(particularly at lower levels) are predominantly female professions and are also
comparatively ill-paid in relation to other white-collar jobs which the middle classes

151
take up. Feminists point out that this “feminisation” of teaching and nursing is because
such work is seen as an extension of the nurturing work that women do within the
home.

The fact is that it is not a “natural” biological difference that lies behind the sexual
division of labour, but certain ideological assumptions. So on the one hand, women are
supposed to be physically weak and unfit for heavy manual labour, but both in the home
and outside, they do the heaviest of work—carrying heavy loads of water and firewood,
grinding corn, transplanting paddy, carrying head-loads in mining and construction
work. But at the same time, when the manual work that women do is mechanised,
making it both lighter and better-paid, then it is men who receive training to use the new
machinery, and women are edged out. This happens not only in factories, but also with
work that was traditionally done by women within the community; for example, when
electrically operated flour mills replace hand-pounding of grain, or machine-made nylon
fishing nets replace the nets traditionally hand-made by women, it is men who are
trained to take over these jobs, and women are forced to move into even lower-paid and
more arduous manual work.

In other words, the present subordination of women arises, not from unchangeable
biological differences, but from social and cultural values, ideologies and institutions
that ensure the material and ideological subordination of women. Thus feminists view
questions of sex-differentiated work, the sexual division of labour, and more
fundamentally, questions of sexuality and reproduction, as issues to be extricated from
the realm of “biology” (sex), which is understood to be natural and unchangeable. The
feminist agenda is to relocate these issues in the realm of the “political” (gender), which
suggests that they can and must be transformed.

The GAD framework thus emphasises gender relations in both the labour force and the
reproductive sphere. Further, GAD, unlike WID and WAD, focuses not just on women,
but on the social relations between men and women in the workplace as well as elsewhere.
GAD uses gender relations rather than women as category of analysis, thus focusing on
structures of patriarchy rather than on men and women.

GAD expects the state to play an active role in providing support for the work of social
reproduction—child-care facilities, maternity leave etc. The GAD model like Marxist
and dependency analyses, seeks structural reforms, but it goes beyond them in addressing
the sexual division of labour, and women’s work in reproduction. GAD is more attuned
to work with official agencies than strictly Marxist analyses. One of its exponents, Naila
Kabeer, argues that GAD makes a distinction between capitalism, patriarchy and racism,
and enables feminists to identify ruptures between these structures, thus making possible
strategic interventions in official policy.

26.3.4 Women, Environment and Development

This perspective arises from ecofeminism, which draws parallels between male control
over nature and over women. Ecofeminism argues that masculine oriented scientific and
industrial systems that have relentlessly exploited natural resources, have brought the
planet to the verge of ecological extinction. The very notion of “development” implies

152
the control and conquest of nature, thus putting in place unsustainable lifestyles in the
North and among the elites of the South, bringing the earth to the brink of ecological
disaster. This perspective is not just a critique of current models of development, but
questions the very possibility of unlimited exploitation of the earth’s resources, arguing
for an alternative way of life and recognition of traditional ways of life that were closer
to nature and more sustainable.

In India, the most well-known ecofeminist critique is that of Vandana Shiva, who argues
that “development” in India reflects a struggle between two world-views. On the one
hand is the life destroying and masculinist perspective of the commercial forestry system,
which treats forests as a resource to be exploited for its monetary value, and which sets
up private property in forest wealth. This perspective has the backing of agencies of the
state, and has also “cognitively, economically and politically” colonised the local men.
On the other hand, Shiva argues, is the feminine life-conserving principle embodied in
seeing the forest as a diverse and self-reproducing system, shared as a commons by a
diversity of social groups.

Vandana Shiva has come under attack by other feminists, notably Gabriele Dietrich and
Bina Agarwal, who, while accepting the need to focus on ecology and sustainable
development, argue that Shiva’s “feminine principle” is expressed in Hindu upper-caste
terms, which leaves open the question of what the feminine principle can mean for non-
Hindu and lower caste world-views. Shiva is generally seen as being insensitive to the
role that caste plays in Indian society, and Dietrich points out that in Shiva’s terms, an
ecologically sustainable system is perfectly compatible with a hierarchical and patriarchal
society based on caste division of labour.

Secondly, Shiva essentialises women, thus ignoring the material underpinning of human
beings’ relationship to nature. That is, both men’s and women’s relationship to nature
is mediated by their class and geographical location, and an urban upper class woman
might have less of a relationship to nature than a male peasant.

Third, Shiva has a critique of western science as the driving force of colonialism that
destroyed the pre-colonial, egalitarian and ecologically sustainable forms of community.
However, this ignores the fact that pre-colonial communities were marked by class,
caste and gender inequality.

Bina Agarwal therefore, suggests an alternative framework which would take into account
these factors, terming it, “environmental feminism”. Agarwal argues that the processes
of environmental degradation and appropriation of natural resources by a few have
specific class/gender and locational implications. That is, it is the women of poor, rural
households who are most affected by these processes, and who participate most actively
in ecology movements. “Women” as a category cannot be posited as a homogeneous
category even within one country, let alone across the Third World. Agarwal suggests
that “environmental feminism” necessitates complex and interrelated changes in
a) composition of what is produced
b) technologies needed to produce it

153
c) processes by which decisions on the first two are arrived at

d) the knowledge systems on which such choices are made

e) the class and gender distribution of products and tasks.

A significant ecofeminist contribution which draws upon both Marxist and dependency
theory frameworks is that of Maria Mies, who writes of women as “the last colony”.
Mies argues that primitive accumulation remains essential to capitalist growth and that
international and national capital and state systems exploit Third World women in their
pursuit of profit. She identifies the basic commonality between women and colonies in
the following way—they are both deemed to be in the realm of “nature”—to be exploited
for profit. The relationship to both women and colonies therefore, under capitalist
patriarchy, is one of appropriation. She suggests that patriarchal dominance is maintained
through the agencies of the state, which institutionalises the “housewifisation” of women’s
labour within marriage and through work legislation. As an alternative, Mies and her
colleagues argue for a society based on a feminist conception of labour which involves
a direct relationship to nature, unmediated by technology. Women would in this alternative
world, exercise autonomy in all aspects of their lives, especially in the area of
reproduction, and both men and women would be involved in the economy of care as
well as of subsistence.

Mies’ work is a powerful critique of existing social relations, and by recognising the
gendered nature of capitalist accumulation, provides a critical advance on Marxist and
dependency theories.

Generally, the GAD framework has become predominant in feminist theorising on

development, but official development planning continues to be influenced by the WID
framework. Feminist scholars feel that the reason for this is that the WID approach is
“less threatening”. WID simply “includes” women in the existing model, while GAD
involves recognition of the goal of emancipation and therefore requires fundamental
restructuring of social and economic relations.

26.4 SUMMARY
The significance of women as a category in development has been changing over the
years. It is understood now that empowering women for development is necessary for
increased output, greater equity and social progress. The participation of marginalised
groups like women, in decision-making is seen as important.

Even though it was believed that structural adjustment policies would improve the
balance of payment situation, they failed to generate incomes and employment. The
hardest hit were women and children. Feminist scholars have identified four
theoretical perspectives on women and development—Women in Development; Women
and Development; Gender and Development; and Women, Environment and
Development.

154
UNIT 27 ENVIRONMENT
Structure
27.1 Introduction
27.2 What is Environment?
27.2.1 Classical Understanding of Environment
27.2.2 Contemporary Understanding of Environment
27.2.3 Radical Understanding of Environment
27.3 Key Issues in the Environment Debate
27.3.1 Scarcity of Resources and Underdevelopment
27.3.2 Greater Interdependence of Nations
27.3.3 Sustainability of Growth
27.3.4 Changing Perspective on National Security
27.3.5 Environment and Development Debate
27.4 North-South Divide
27.5 Global Market and State Sovereignty
27.6 The Civil Society Movement
27.7 Combining Global and Local Needs
27.8 Summary
27.9 Exercises

27.1 INTRODUCTION
The study of environment is a story of a relationship which mankind has with nature.
The three fundamental resources of nature land, water and air are potentially powerful
living constituents of environment because they are a habitat to an innumerable variety
of life forms both big and the microscopic. One studies ‘environment’ because mankind
has pursued its advancement at the cost of these other life forms and as a result fallen
into a trap from where its own survival has become threatened. Those interlinkages
which make the spread of species on earth more wholesome and beneficial to mankind
can be understood only through the study of environment. The struggle for power and
security amongst nations is apparently a struggle for natural resources. It is at the same
time a grim reminder of the life’s fragile hold over it since in the battle between man
and nature it is always the nature which wins in the end. It is also a blueprint of the
deceitful drama that mankind evokes in this relationship as it staggers to conquer it.

27.2 WHAT IS ENVIRONMENT?

Environment is constituted of all that nature bestows upon mankind irrespective of the
boundaries which politics carves over the face of earth. To put it simply, the land, air,
rivers, oceans, ponds, forests and the total flora and fauna existing on planet earth forms
environment but it is much more than this pretty tree and tiger syndrome. It is a compact
of all those ecological relationships prevailing over earth at a given time in history.
Thus it is not just the natural resources but the relationship of men, women and all

156
living creatures including the tiniest of worm or a micro organism and the gigantic
whale or an elephant with their biotic and non-biotic surroundings, their interdependence
and mutual survivability. Nature does not distinguish and discriminate among its users
and its resources are free for all use but mankind has consistently raised armies against
nature in the form of developing conspicuous technology and an opaque financial regime
which fosters a growth paradigm to counter nature and subduing it rather than for
improving its relationship with nature.

27.2.1 Classical Understanding of Environment

‘Environment’ is an elusive concept since environmentalists all over the globe have
taken differing positions in different eras of history. The early transcendentalist writers
like Thoreau, Whitman and Emerson “preached the notion of a bio-ethic, a sense of
responsibility for the earth and a plea for a basic ecological understanding before
tampering with its resources”[O’Riordan and Turner 1983:3] The return to nature and
the utopian divinity attached to nature was used to counter the value system of the
industrial society . The alienation and ruthlessness of this kind of industrial growth has
led human beings to an abyss of material accumulation .Thus nature should best be left
to itself. As Earth Firsters (an environmental group in USA) remarked: “No compromise
in defence of Mother Earth” .Such transcendentalists form the core of the environmental
movements all over the world. John Muir, the American environmentalist who formed
the Sierra Club, the powerful environmental group in USA and gave his life fighting the
Woodrow Wilson’s government to prevent the construction of the Yoshemite National
Park or Sunderlal Bahuguna fighting the Tehri Dam or Medha Patkar leading the struggle
against the Sardar Sarovar Dam or Ken Saro Wiwa fighting for the Ogoni people in
Nigeria are few examples of radical environmentalists. However while their views are
undebatable as it is well accepted that nature does not exist for man but for its own sake,
yet it is given the impression that they are against mankind and also anti-development.
It is wrongly being subsumed that they are blind to the needs and pains of mankind.
Man through his control over technology is a dominant race in nature which has usurped
the rights of all other creatures to the extent of threatening their existence and leading
them to extinction. Even amongst men those with greater control over technology have
manoeuvred larger benefits from nature thereby overdrawn from nature and also from
the share of others. Their flamboyant growth is rooted into overkill, overdig and overspill
which have pushed this spaceship earth towards its final dissolution. The greed to
accumulate and the subsequent rise of the materialistic and consumeristic culture brought
about by the industrial revolution has overstressed the carrying capacity of earth and
broken the harmony of human life. Nations have gone to war for natural resources such
as timber, coal, steel, oil and other minerals and now there are increasing incidents of
nations indulging full fledged battles for water.

27.2.2 Contemporary Understanding of Environment

As nations grow and become materially prosperous these resources deplete and the plain
truth is that there can be no progress without the use of these resources. This has
however become one greatest paradox of social sciences. Yet this progress can be
moulded in a manner that resources are used more justifiably and judiciously in a

157
manner that there is ample time given for their regeneration and recharging. The growth
should also be balanced between the share of the present generation and that which
would come later as well as the share of all living creatures at a given time.

27.2.3 Radical Understanding of Environment

Environment brings with it the problem of socio-economic disparity between nations.
By sheer power of technology and science the rich nations of the North have extracted
out the resources of the poor nations of the South and in their effort to survive these
poor nations have sold off their precious resources to the North on very low rates. The
landscape of earth has become a hostage in the hands of the technologically aggressive
and materially egoistic nations. This has pitted foresight against greed and natural
diversity against monocultures. When resources disappear the first to be lost with them
are those grassroot, aborigines and subaltern communities which had survived upon
them through the ages. The global institutions of trade and commerce such as GATT
(now WTO), G-7 (now G-8 with the addition of Russia) IMF and World Bank have
been structured to assist this policy of resource use. Thus the revelations about
degenerating environmental conditions has consolidated the affected nations and societies
st
against the powerful nations of the North .This world of the 21 century encounters the
daunting challenge of 6 billion population which is soon going to be around 10 billion
ambitiously speeding towards higher living standards through the limited and disappearing
resources available from earth. This battle is in its most crucial stage as it moves into
its last great wave of decision making which would ensure the survival of earth and in
it our own survival.

27.3 KEY ISSUES IN THE ENVIRONMENT DEBATE

The study of environment today is about those momentous choices which nations will
have to make to save the biosphere, their resources, democracy and the nation state
system. The way international politics functioned and influenced the national resource
policies and the political systems of other countries is now undergoing a transformation.
Since the overthrow of the colonialism after the second world war to the publication of
the report ‘The Limits to Growth’ in the beginning of the second developmental decade
in USA national policies subscribed to two entrenched beliefs which had been in
circulation since the industrial revolution: first, that nature exists for man and second,
that environmental conservation is anti-growth, anti-progress and anti-technology.

27.3.1 Scarcity of Resources and Underdevelopment

The Stockholm Conference in 1972 which followed the publication of ‘The Limits to
Growth’ stunned the speeding industrialisation. At the same time the publication of the
book ‘The Silent Springs’ by Rachael Carson shook off the apathy and silence of those
who stood and watched the destruction occurring through the massive destruction of
forests and wild life , irresponsible spread of chemicals in nature and food chain and
the gradual effacing of the community resource systems. Barry Commoner writes:
“Human beings have broken out of the circle of life, driven not by biological need , but
by the social organisation which they have devised to ‘conquer’ nature: means of gaining

158
wealth which conflict with those which govern nature”. The attempts of the
underdeveloped and developing countries to catch up with the West and repeat their
economic miracles, has led to poverty, indebtedness and a steady decline in the supply
of essential goods. The accumulating debt has put the developing countries in a trap of
underdevelopment. These countries are forced to overuse their environment to overcome
the possibility of their liquidation. So much so that the debt services alone amounts to
between six and seven per cent of their gross national products [Parkin 1992:8]. More
than eight hundred million people around the world live below the poverty line with
endemic malnutrition and no access to primary health services. As industrialisation and
urbanisation progresses, the people of the poorer regions lose their habitat and their
resources.

27.3.2 Greater Interdependence of Nations

Since nature does not observe boundaries there are rivers, forests, mineral wealth, wild
life, rich mangroves and aboriginal communities which are spread from more than one
country and their ecological bonds have transcended their political boundaries. Thus any
action by one state sends waves of disturbances to the neighbours. For example the
Indus region between India and Pakistan is a home to some of the rare species of fish
and mangroves while it also acts as a natural wall to the sea currents. Any action of
pollution, effluent discharge or destruction of mangroves affects the resource flow of the
other country as well as the natural protection to their coastal belt. The world wide
bleaching of corals all over the Indian Ocean coastal belt in 1985-86 had been attributed
to the sea bed nuclear tests conducted by France and China. International rivers such as
Rhine in Europe or Ravi between India and Pakistan have remained contentious issues
between them for the development policies which these nations have undertaken at its
catchment zones. The oil fields of Siberia or Kuwait which have spread underground to
other states are presently forcing these states to enforce action against their overuse and
help conservation measures on riparian states. The ozone hole is the best example of
what industrial action in developed states can do to damage rest of the world environment
and health of people. Some developmental action in one state may send earthquakes, sea
storms, hurricanes or even drought in other states. The studies related to geological links
of the earth’s stratosphere, troposphere, hydrosphere and tectonic plate action along
with the revelations from remote sensing technologies have proved that no state could
be given unrestricted and unrestrained right to undertake its industrial adventures. People
are so much affected by environmental crisis that it has even forced them to enter civil
war like situations rendering millions to leave their home and hearth to become ecological
refugees. The UN High Commissioner for Refugees and the International Red Cross
Society are appalled by the ever increasing number of ecological refugees worldwide.
The state sovereignty is restrained by these natural rights of inhabitants of this earth
which are sacrosanct and uncompromising. Unless the global economy is reoriented to
overcome these destructive processes of growth, the wide gap between the living standards
of different countries and their populations environmental crisis is likely to hurt the
democratic process and may also pose a major threat to the nation state structure. The
study of comparative politics as well as security discourses are affected by what one
may refer to as the ecosystem politics which has internalised one of the strongest battles
for power in the international arena. Conventional studies had missed out on this crucial

159
disputes and work concertedly for the betterment of human life and sustainable material
advancement. Global trade and trans-national companies are seen as dominant factors
in pushing their trade agendas into national policies. The journey from Rio (1992) to
Seattle (1999) has demonstrated the rising discontent and rebelliousness amongst citizens
of both the developed and the developing countries against the official insolence towards
environmental demands in their trade policies. Environmental problems are problems of
development and of international cooperation. They are also very much part of a broader
‘system’ and cannot be taken in isolation. However environmental issues are right now
the political problems of the highest order since they have grown in complexity and
often lack the unified political constituency to lobby for them. The degree of degradation,
depletion and degeneration of environmental resources are different in different countries
and so the scale of priority to these varying problems also differs.

27.3.5 Environment and Development Debate

The protection of environment is always associated with some form of visible slowing
of the industrialisation process. This is because many short cut methods and cheap
processes which jump over the limitations of resource availability and community rights
over them are used for rapid production and growth. When The Limits to Growth was
published in USA, the industrialists consolidated their cadres against environmentalists
into an aggressive battle in which they termed them as ‘anti-industrialisation’, ‘anti-
development’ and ‘anti-growth’. The idea which was floated by them was that
environment and development stand against each other and one cannot have both at the
same time.

This debate is an outcome of the two different ways or value systems in which the
environment was conceptualised in the developing and the developed countries. Although
the conservation movement has a class connotation in the sense that the social force
emerging out of it may pose a threat to the fragile agrosystems on which the world’s
40 per cent of the poor eke out a living. It has been referred to as the pretty trees and
tiger syndrome in India. This was quite obvious in the debate that emerged in the United
Nations in 1972 when it completely subordinated the need for environmental conservation
for the developing countries: “It may be premature for many of them to divert their
administrative energies to the establishment of new institutions or machinery” [UN
1972:27]. It was comfortably assumed that environmental action could wait for
development to take over and thus on one hand the developed nations were able to
divest themselves of their responsibility towards funding for environmentally clean
technology, on the other hand they were also able to put off their obligation towards
restricting biodiversity exploitation and climate change. It was in this period that effluent
discharges from the chemical industries, agro-businesses, biotechnology research and
nuclear weapon proliferation programmes ruthlessly devastated the meagre resources
that the South could have laid their hands on. The symptomatic manifestation in the
form of Ozone Hole, the Greenhouse Effect and the Sea-level rise became realities of
the aggressive industrialisation pursued by the developed countries. This principal
weakness that was inherited in the environmental history from its womb led the world
to a stage when solutions always got meshed up into newer problems. The Stockholm
Conference passed 26 main resolutions and 109 recommendations but a review which

163
was undertaken ten years later revealed that it was not just the population explosion that
had nullified development but the enormity and intensity of the toxins in air, water and
land polluted the planet beyond human control. The list of endangered species of plants
and animals had bloated to threaten the very existence of mankind. The World
Conservation Strategy of 1980 for the first time presented a proportionally better view
of the problem diagnosis by linking developmental processes with the environmental
distress and thus laid the foundation of the interlinkages and interdependence prevailing
between the two. It laid at rest the perceived dichotomy between environment and
development and suggested a three pronged action in the following areas:
• Maintenance of essential ecological processes and life support systems
• Preservation of genetic diversity
• Sustainable utilisation of species and ecosystems.
However the World Conservation Strategy was far from indicating the need for political
and social changes which were required to achieve the conservation goals. In the same
year the Brandt Commission Report also acknowledged the threat that would come to
the developmental policies due to environmental deterioration in poor countries yet even
this report failed to point out the various biases splitting the environmental perspectives
from within. An integrative and a wholesome approach towards this problem of
environment got meddled into global politics of natural resources sharing which indicates
the status and availability of resources and their consumption pattern across the globe.
This aspect of resource sharing which bridges the environment-development dichotomy
was brought into an analytical framework by the Brundtland Commission Report of
1987 and its flowering took place in the Rio Meet of 1992 when the Agenda 21
benchmarked areas which sent warning signals to both the North and the South. This
was found to have deep inroads into the political and social structures dominating global
governance systems. The environmental framework for conservation was linked to policies
being adopted to deal with the problems of Population, Urbanisation, Social Development
and Women, and it is here that a combined and coordinated approach towards environment
and development found a foothold. At the Rio Conference which was more appropriately
called the World Conference on Environment and Development or the Earth Summit it
was well understood that environment and development cannot be dealt with in separate
chambers since they question the existing framework of resources sharing between the
rich and the poor nations and within countries between the dominant groups and the
subsistence communities. It raised a fundamental debate on development policies such
as: who pays the price and who benefits out of development projects undertaken by
international donor agencies? An analysis of the consumption pattern of fossil fuels,
forests and pollution rendered to air and water through the pattern of industrialisation
gave sufficient evidence that the consumption pattern of the Northern industrialised
states was the real culprit which had effectively blocked any sane action towards
environment protection. The ensuing debate exposed and explained the persistent apathy
shown by the developed and industrialised states towards restructuring the global
economic and political institutions and, rather diverts attention towards the poverty
trapped nations as the real culprit of environmental degradation. A real leadership was
required in the international system particularly in the United Nations to break through

164
this technological trap and explore a just transition towards a sustainable paradigm of
development. India’s membership in SAARC, G-15 and G-77 can open avenues towards
the sustainability of the new free trade global regimes. In the liberalising and globalising
world, the following areas of environmental studies have become the policy priority for
all environmental organisations:
• Resource use in the context of biodiversity conservation.
• Technology and its Impact on climate change.
• Environmental governance and Impact Assessment of projects.
• The traditional rights of indigenous people over their resources.

27.4 NORTH-SOUTH DIVIDE

Since the Stockholm conference of 1972 it was becoming increasingly clear that the
priorities of the developed and the developing countries were prominently different and
both aspired to achieve them through lobbying in the global environmental conferences.
With each conference it appeared clearer that the polarisation of the industrialised and
the Third World countries tended to become stronger and more consolidated like the
two segregated worlds. The vision of the earth as a planet where they both resided
together became blurred into the emerging politics of resource distribution and sharing
of conservation responsibilities. The debates which emerged out of the different
perspectives of the developed and the developing countries centred round the issues of
the consumer needs vs. the basic needs, the relationship of physical environment to
intractable rural poverty in the Third World and the policy priorities of their governments,
the semantics as well as the terminology used by the developed countries in conservation
measures differed from that used in the developing world as the environmental policies
in the former were largely influenced by the global corporations. It also emerged from
the debate that while the developed world of G-8 was more interested in trade monopoly
and empowerment for liberalising market transactions, the developing world consistently
strived to achieve more justice and equitable sharing in the global trade agenda which
was more appropriately a redistributive agenda for achieving environmental justice.

Several groups emerged and to legitimise the flow of resources from the South
international institutions were also created to legitimise their policies on economic
grounds. Much of this divide between the North and the South had been the result of
the Bretton Woods economic institutions which encouraged and protected the unequal
trade laws in favour of the Northern industrialised states. In 1964 Raul Prebisch as the
Secretary General of the UNCTAD had wisely warned that if this economic trend
continues the North will have to wind up its market prosperity since their trade was
directly linked with the economic and social well being of the Less Developed Countries
of the South. He had thereby suggested that the North should contribute 1 per cent of
their GNP towards the development of the South. However till the Earth Summit in
1992 the South was still asking for this financial commitment from the North which
they drastically failed to attend to. Only four donor countries currently meet or exceed
this level of aid: Norway (1.04 per cent), Sweden (0.94 per cent), The Netherlands (0.94
per cent) and Denmark (0.94 per cent). The United States provides less than 0.2 per cent
of its GDP in official development assistance (ODA) placing it last in the eighteen

165
OECD donor nations.[Hempel 1996:36] .Hence it was branded as the ‘skunk at the
picnic’ during the Rio deliberations. Thus environmental conservation effort became a
lever for redistributing wealth [Hempel 1996:36] and creating institutions for controlling
earth’s finite resources.

The North-South divide is a simple geopolitical distinction to describe the spill of the
global power politics since the Second World War. The rich nations which have attained
a certain level of a comfortable industrial development are led by the Group of the Eight
or G-8, whereas the less developed nations of the South have consolidated into Group
of seventy seven nations or G-77. The G-8 controls the monetary wealth and technology
through which it is able to make benefits out of the raw materials which the South is
forced to sell due to its technological and also financial backwardness. However the G-
77 controls more than 125 nations of the South which have rich biodiversity but they
also have one of the most poverty stricken pockets of the world due to environmentally
devastated land and forests. For these nations of the South it was walking on the razor’s
edge to obtain funding from the North but also to prevent any imposition of eco-
imperialism which comes as a condition to aid. During the Rio Summit the divisions
between the North and the South were quite pronounced in case of the biodiversity
Convention. The richest 70 per cent biodiversity was concentrated in the identified 12
‘mega-diversity’ countries [Mexico, Columbia, Ecuador, Peru, Brazil, Zaire, Madagascar,
China, India, Malaysia, Indonesia and Australia.] The developed countries wanted the
developing countries to take action for the preservation and conservation of their
biodiversity resources. However the cost of the most basic biodiversity protection
programmes were in the range of $ 10 to $14 billion per annum whereas the technological
benefits derived from the genetic resources would go into the pockets of the Western
Trans National Corporations (TNCs) [World Conservation Monitoring Centre: 1992 ].
Therefore the ticklish problems of ‘Biotechnology’, ‘Patents’, ‘Role of TNCs’ and the
much debated ‘Intellectual Property Rights’ added further complications to the acceptance
of the Biodiversity Convention. Despite all odds and strong opposition by its greatest
trading partner USA, Canada was the first industrialised nation to ratify the Convention
on Biological Diversity (CBD) in defiance of its JUSCANZ whip. The three main
objectives of commitment towards Biodiversity Convention related to the long term
collaboration plans between the developed and the developing nations are
i) Conservation of Biological Diversity
ii) Sustainable use of Biological Resources
iii) Fair and equitable sharing of benefits resulting from the use of genetic resources.
Besides Biodiversity, ‘Climate Change’ is another area for international muscle flexing
by the developed countries. The socio-economic consequences of climate change
especially the impact of climate change upon the agriculture based economies of
developing countries will have serious global fallout. Canada’s energy consumption per
capita is among the highest in the world, owing mainly to the large natural resource
availability and the high concentration of the energy intensive industries. This has
resulted into severe environmental problems like the high concentration of nitrates in
rivers, water use, chemical production, auto traffic and nuclear waste, CO2 emissions.
Canada had initially been loyal to its JUSCANZ [Japan, United States, Canada, Australia

166
and New Zealand] group when the climate change initiative was jointly taken up by the
World Meteorological Organisation (WMO) and United Nations Environment Programme
(UNEP) in 1988. The corporations disputed most of the findings of the climate change
panel since they were the producers of most of the greenhouse gases. The industry lobby
especially of the oil companies lobbied through Global Climate Coalition and the Climate
Council another industry group which accompanied the US delegation to the UNEP
meetings. UK had not been directly affected by this pollution since the wind carried
away the pollution towards the Arctic and Europe. Europe and the Alliance of the Small
Island States were directly threatened from pollution and ocean rise which would
submerge their homelands. Thus the JUSCANZ group wanted to weaken the language
of the climate change initiative by diverting the debate to the one on ‘sources’ and
‘sinks’. This reasoning suggests that carbon emissions that a country releases in air must
be counter balanced by ‘sinks’ that absorb the emissions such as the forests located in
the Third World, or by a reduction process through the development of alternative
technologies elsewhere. The Kyoto protocol on climate change came up in December1997
which prescribed that by 2010 emissions of six greenhouse gases [Carbon dioxide,
methane, nitrous oxide, hydrofluorocarbons, perfluorocarbons and sulpher hexafluoride]
were to be reduced to approximately five per cent below 1990 levels. In July 2001 many
developed countries were found bargaining for credit if they were able to reduce
greenhouse emissions by selling technologies to developing countries. US connections
within the JUSCANZ group hijacked the essence of the Kyoto Protocol. As a result of
this, the Bonn outcome compromised on carbon sinks domestic reductions and financing
for underdeveloped nations. Caroline Lucas the British Green Euro MP regretted the US
attitude on climate change saying: “We are fast going to become the only species on
Earth to monitor its own extinction rather than taking steps to prevent it” [Pole, 2001:217].
Sierra Club of Canada an international NGO had shown serious concern about the
warning US Ambassador Paul Cellucci had issued to the other group members for
ratifying the Kyoto Protocol.

The UNCED Meet at Rio had demonstrated that sustainable development comes at high
price. The rich nations of the North had promised to share this additional burden for
developing nations. Regrettably since then, official development assistance (ODA) has
fallen from US$60.9billion to US$53.1 billion. Moreover the donors come with a trap
for the poor nations in the form of good governance or market adjustment programmes.
Thus ODAs which were expected to promote sustainable development only constricted
recourse to alternative models of development. As a result of this noose, developing
nations found an alternative method of funding through foreign direct investment (FDI)
which is investment in country’s business by transnational companies and it has in the
last few years far surpassed the ODA funding. However since all these TNCs belong
to the developed nation groups like OECD and G-8 the new problem that persists in
continuation to the older one is the commitment and preparedness of these new global
corporations towards sustainable development and more appropriately towards sustainable
environmental management therefore the new liberalised trade regime has further polarised
the north-south divide. The consumer society of the West which has been able to
provide a reasonable material security to its people has on the contrary exposed the poor
nations to intractable environmental degeneration and natural disasters. Development
has become more intricately linked to the global market processes and the politically

167
powerful lobbies of the global corporations. The 2002 World Summit on Sustainable
Development in Johannesburg has echoed the concerns for the shortcomings of climate
change initiatives. For the people of the South it is an extremely challenging moment
since all their future growth and development largely depends upon the recognition in
concrete terms of the principles of equity and justice in setting environmental standards.
This enterprising endeavour may be sufficiently supported by the election of the Indian
expert Dr. R.K.Pachauri as the Chairman of the Inter-governmental Panel on Climate
Change. It will be India’s most unenviable task to bring differences within the developed
countries such as that between USA and Canada, the two highest producers of greenhouse
gasses and fossil fuel (Coal and Petroleum) consumers to the negotiating table and at
the same time provide justice to developing economies of the South.

27.5 GLOBAL MARKET AND STATE SOVEREIGNTY

Market has become an important factor in considering and planning any action towards
environmental conservation and sustainable pattern of trade. The globalisation of trade
and the subsequent adaptation of national policies towards an effort to prevent
marginalisation in the international market have led to the subordination and also
reinterpretation of the term ‘environment’. This has manifested itself in all international
organisations for finance and trade such as the UNCTAD, WTO, IMF and the World
Bank. This is also a beginning of the return to aggressive capitalism zealously guarded
by the trans-national companies and thereby it is strongly resisted by the civil society
and peoples voluntary groups all over the world.

Korten recollected Willis W.Harmon’s words that, ‘business has become, in this last
half century, the most powerful institution on the planet. The dominant institution in any
society needs to take responsibility for the whole.’[2001:230] At present when more
than US$1.4 trillion in foreign exchange floats transnationally for speculative profits,
the following two beliefs about business need to be looked into with increased sobriety.
The growth of firms and global companies was so rapid that by mid 1990s the stupefying
statistics was alarming. In 1995 the UNCTAD study found that there were 40,000
corporations in all, they controlled two-thirds of the world trade in goods and services
[Raghavan, 1995:31]. Korten [2001:231] also reports that of the world’s largest
economies, 51 are corporations. Only 49 are countries. The economy of Mitsubishi is
larger than that of Indonesia, the world’s fourth most populous country and a land of
enormous natural wealth.

At present 15 of the world’s largest TNCs have an income larger than the GDP of 120
countries. Therefore the former Chief Economic Advisor of the Indian Government
called them as the new emerging global government ‘A World Inc. Ltd.’ with G-7 as
the Board of Directors. [Kothari, 1993:315] It was evident that this largest institution
of the world was an ambitious starter and had to be hooked and domesticated according
to the needs of the society. The events at Seattle, Prague and Genoa Summits testify the
failure of Corporate Governance in planning a sustainable environmental future. The
rising discontent with the environmentalists, farmers and labour is a manifestation that
Corporate Governance should be accountable to the civil society groups across all
national boundaries where there Corporations are spread. Thus global corporate

168
governance for sustainable development was largely about balancing the demands for
accountability and responsibility towards people and their natural resources. Its three
main pillars were constructed out of its capacity to deal with the issue of scarcity, issue
of carrying capacity and the intra-generational and inter-generational equity and justice
[Singh 2000:52-64].

The trade regime of TNCs has basically three kinds of impacts on environment and on
natural resource use associated with international trade.[OECD 1997]

• The scale effect, which is a positive impact of international trade on economic

growth but it increases environmental damage.
• Composition effect, which is associated with impacts on industrial structure due to
trade specialisation that may be positive or negative on environment depending
upon the country’s specialisation.
• Technical effects, which is the impact of international trade on economy that is
expected to reduce environmental damage and natural resources requirements of an
economy.
As the report says, the net impact of trade on environment is a balance among all these.
Thus international trade delinks the economic and the ecological systems of a country
which becomes the central issue of global corporate governance. The Business Charter
for Sustainable Development adopted by the International Chamber of Commerce (ICC)
in November 1990 emphasised the need for making environmental management the
highest corporate priority. Yet, since then the repeat of corporate environmental crimes
with blatant disregard for the conventions and regulations of the host country has not
only intrigued but scandalised the civilised world. These corporations have traded poverty
of poor nations by affecting national policy changes and host nations have succumbed
to unsustainable policies for short term monetary gains. Land, water, air and forests the
four major resources are severely damaged. Structural adjustment to market friendly
economy has led to the large scale diversion of land from food crops to cash crops,
rivers have been dammed with suspect hydroelectricity schemes, forests are turning into
consumerist monoculture commodities and the freedom to spew greenhouse gases into
air has destroyed the ecological sustainability of countries where their operations are
spread. This structural transformation of economy is creating a mirage of growth which
has also led to macro-economic volatility and political instability. Free trade with
unaccountable corporate actors is only leading to greater centralisation, corruption and
cultural distortions and this by no chance can sustain growth and development on a long
term basis. The craving for FDI and the gradual replacement of ODA by FDI has given
a firm control of resources in the developing countries to the TNCs. Between 1981 and
1996 FDI in the less developed nations has grown from US$31 billion to US$244
billion [IIF 1997, UNCTAD 1995]. Interestingly the official development assistance
(ODA) has been dramatically replaced by foreign direct investment (FDI). In 1990
ODA constituted 56 per cent of long term flows to developing countries but in 1998
while the ODA share came down to 18 per cent FDI increased by five times from 44
per cent or US $ 209 billion to US $ 1118 billion in 2000 [Sharma and Narain, 2002:36-
41]. Thus globalisation and liberalisation has provided greater freedom and a larger

169
space for business in the world. Transnational Companies have become the greatest
players in world economy and the greatest single factor in ecological crisis also. At a
time when the countries are in a stampede for gaining a comparative advantage over
others in foreign direct investment [FDI] TNCs are able to manage a beneficial bargain
vis-á-vis the government. It was on their insistence that the Uruguay round of negotiations
introduced three new areas in it—Trade Related Intellectual Property Rights (TRIPS),
Trade Related Aspects of Investment Measures (TRIMS), Trade in Services. The three
taken together perpetuate their ‘Corporate Monopoly over Third World
resources.’[Shiva1993:243] However the silver lining is that despite the powerful presence
of TNC supporters in the decisive trade talks such as Director General Mike Moore, US
Trade Representative Charlene Bershefsky and the European Union’s Trade Commissioner
Pascal Lamy the people’s organisations could enforce a total turnaround for the TNC
agenda at Seattle. This can be seen as a reaction to the massive privatisation drives
being undertaken which were cutting down on environmental and welfare measures to
pamper TNCs. The World Bank Report , Globalisation, Growth and Poverty,2001
demonstrates that globalisation is the only alternative to poverty and economic
backwardness. The apt comment of Vandana Shiva, ‘either you get integrated into
global market economy dominated only by the objective of profit or you are thrown out
of all economic options for survival.’ [1993:243] This has forced nations to enter the
Structural Adjustment Programmes or more appropriately the Economic Recovery
Programmes in which to maintain their economic targets they overuse and overexploit
their resources. The Case of ENRON Dhabol Thermal Power Station in Maharashtra
fully proves the enormous influence TNCs hold over national governments through the
use of large sum of unaccountable money to push environmentally disastrous projects
into developing countries.

27.6 THE CIVIL SOCIETY MOVEMENT

The process of rapid industrialisation and urbanisation has led the development experts
to undertake mega projects of growth without acknowledging the livelihood requirements
and survivability of the local human and animal communities. Ecosystems have been
ruthlessly destroyed due to lack of proper assessment of their impact thus disturbing the
balance of nature. State and society have distanced since this decade and as a reaction
the society has started consolidating itself against the injustices of the state. The decade
of 1980 witnessed the spread of a large number of mega projects for power generation,
mining, quarrying and meat production. This led to massive deforestation, damming of
rivers and devastating pollution of land, rivers, air and wetlands, grievous loss of milch
cattle and grazing grounds which affected villagers in large numbers. Thus there have
been movements to prevent deforestation like the Chipko in the Himalayas and Apikko
in the Western Ghats, Silent Valley movement against the Kudremukh power project,
Tehri and Narmada movements against the Tehri power project in Garhwal region and
Sardar Sarovar project over Narmada River adjoining Madhya Pradesh, Maharashtra
and Gujarat. Villagers have also organised themselves against the ambitious modernisation
schemes of government. The setting up of mechanised abbatoirs by some transnational
companies in Hyderabad has evoked strong protests not only by the butchers but also
by the Cow Protection Groups of Villagers for fear of losing out their best breeds to

170
such high intensity mechanical slaughtering. In Banaras, the Sarva Sewa Sangh, in
Bihar ‘Ganga Mukti Andolan’ , Panna Mukti Andolan, Mannu Raksha Koota ,Koel
Karo, Mulshi Satyagrahis and the Vishva Machuara Sangathan. Finally in December
1992 the creation of National Alliance for People’s Movement brought more than 150
grassroot organisations together. Even in the West civil society consolidation in the
form of specific issue based grouped such as Tree Sitters, Friends of the Earth, Green
Peace, Friends of the Wolf, Earth Firsters are some of the initiators in consolidating
people’s consciousness against the state power of destruction. However this civil society
consolidation has brought in severe reaction from State administration. The murder of
Ken Saro Wiwa, the leader of the Ogoni Tribe Protection Group against the Shell
Company in Nigeria, killing of Gangaram Kulundia in Bihar who led the Icha-Karhai
Visthapit Sangh and several others rape and molestations of tribal women protestors of
the Green Belt Movement in Africa and Narmada Bachao Andolan [NBA] in India are
some of the few atrocities committed by the state leading to the consolidation and
recreation of Human Rights Movements across the world.

The Seattle Conference of December 1999 has sufficiently demonstrated the unification
and convergence of the civil society groups across national and ideological boundaries
to question the domination of the G-8 countries over environmental policies of the
world. The UN Conference on Environment and Development (also known as the Earth
Summit) was the outcome of an intensive two years preparation of 35,000 people, 106
heads of state or government and 9000 journalists. This Summit gave an unprecedented
access to public interest groups, non-governmental organisations (NGOs) and the business
groups represented through the TNC representatives. The unbalanced production and
consumption levels prevailing in the world and the decreasing official development
assistance (ODA) were pointed out as the villain of environmental sustainability. This
was followed up at the 64th meeting of the Development Committee at Ottawa on
November 18, 2001 under the Chairmanship of Mr. Yashwant Sinha, Minister of Finance
of India. The central concern of the Conference deliberations was the assessment of
Poverty Reduction Strategies. This was further discussed at the Finance for Development
(FfD) Conference in April 2002 at Washington. The Conference emphasised enhancing
the ODA flows and harmonisation of the government agencies with private sector and
the civil society so that poverty eradication exercises could be improved upon.
Environment is becoming highly politicised and intricately woven with global politics.
The spread of communication networks through e-mail, fax and cell phones has
revolutionised environmental activism and made recalcitrant governments more vulnerable
to them. Internationally spread NGOs like the Sierra Club, Friends of the Earth,
Greenpeace, World Wildlife Fund , Gene Camp, Centre for Science and Environment,
Narmada Bachao Andolan, National Alliance for People’s Movement and Navdanya
tend to gang together despite their different origins.

As a result of the increasing civil society protests a multilateral framework for the
environmental review of official export credit activities has been undertaken by the
OECD countries which are a home to the majority of the TNCs. This framework aims
towards ‘Common Approaches on the Environment and Officially Supported Export
Credits’ and sets minimum requirements for the environmental review of OECD supported
projects. The growing corporate lobby is influencing decision making and has been able

171
to delay and deny the adoption of some crucial environmental commitments. The Tenth
Session of the United Nations Commission on Sustainable Development (CSD10) in
May 2002, and the recently concluded World Summit on Sustainable Development
(WSSD) provide an opportunity for reassessment on the platform provided by the civil
society. The themes which have drawn considerable attention may be mentioned as;
• Stewardship for environmental action
• Alternative and Appropriate technology
• Sustainable Communities
• Population and the Environment
• International Governance.

27.7 COMBINING GLOBAL AND LOCAL NEEDS

Environmental protection demands a two pronged action. One, on the global front
where international trade institutions are perpetuating the regime of the trans-national
companies; and the other action has to go down to the grass root level where the
resources are generated and expropriated out of the control of the people who are
generally aboriginals, forest dwellers, subalterns and rural folk. The problem that exists
and would continue to trouble nations is primarily the process of institutional and
regulatory changes in the natural resource policies. The panic for increased FDI flows
threatens environmental demands raised by the grassroots societies. States have been
found to bargain for lesser regulations in trade and environment.
This requires some major changes for good governance which would ensure transparency,
accountability and a more effective clarification of the property rights of communities.
Developing and transitional economies need to cooperate, collaborate and coordinate
their efforts with specialised and expert groups in international organisations to regulate
the just flow of FDI [FDI Confidence Index, 2001:36-38]. As one such group called the
Global Corporate Governance Forum explains in its agenda, “Good governance is a
source of competitive advantage and critical to socio-economic progress” [2002:1]. This
also opens up doors for spurious technology, dumping and tradeoffs between growth
and environment. India and other Third World nations have low ‘income elasticity’ for
environmental protection. Thus the FDI policy becomes arbitrary and contentious. Their
governments make several policy compromises and trade offs on governance. The Enron
exposure reveals the phenomenon of FDI flows to India. This situation can be overcome
only through the establishment of fair, transparent and accountable institutions of
governance. The whole debate on setting standards for environmental action leads one
towards the norms of common heritage, equity and security which have been by far
amiss in international deliberations on development. Their incorporation in environmental
governance demands a thorough restructuring of political-economic institutions in the
world. Democratic governance is the starting point for environmental action but the
TNC dominance has obliterated democratic functioning of institutions. A demand for
deliberative democracy in which citizens directly engage themselves in self-government
or a more participative framework in which representatives are not allowed to hijack the
real issues towards populist policies.[hempel 1996:218]. This leads scholars to return to
Schumacher’s much cherished ideal of ‘Small is beautiful’. Small group settings with
high use of electronic media for a baseline survey of the problem, before coming to

172
UNIT 28 SCIENCE, TECHNOLOGY AND POLITICS
Structure
28.1 Introduction
28.2 Approaches to the Study of Science and Technology
28.3 Objectives of Modern Science and Technology
28.4 Nationalisation of Science and Technology
28.5 Globalisation of Science and Technology
28.6 Science and Technology in India
28.6.1 Achievements for India
28.6.2 Drawbacks for Development in India
28.6.3 The Outlook for Future
28.7 Summary
28.8 Exercises

28.1 INTRODUCTION
In the nation-building efforts, science and technology do play an important role. It has
been said that the growing cleavage between the developed and the developing countries
is no less factored on the evolution of scientific knowledge and dissemination of
technology. No wonder, most countries of the developing world have initiated policies
and strategies to develop indigenous science and technology in order to accelerate the
process of development and at the same time distribute the benefits of new scientific
know-how for the upliftment of the masses. Nevertheless, the appropriate policy package
in respect of developing science and technology indigenously has been underlined by
the political forces operational in any society. In other words, development of science
and technology has increasingly become more a political decision than otherwise.

28.2 APPROACHES TO THE STUDY OF SCIENCE AND

TECHNOLOGY
Philosophers and historians of science have differed in their approaches to the study of
science and in the accounts they have given of its development. There is a divergence
of opinion for example between what may be termed as “internalists” and “externalists”.
The “internalist” school holds that science, both in its content and trajectory of growth,
is independent of social and political forces. For those who consider science as nothing
less than “truth institutionalised”, the community of scientists is something very special
and worthy of emulation. Unlike most human communities, the community of scientists
is often seen by them as democratic, disinterested, tolerant and above all, rational.
Although there are many variations of such a view, this position has been supported in
large measure by such scientists-philosophers as Jacob Bronowski, Michael Polanyi,
Anatol Rapaport, and Jacques Monod.
Many modern accounts of the development of science, however, are “externalists” to a
greater or lesser extent and reflect the belief that social and political factors play an

174
important role in the development of both science and technology. This view emphasises
science as a social activity which is conditioned by the socio-political and economic
context in which it develops. Among those subscribing to such a view of science are
John Bernal, Thomas Kuhn, George Basalla, and Paul Feyerabend.

28.3 OBJECTIVES OF MODERN SCIENCE AND

TECHNOLOGY
Examining the nature and purpose of scientific and technological activity, it may be
noticed that this activity has twin objectives. Firstly, through the acquisition of scientific
knowledge it continuously widens the horizon of man and enlightens his outlook. Growth
of science has led to the shrinking of the area of darkness. Phenomena which held man
in awe and fear are now understood, controlled and taken advantage of. Afflictions of
man which were considered as divine punishment are now understood in terms of their
natural causes and cured.
The other role is to develop, through the creation of new artefacts, materials and goods
to meet human requirements, basic necessities as well as improving the quality of life.
The former include those which are not found in nature, but are exclusively man made.
The growth of both dimensions together help to create a balanced society. The two
dimensions were beautifully expressed in the early stages of the development of science
and technology in Europe.
Science and technology began in Europe as a revolt against the medieval intellectual
outlook and technology as a new mode of production. It was only through the social and
political struggle lasting over two to three centuries that they were able to establish
science as a major intellectual and social activity. The battles which were fought were
many, in which many paid a heavy price. This is evident from the movement of
Encyclopaedists in France, of natural philosophers like Haeckel in Germany, and that
of Thomas Huxley in England. In Russia, and later in China this role was institutionalised
through the communist cadre.
The machine production system was also not able to establish itself without resistance,
and there were many attacks on it besides the Luddites. Further, with regard to the
organisation of the production system, there were many experiments, starting from
Robert Owen and others, with diverse motives and objectives, before the production
system was consolidated in its present form.
Both science and technology created and nurtured a production system which brought
about a change in human outlook, by widening horizon and bringing him out of the rut
of medieval outlook and philosophies on the one hand and provided new resources and
materials, and ushered liberty, equality and prosperity.

28.4 NATIONALISATION OF SCIENCE AND

TECHNOLOGY
The period between the First and Second World Wars was significant in terms of
politicisation of science and technology. National governments in Britain, France and

175
Germany, came forward to provide policy direction and funding to scientific and
technological development in these countries. This trend towards ‘Nationalisation’ of
science was a marked departure from earlier practice of scientific enterprise maintaining
a safe distance from the political sphere. Throughout the 18th and 19th centuries scientists
had carried out research and development in their own independent laboratories without
any political control.

The Second World War and the Cold War gave a fresh impetus to scientific and
technological development under the auspices of national governments. The Manhattan
Project organised by the US government for the development of nuclear energy, including
the nuclear bomb, indicated the direction that science and technology were to take
during the second half of the twentieth century. The US lead in this respect was soon
followed by other great powers like the USSR, France, UK, and China.

Among the developing countries, India and Brazil took steps to frame science policies
to give direction to scientific and technological development. Unlike the great powers,
the governments in developing countries sought to use science and technology primarily
for social and economic development. Agriculture, health, and heavy industry, were the
main areas in which the government provided funding and organisation for research and
development.

However, the developing countries were not averse to providing funding and support for
research projects aimed at increasing their power and prestige. Countries like India and
Brazil, for instance, started supporting research in the fields of nuclear energy and
aerospace soon after the Second World War. In fact the best of scientists and engineers
in these countries could be seen to be working in the key areas of nuclear and space
research.

The difference in financial and educational resources available to the governments in

developed and developing countries was so vast that the gap in their respective scientific
and technological development could not be bridged. Over the decades, the pace of
scientific and technological development in the developed countries has been much
faster than that in the developing countries. Only a few developing countries, like
China, India and Brazil have been able to harness science and technology successfully
for building their economic and industrial capabilities.

As the beginning of the 21st century, the developed countries occupy a position of
dominance in the support and conduct of research and development (R&D). More than
90 per cent of all R&D in science and technology in the present day world is conducted
in the developed countries. Within the developed countries, U.S. R&D expenditures
equal the combined total expenditures of Japan, the United Kingdom, Canada, France,
Germany, and Italy.

Governments continue to pursue broad national and regional efforts to capture the
benefits of science and technology. In addition to emphasising market forces and
liberalisation of investment, their strategies have included strong investments in education
and training. In the latter part of the 1990s, these developments reflected a growing
conviction that some kind of new economic reality was coming into existence; a

176
“knowledge-based” economy, marked by the systematic generation, distribution, and
use of research knowledge for economic gain. This notion, emanating from the United
States and Japan, seemed to be underscored by the positive US economic performance
in the latter half of the 1990s.

Government and industry efforts in several nations may foreshadow the eventual creation
of new centres of scientific, technological, and engineering excellence. China and India
are fast emerging as new technological powers with strong capabilities in most areas of
science and technology. The resulting international knowledge flows may benefit all
nations but will also pose challenges to those seeking to exploit these flows effectively.

In recent decades nations have pursued technological strategies to gain strength in high-
technology areas like space, communications, and bio-technology. High-technology
industries are important to national economies because they produce a large share of
innovations, including new products, processes, and services that help gain market
share, create entirely new markets, or lead to more productive use of resources.

High-technology industries are also associated with high value-added production, success
in foreign markets, and high compensation levels. Results of their activities diffuse to
other economic sectors, leading to increased productivity and business expansion. The
international competitiveness of their products and processes thus provides a useful
market-based measure of the performance of a nation’s science and technology (S&T)
system.

Many decades of support for basic research provide the basis for past and current
innovations that generate economic benefits. During the 1990s, the United States
maintained and improved its position in the exploitation of new knowledge, techniques,
and technologies for economic advantage. By the end of the century, the United States
remained the leading producer of high-technology products, providing more than one-
third of the world’s output. US-based pharmaceuticals, computer, and communications
equipment industries gained in world market share over the decade; only the aerospace
industry lost market share.

The world’s total manufacturing output has been rising during the past two decades, and
the share of high-technology industry products in that output has increased. Worldwide,
high-technology manufacturing rose from 7.6 per cent of total manufacturing output in
1980 to 12.7 per cent by 1998. The high-technology share of U.S. manufacturing output
increased from 9.6 to 16.6 per cent during the period, and the United Kingdom experienced
similar growth. The high-technology output shares of other European Union members
also increased but stayed at lower levels: 11.0 per cent for France and 9.0 per cent for
Germany. In Asia, the high-technology sectors in the Taiwanese and South Korean
economies grew especially rapidly, to 25.6 and 15.0 per cent, respectively, of their 1998
manufacturing output.

Heightened international attention to the economic advantages bestowed by the

exploitation of new knowledge, processes, and products has led to increases in R&D
spending around the world. This broad international expansion is reflected in a gradual
decline of the U.S. share of total R&D performed by member countries of the Organisation

177
for Economic Co-operation and Development (OECD). Nevertheless, at 44 per cent of
the estimated $518 billion 1998 OECD total, the United States remained by far the
largest single performer of R&D. Its R&D expenditures equalled the combined total for
Canada, France, Germany, United Kingdom, Italy, and Japan. By itself, Japan accounted
for 20 per cent, and the European Union accounted for 30 per cent of the OECD total.

The decline in the share of government funds for R&D is a key trend common to all
major industrial nations and many other OECD countries. In the mid-1980s, these
nations derived an average of 45 per cent of their R&D funds from government sources;
by 1998, this figure had fallen to less than one-third. The relative retrenchment reflects
the broad growth of private sector industrial R&D, reductions in defense R&D in some
key nations, and broader economic and spending constraints on governments.

28.5 GLOBALISATION OF SCIENCE AND TECHNOLOGY

The expansion of national R&D efforts in many countries is taking place against the
backdrop of growing international collaboration in the conduct of R&D. The end of
divisive Cold War, expansion of convenient and inexpensive air travel, and advent of
the Internet have facilitated scientific communication, contact, and collaboration. More
R&D collaborations can be expected to develop with Internet-facilitated innovations
such as virtual research laboratories and the simultaneous use of distributed virtual data
banks by investigators around the globe.

Indications of this growing international activity can be drawn from the behaviour of
researchers, firms, and inventors. A rising share of the world’s scientific and technical
publications has co-authors who are located in different countries. U.S. investigators
play a major part in these collaborations, and their co-authorship ties extend to a wider
range of countries than those of scientists and engineers in any other nation. Regional
research collaborations are also growing stronger among European and Asian countries.

Greater global collaboration is not limited to the conduct of scientific research. In many
countries, foreign sources of R&D funds have been increasing, underlining the growing
internationalisation of industry R&D efforts. In Canada and the United Kingdom, foreign
funding has reached nearly 20 per cent of total industrial R&D; it stands at nearly 10
per cent for France, Italy, and the European Union as a whole. Foreign R&D funding
remains low in Germany, however, and it is negligible in Japan.

The United States is attractive to foreign firms because of its technological sophistication
and size of the market. R&D spending in the United States by foreign affiliates rose to
a record $22 billion or 15 per cent of company-funded R&D in 1998. U.S. affiliates of
European companies (including Daimler-Chrysler) accounted for 72 per cent of this
total, the Asian/Pacific region for 14 per cent (four-fifths Japan), and Canada for 11 per
cent. Foreign-owned subsidiaries of firms in particular countries tend to be concentrated
in particular industries (e.g., computer and electronic products for Japan). Also in 1998,
715 R&D facilities were operated in the United States by 375 foreign-owned firms.
Japan owned 35 per cent of them; Germany and the United Kingdom each owned 14
per cent.

178
US firms are also investing in R&D conducted in other locations. R&D spending by US
companies abroad reached $17 billion in 1999, rising by 28 per cent over a brief three-
year span. More than half this spending was in the areas of transportation equipment,
chemicals (including pharmaceuticals), and computer and electronics products. Both
inflows and outflows of foreign funds are dominated by manufacturing sector R&D.
Relatively low levels of service sector R&D spending suggest a greater difficulty in
exploiting non-domestic locations.

Globalisation is also indicated by the strong growth of international patent families,

which are patents filed in multiple countries covering the same invention. Their number
has grown from 249 in 1990 to 1,379 in 1998. This development indicates the globalisation
of both markets and intellectual property. It also suggests increasing access to knowledge
and know-how flows on a global scale.

28.6 SCIENCE AND TECHNOLOGY IN INDIA

Science & Technology (S&T) has always been an integral part of the Indian culture.
Natural Philosophy as it was termed in those ancient times was pursued vigorously at
institutions of higher learning. The contributions made by the scholar-scientists
Aryabhatta, Bhaskara, Brahmagupta, Dhanvantari and Nagarjuna, to name a few, to the
fields of mathematics, astronomy, medicine and chemistry during the prehistoric period
are legendary and invaluable not only to Indian S&T but also to the knowledge base of
the humanity at large.

The astronomical observations at Jaipur and New Delhi and the Ashoka Pillar in New
Delhi stand as living testimonies to the high standards of Indian capabilities. The dawn
of the present century witnessed great strides made by Indian scientists like Srinivasa
Ramanujan, J.C. Bose, P.C. Ray, Meghnad Saha, C.V. Raman, S.N. Bose, Birbal Sahni,
P.C. Mahalanobis and M. Visvesvarayya, who have left indelible imprints on the world
S&T scene.

The innate ability to perform creatively in science came to be backed with an institutional
set-up and strong state and political support after country’s independence in 1947. Since
then the Government of India has spared no effort to establish a modern S&T organisation
in the country. India’s first Prime Minister Pandit Jawaharlal Nehru gave whole-hearted
support to a concerted programme for the promotion of S&T in the country. As a result,
many new S&T departments and laboratories were set up and the pursuance of scientific
research started in an organised manner.

Jawaharlal Nehru firmly believed that Science and Technology can be the twin tools
that would help bring about social equity and economic development to enable India
join the mainstream of the world community. This conviction was reflected in the
Scientific Policy Resolution (SPR) of 1958, the aim of which was “to foster, promote
and sustain the cultivation of sciences and scientific research in the country and to
secure for the people all the benefits that can accrue from the acquisition and application
of scientific knowledge”.

179
28.6.1 Achievements for India
The commitment of Indian Government to promote socio-economic growth of the country
through the use of S&T has shown remarkable successes in a short span of five decades.

India today ranks as one of the few developing countries, which have achieved self-
sufficiency in food production. The country has endeavoured to fulfill the basic needs
of healthcare and housing for a large section of its people.

In the field of basic research, the country has done notably well and has established
major research groups with world-class capabilities in various emerging and frontline
areas of Science & Technology. Some examples are the areas of Molecular Biophysics,
Molecular Biology, Neuro-biology, Liquid Crystals, Biomedical Devices,
Superconductivity, Condensed Matter Physics, Astronomy and Astrophysics, Powder
Processing and Advanced Materials, Organic Chemistry, Solid Sate and Surface
Chemistry, Numerical Weather Prediction, Parallel Processing and Atmospheric Sciences.

India occupies a unique position in the world having formulated its own nuclear
programme and cultivated self-reliance in areas of reactor technology and its entire
associated fuel cycle. The country designs, constructs and operates nuclear reactors,
fabricates the require fuel—reprocesses it, and treats the waste generated in the entire
fuel cycle in a comprehensive manner by a totally indigenous effort.

Similarly, in the high-tech area of space research India can now design, build and
operate state-of-the-art communication and remote sensing satellites as well as launch
1000 kg class remote sensing satellites into polar sunsynchronous orbit. Many of the
technologies developed for the nuclear and space research programmes are now finding
their way into the market and being used in other sectors. Indian industry is striving to
keep pace with these developments.

Yet another achievement which speaks of high level of S&T capability of India is the
development of supercomputers—only a few advanced countries have this capability
today.

In the field of Aeronautics, the country has developed and successfully flown an all-
composite trainer aircraft. Projects are in hand for the development of Light Transport
Aircraft and Light Combat Aircraft.

A large number of technologies have been developed and commercialised for various
chemicals, including petrochemicals and agrochemicals; industrial catalysts; drugs and
pharmaceuticals; biomedical devices; food processing; leather processing and products;
engineering materials and equipment; electronic equipment and construction materials,
to cite a few. Many of these technologies have also been marketed abroad, an indication
of their global competitiveness.

Special mention may be made of the technologies developed for industrial catalysts,
such as Encilites, for producing important petrochemicals like p-xylene, ethylbenzene
and olefins, and for drugs such as AZT (anti-AIDS), Etoposide (anti-cancer) and
Centchroman (non-steroidal oral contraceptive).

180
Micropropagation of several trees and crops by the plant tissue culture technique,
development of ELISA and PCR techniques and DNA probes for detecting enteric
pathogens in drinking water, development of toxinogenic oral vaccine for cholera and
conversion of molasses to ethanol using a special yeast strain are a few examples of
achievements made in the field of Biotechnology.

The major programmes being pursued in the field of marine sciences include exploration
and exploitation of living and non-living marine resources, study of air-sea interactions,
coastal zone management and scientific expeditions to Antarctica. India has established
its reputation for carrying out oceanographic surveys. A major assignment completed
was the comprehensive survey of the Caribbean waters under the CORE project.

India’s success in exploration and survey of deep sea polymetallic nodules has earned
it the distinction of being registered as a Pioneer Investor under the UN Convention on
the Law of the Sea which has recently come into force. An area of 150,000 sq. kms has
been allotted in the Central Indian Ocean to India for survey, exploration, and ultimate
retention of 75,000 sq. kms. of high abundance area.

28.6.2 Drawbacks for Developments in India

Inspite of these significant achievements, a very large section of Indian society has not
benefited much from the advances in science and technology in and the world. The main
reason for this is that in contrast to European developments, the introduction of science
and technology in India had little or no developmental background. It was introduced
as an instrument of British colonialism, in the form of foreign products sold in the
country. Major changes were introduced in the native economy to meet the demands of
raw material procurement and marketing of products which adversely affected the people.

Later, when limited industrialisation was introduced in India, it was created around
imported technology so that the dependence on British heavy industry continued. This
created a dual production system, and the two systems came to be known as “Indian”
and “foreign”. The former got associated with nationalism. Under the impact of national
movement, and Gandhian ideas, it got incorporated as one of the possible alternative
systems of production. It tried to avoid the excessively centralised, dehumanised and
exploitative character of organised industry. This duality continues to this day in scientific,
technological, and industrial planning of the country, with philosophic, national, social
and cultural overtones.

The reason for the lack of success of indigenous science and technology lay in the
nature of the infrastructure built for science and technology, i.e., the education system
and the technical system. The institutional structure was shaped to meet the requirements
of the industrial units built around imported technology. It did not interact, and was not
meant to, with existing small scale industrial infrastructure in the country. In addition,
science education and technical research system was not a result of natural growth, but
was imposed from above and was created in the image of the institutions abroad. The
science and technology system was thus socially and culturally isolated from the grassroots
of Indian society and economy from the beginning.

181
This was in sharp contrast to the experience of Europe, and later Japan, where the
emerging science and technology continuously interacted with the cottage and small
scale industries, with the objective of better utilisation of raw materials, improving and
up-scaling the production system and improving the quality of products. The institutional
structure of education, technical expertise and research and development in these countries
was shaped to meet the requirements of industry and also to continuously interact with
it.

Being dependent on government support, science and technology in India became

extremely bureaucratised and could not play the role of bringing about social
transformation. Most significant choices of alternatives in science and technology were
made through the medium of what C.P. Snow has termed as “closed politics”. The term
refers to “any kind of politics in which there is no appeal to a larger assembly in the
sense of a group of opinions or an electorate, or on an even bigger scale what we call
loosely ‘social forces’.”

Science as an academic discipline was introduced in India much later than foreign
technology. It was not part of an intellectual and social revolt, against the then prevailing
outlook and attitudes, nor did it become an instrument of fight against superstitions and
obscurantism. Consequently, its concepts and ideas could not become a basis for
generating a new outlook and value system. Being associated with foreign rule and
education, its ideas and outlook were not understood by a large number of people. In
other words, the manner and the language of introduction of science and technology in
India came effectively in the way of the proper appreciation of the role of science as
an intellectual effort and the dissemination of scientific knowledge, ideas and values
amongst the people.

In addition, this limitation of science also isolated the scientists from the people, their
problems, social attitudes and general ethos. Scientists came to be concerned in such a
situation, increasingly with esoteric professional work, research projects, and scientific
investigations. Much of the activity of the scientists was connected with institution
building, rather than evolving a wider role for science and technology in the society.

Consequently, the growth of science and technology in India has been partial and
superficial. The scientific temper in society, which Nehru tried to develop, is yet to take
roots. The vast majority of people, not being exposed to science and technology, are
unable to understand its implications or benefit from the gains of development. They
still look towards traditional ideas and beliefs for guidance, and solution of their problems.
Having grown up in age old traditions, cultural ethos and outlook, their hold on traditional
beliefs becomes stronger when they feel insecure and threatened. This explains the
growth of irrationalism and obscurantism even as India has moved into the 21st Century.

28.6.3 The Outlook for Future

After analysing the interaction of science technology and politics in India and the world
over more than half century, it is clear that as we progress into the new millennium, the
outlook is bright. The Indian industry—for example, the pharmaceutical industry—is
developing fast and it is good to see their recognition of the importance of not only

182
applied research but also basic research. The hold of bureaucracy over the scientific
establishment is also decreasing, and the government is keen to encourage private sector
participation in scientific and technological development. There is also an emergence of
a large number of non-governmental organisations concerned with science and technology
which are committed to protecting and promoting the interests of the people. These
trends indicate a bright future for the growth of science and technology in India.

28.7 SUMMARY
Science and technology has been variously viewed as democratic and rational or a social
activity conditioned by the socio-political and economic context in which it develops.
Its objectives are to enlighten mankind and to meet human requirements and necessities
improving the quality of life. In the period between the First and Second World War,
British, French and German governments came forward to give policy direction to
scientific and technological development leading to the nationalisation of science and
technology. The pace of scientific and technological development in developed countries
is much faster than that in developing countries. Technological innovations have been
made in age, health, heavy industries, nuclear and space research, communications and
bio-technology. The international competitiveness of a nation’s products provides a
useful market-based measure of the performance of its science and technology system.
The economic advantage of new knowledge and processes has led to increased research
and development (R&D) spending around the world. There is also growing international
collaboration in the conduct of R&D with the end of Cold War and expansion of
inexpensive air travel and internet. R & D spending in a country by foreign and private
affiliates is also increasing. India has done well in basic research, establishing major
research groups with world class capabilities but its relative lack of success lies in its
infrastructure built for science and technology and its lack of interaction with the existing
small-scale industrial infrastructure in the country. The institutional structure of education
and R & D was not suitably shaped to meet the requirements of the country. But with
the hold of bureaucracy decreasing and the private sector participation in scientific
development, the outlook seems to be bright.

28.8 EXERCISES
1) How has the study of science been approached by philosophers of science? What
are the objectives of science and technology?
2) What led to nationalisation of science and technology? How has its development
varied in developed and developing countries?
3) What accounts for globalisation of science and technology?
4) What are India’s achievements and drawbacks in the development of science and
technology?

183
UNIT 29 DECENTRALISATION AND
PARTICIPATION
Structure
29.1 Introduction
29.2 Concept of Decentralisation
29.2.1 The Concept
29.2.2 Types of Decentralisation
29.2.3 Recent Thinking
29.3 Concept of Participation
29.3.1 Development Perspective
29.3.2 Democracy Perspective
29.3.3 What is meant by Participation
29.3.4 Nature and Types of Participation
29.4 Benefits of Participation
29.5 Participative Development: Problems and Prospects
29.6 Summary
29.7 Exercises

29.1 INTRODUCTION
There is a world-wide trend now to involve people in collective problem-solving.
Democracy becomes a reality when people are able to take active part in decision-
making relating to their own problems, be it conservation of forests or local environmental
improvement or any such issue that affect them vitally. Decentralisation and Participation
assume crucial importance in this context. Government has to be as near as possible to
the people; and there must be ample scope for the people to participate in the governing
process. In the present unit of this course, we will concentrate on the meaning of the
two concepts of decentralisation and participation, and explain their significance for
people-led development, as distinguished from bureaucracy-led or expert-led development.

29.2 CONCEPT OF DECENTRALISATION

29.2.1 The Concept
Generally, decentralisation is understood to involve transfer of power and responsibility
from national (or central) government to subsidiary levels that may be regional, municipal
or local. A distinction is made, in this context between de-concentration and
decentralisation. The former term is used when central government offices are moved
to regions, but remain under the control of the central government. In India, district
administration is an example of de-concentration, whereby state government creates an
office of the district collector as a sub-state unit under the control of examples of
decentralisation proper, as a new type of government is set up which is not a unit of

184
state government, but a fairly autonomous ‘government’ with independent powers derived
from law and local political will.

Decentralisation has been looked at a singularly useful mode of administration to deliver

the public services from convenient local centres close to the clients’ locality. Bringing
administration to the doorstep of the citizen and forging a direct relationship between
the client and the administration have been the driving force behind decentralisation in
most developing countries.

Brian Smith in his authoritative work on Decentralisation has mentioned that in the
Third World “decentralisation has long been regarded as a necessary condition of
economic social and political development.” As he describes, democratic decentralisation
has been favoured for a variety of reasons:

First, decentralisation has been found to be a more effective way of meeting local needs
than central planning.

Second, it has been particularly useful in meeting the needs of the poor and in enabling
the large majority of the rural poor to participate in politics.

Third, decentralisation is said to have improved access to administrative agencies and

acted as a corrective to people’s apathy and passivity. In this process, it has helped
secure people’s commitment to development.

Fourth, support for change through people’s involvement, conflict reduction, and
penetration of rural areas have been made possible through decentralisation.

Fifth, decentralisation has eased congestion at the centre, provided more speed and
flexibility during implementation.

Sixth, local democracy has been satisfying for local subgroups and thus, it has
strengthened national unity.

Seventh, in the old liberal political sense, decentralisation has served the purpose of
political education of the masses.

Finally, local community support for government work has been able to harness local
resources and self-help efforts for local development.

The urge for decentralisation has come from many sources. Firstly, it has been prompted
by the need to deliver the basic public goods like food, housing, and water and so on
as quickly as possible from local units of administration. Secondly, most people in the
developing countries live in rural areas which are away from the national capital located
in distant urban and rural areas. Administration has to “penetrate” the rural areas and
link these up with the nation as a whole. Thirdly, in many countries social diversities
manifest themselves in ethnic, linguistic and religious differences. Administration needs
to be decentralised in response to regional diversities. Fourthly, regional and local
resources can be utilised for area development and localities. Decentralisation, therefore,
facilitates local planning and development with the help of local resources. Fifthly,

185
decentralisation has its own value in political and administrative terms. Politically, local
participation in development activities, besides being resource intensive, paves the way
for meaningful articulation of local demands. Planning, thus, becomes much more realistic
and receives ready political support.

From the administrative point of view, local capability to govern local areas increases
through sustained participation in local decision-making. Decentralisation is expected to
release local energies and enlist local support for development activities. In the process,
the local community can steadily attain political and administrative maturity.

29.2.2 Types of Decentralisation

In this context, three types of decentralisation can be identified: (a) Political, (b)
administrative, and (c) fiscal. Transfer of power is at the heart of political decentralisation.
Political relations and responsibilities between new or existing levels of government are
refined in such a way that the power of lower-tier authorities is increased. Administrative
decentralisation is characterised by the establishment of central government offices and
infrastructure in local communities or regions. This is also known as ‘deconcentration’
as earlier discussed. Fiscal decentralisation takes place when financial resources are
transferred to local authorities who are granted power to raise taxes. Successful
decentralisation is the result of both political and fiscal decentralisation.

29.2.3 Recent Thinking

As the countries in the world today get more and more interlinked in terms of trade and
financial flows, two contrasting phenomena assume significance: globalisation and
localisation. The first represents progressive integration of the world’s economies requiring
national governments to reach out to international partners, bilaterally and multilaterally.
The second reflects the growing desire of people for a greater voice in their government.
It pushes central governments to reach down to regions, cities and localities, generating
in the process political pluralism and self-governance around the world.

The World Development Report 1999/2000 points out that “some 95 per cent of
democracies now have elected sub-national governments, and countries everywhere—
large and small, rich and poor—are developing political, fiscal, and administrative
powers to sub-national tiers of government.” The Report observes that successful
decentralisation improves the efficiency and responsiveness of the public sector, while
accommodating potentially explosive political forces that press for localisation.

29.3 CONCEPT OF PARTICIPATION

The discussion on participation has been going on from two complementary perspectives:
the democracy perspective and the development perspective.

29.3.1 Development Perspective

As discussed earlier, development projects were earlier conceived, planned, executed,
operated and maintained by “outsiders”. People receive benefits with very little

186
participation in the actual process of development. Development of people was also
mostly understood as improvement in physical facilities such as houses, roads, drinking
water facilities, health centres.

It failed to address social issues, and its limitations were as under:

• Unequal distribution of development benefits among different sections of the
population;
• Increased dependency of people on external resources;
• Indifference of people towards the facilities created;
• Heavy spending by the government on replacement, operation and maintenance of
the facilities created;
• Depletion of natural resources due to over utilisation; and
• Under-utilisation of inputs when unsuitable for use (refer to the example of washing
slabs provided under the environmental sanitation project).
A number of field-based research studies, reviews and evaluations of development
projects conducted in the beginning of the 1970s identified this approach as “top down”
and severe criticisms were levelled against this development model. The findings of
these studies also demonstrated that the problems mentioned above originated mainly
due to excluding people from the development process and considering them as mere
beneficiaries. This finding along with other political developments at that time, such as
the women’s movement, environmental movements and greater involvement of NGOs
stressed the need for an alternative development approach.

In the late 1980s a new philosophy began to emerge, which gave rise to a gamut of
approaches to involve people in the process of development. This approach as a whole
came to be known as the “participatory development approach.”
The participatory development approach emerged out of the shortcomings of the top
down approach. The new paradigm suggests that all processes should begin with the
people who know most about their own life systems. It will have to value the existing
knowledge and skills and build on them. The newer approach believes that communities
should develop their own means to achieve self-development and any support coming
from outside should only facilitate this process.
It was discovered that most development projects implemented from the top could not
address the problems sufficiently. Instead, what is needed is people’s own efforts to
identify, project, implement and evaluate project for their felt needs.
a) Development has to be holistic rather than fragmented. It is necessary to develop
interdisciplinary methods of intervention.
b) Qualitative information from the people is as valid as quantitative data and is often
more insightful.
c) Development with and for the people involves a change in relationship between the
partners or stakeholders, a demand for dialogue and experimentation with different
forms of people’s participation.

187
d) This also works on the basis of respect for people’s culture, beliefs and ways of
coping with life. Also there is an understanding that development practitioners are
part of a learning process.

29.3.2 Democracy Perspective

The other perspective from the democratic angle is of generic importance. Conventionally,
democracy has been more procedural than real. Regular elections, fundamental rights,
freedom of speech and expression and an independent judiciary have been acknowledged
as institutional prerequisites of democracy. But, actual operations of government have
often been without taking the people in confidence and without associating the people
in the decision-making processes. This has affected the legitimacy of government in
both developed and developing countries. It is in this context that the role of participation
assumes significance to bridge the gap between government and people.

29.3.3 What is meant by Participation?

Now, we can define participation and discuss its salient features. The elements of a
definition are as follows:

Voluntary contribution of people towards the project cost, giving information to people
about the project and vice versa, getting people to use the project inputs, asserting one’s
points of view in project implementation, and active involvement of the people in the
process of decision making at all stages.

In fine, participation is “a process by which people, especially the disadvantaged, influence

policy formulation and control design alternatives, investment choices management and
monitoring of development interventions in their communities.”

29.3.4 Nature and Types of Participation

One can raise at this point a question about the nature of “participation”. Two concepts
have been in use in this field which are not synonymous: popular participation and
community participation. The former is related to appropriate mechanisms (election,
panchayati raj etc.) through which people are involved in political, economic and social
life of a nation. By contrast, the latter connotes direct involvement of the people,
especially the poorer and more disadvantaged sections of the population, in local
development affairs. Hence, the latter concept has been used in the sense of participatory
development.

Different kinds of participation have been conceptualised in this context on the basis of
different criteria. For instance, “authentic participation” has been distinguished from
pseudo-participation, as the latter kind of participation limits community involvement
to mere implementation or notification of decisions already taken by external agencies.
By contrast, authentic participation involves the community as a whole in all the processes
of local development decisions. Further, this kind of participation requires widespread
social structural changes and a massive redistribution of power. Paulo Friere gave vent
to this feeling of authenticity as he wrote: “Policies carried out by a rigid bureaucracy

188
in the name of the masses to whom they are transmitted as order are one thing with their
critically conscious participation in the reconstruction of society, in which the necessary
never become slogan.”

Another way of classifying participation is to look at it from the point of view of motive
force of participation. Thus, there can be “coercive participation” where people are
forced to participate inspite of opposition or lack of willingness.

A second category of “induced participation” will be with the help of certain allurement
and inducements like money or payment in kind.

A third category has been called “spontaneous participation” characterised by people’s

voluntary and autonomous action unaided by government or any other external agencies.
This last category is more of an ideal kind, as social workers have generally noticed that
deprived communities rarely function autonomously, and their capacity for collective
action needs, at least initially, the leadership push from an external agent—be it a social
worker or a political leader. As Robert Chambers has put it bluntly: “However much the
rhetoric changes to ‘participation’, ‘participatory research’, community involvement,
and the like, at the end of the day there is still an outsider seeking to change things”.

As already pointed out, contemporary ideas about community participation in the sense
of mobilisation of the poor and the disadvantaged for active involvement in local decision-
making to accelerate local socio-economic development and to ensure equitable
distribution of the benefits of development, are of comparatively recent origin. During
the last three or four decades, development theorising has shifted from emphasising
macro “economic growth” as the motor of development to benefits to targeted groups
via basic needs approach, defined by external experts working as change agents. It is
only recently that social participation has entered into the definition of poverty-related
development agenda. As the development paradigm shifted, especially after the Earth
summit of 1992, to integrate local communities as key actors of defining development
priorities, models based on participation, knowledge-sharing and two-way communication
began to emerge steadily.

29.4 BENEFITS OF PARTICIPATION

The reorientation of development thought towards the people-centric participatory mode
has led to the acknowledgement of the value of “participation” as a facilitative
development “process”. The major benefits flowing from participation have been identified
as follows:

a) In the planning and programming stages and throughout the implementation of

development projects, the participatory process provides important information,
ensuring thereby congruence between objectives of development and community
values and preferences.

b) By rationalising manpower resources utilisation, the process is likely to reduce

project cost.

189
c) Any change brought about through development will be ‘politically’ acceptable to
the community if the local people are involved in setting the stage for change, and
mistakes are more tolerable if these are made by people who have to live with them.

d) Monitoring is better, and sustainability of the project is more likely even after
withdrawal of the external agent, be it government or NGO agency. Field experience
tells us that when people have a direct stake in the provision of their services, they
fix things or call attention to them when there is any malfunctioning.

e) The community learns from its own involvement, and from this point of view,
participation is a two-way learning process in which both the administrator and the
people become co-learners.

f) Active community participation helps rebuild community cohesion and installs a

sense of dignity into the community. People gain in confidence and steadily emerge
as real actors in the development drama. To participate is to act, and to become a
“subject”, as against just a passive ‘beneficiary’ dependent on “gifts” from outsiders.

According to Paulo Freire, being human is to be a “subject”, with capacity to think and
act, “objects” are thought about and acted upon. Development is something which
cannot be done to or for a person, but must be done with them.
Three Attributes of Participation
In this context, Oakley has identified three manifestations of participation. These are:
i) Contributions by target groups to pre-determined projects, which can be local labour,
money, land or other resources.
ii) Organisations, structured and supported either by development workers or by the
people themselves, and
iii) Improvement through, for example, acquisition of new management, negotiation or
decision-making skills that enhance people’s capability and tend to alter local power
structure.
Essentially, participation represents action, or being part of action like the decision-
making process. Under conditions of scarcity and competition for finite resources,
participation introduces the possibility of equity into resource distribution. The other
important feature of participation is its consciousness raising force. Critical consciousness
and awareness, as Freire said, are basic to sustaining participation. Otherwise one-time
project-based participation has the tendency to exhaust participation after the completion
of the project.

29.5 PARTICIPATIVE DEVELOPMENT: PROBLEMS AND

PROSPECTS
Advocates of community participation are many and varied. At one end of the spectrum
are the idealists with profound faith in community cohesion and collective grassroots
wisdom; and their argument in favour of participation almost verges on the construction

190
of a sovereign local community outside the ambit of the state. At the other end are the
more pragmatic social workers who strongly believe that community help. In the process,
costs are minimised for construction as well as maintenance. Participation thus serves
the dual purpose of local and national development.

Critics have pointed out that in this kind of formulation, moral sentiments tend to
overtake conceptual rigour, and therefore, participation “has popularity without clarity
and is subject to growing faddishness and a lot of lip service.” Serious analysis of local
community life reveals differentiation in terms of status, income and power. Conflicts
and rivalries are not uncommon even among the poor and the underprivileged. One of
the reasons why Ambedkar was critical of Panchayati raj was precisely this: village
societies had traditionally been divided along caste, class and communal lines. The
romantic vision of frictionless, harmonious community life did not tally with the ground
reality in rural India.

Autonomous local community participation for grassroots development has been

conceived as an antidote to top-down, benevolent and paternalistic development. Reality,
however, is very different. External intervention by social workers or political activists
has been found necessary almost everywhere to organise the local community and
mobilise the local people against the oppressor or for articulation of local demands.

It has also been observed that there is an imaginary notion of continuous activism by
the local people behind all discussions on community participation. The poor work hard
to eke out a living and are not so easily available for permanent activism. Total and
continuous commitment to activism is more a revolutionary’s dream than the poor
people’s actual behaviour.

There are critics who doubt the efficacy of community participation in bringing about
radical change in the life of the poor and the underprivileged through autonomous local
action only. Small changes are not ruled out, but community participation to be really
effective needs profound social structural change at both domestic and international
levels. Community mobilisation cannot, on its own, correct the basic social imbalances
that have their roots in deeper socio-economic layers of the society. The Marxist argument,
for instance, has been that participatory development within the framework of capitalist
mode of production is unworkable; the purpose of participation is to diffuse revolutionary
movements and create an illusion of solution. The state, under conditions, of capitalism,
seeks to subvert popular movements through manipulative cooptation of the poor (via
participative structures). ‘Participation’, in this view, is a conscious attempt on the part
of the state to co-opt the poor and at least to outwit their leaders. It is anti-revolutionary
and pro-establishmentarian.

The Role of the State Community participation viewed in functionalist developmental

term misses the fundamental role of the state in helping or hindering participation. In
other words, a proper understanding of participation begs a theory of the state. As James
Midgley has observed, “there are a variety of social sciences theories of the contemporary
state which evoke different images of state-society relationships. While Marxian and
elite theories are pessimistic about the possibility of community participation, liberal-
democratic and pluralist theories are much more helpful.”

191
Community participation, from the state’s point of view would depend on the definition
and purpose of such participation, state’s perception about its role, and the political will
to decentralise power and resources to local political institutions.

29.6 SUMMARY
Decentralisation and participation assume critical importance in terms of making
democracy a reality. Decentralisation means transfer of power from a Central government
to regional, municipal or local levels. Successful decentralisation should be political,
administrative and financial. Participation means active involvement and voluntary
contribution of people in the process of decision-making. There are two perspectives on
participation. One is the development perspective which was earlier understood as
improvement in physical facilities such as houses, roads and drinking water facilities
etc. Now it involves people’s own efforts to identify, implement and evaluate projects.
The second perspective is the democracy perspective which seeks to fill the gap between
the government and the people with the process of elections, freedom of speech and an
independent judiciary.

Critics of participative development say that it is popular without having any clarity and
that there are a lot of conflicts and rivalries even at the local levels. Autonomous local
community participation is seen as an anti-dote to a top down paternalistic development.
Thus participation is seen as an attempt by the state to co-opt the poor, and in the
process subvert popular anti-establishment movements.

29.7 EXERCISES
1) How do the concepts of decentralisation and participation help make democracy a
reality?
2) Write a short note on the types of decentralisation.
3) In what respect does the democratic perspective of participation differ from
development perspective?
4) Write a short note on the benefits of participation.

192
UNIT 30 HUMAN RIGHTS
Structure
30.1 Introduction
30.2 Meaning of Human Rights
30.3 Evolution of Human Rights
30.4 Western Perspective of Human Rights
30.5 Socialist Perspective of Human Rights
30.6 Synthesising Civil - Political and Socio-Economic Rights: Emerging Trends
30.7 Constitutional Protection of International Human Rights Standards
30.8 Violation of Basic Rights
30.9 Summary
30.10 Exercises

30.1 INTRODUCTION
One of the perennial issues of politics has been the problem of striking a right balance
between the rights of the individual and the authority of the state. While authority of
the state is essential to maintain order and stability in the state, the rights of the individuals
are essential for enabling them to develop their personality and to lend a happy and
prosperous life. “Rights” and “authority” are not opposed to each other, they complement
each other, and they shape each other’s nature and content. Rights can find better
protection in an orderly and stable political system.

The relationship that exists between individuals and their governments, at a given point
of time, determines the very nature and content of human rights. Also, the type of
political system a country has determines the extent of human rights protection available.
Therefore, most modern political systems are generally labelled as democratic or
authoritarian depending on the degree of human rights guaranteed to the citizens. In an
ideal political system, the individual’s personal liberties and restraints, or rights and
duties would be so organised that the rights and duties of others are not jeopardised. In
other words, in such a political system, every individual should enjoy the maximum
freedom to do as he pleased, compatible with the rights of others to do the same.

There are many reasons why governments are created by human beings. Social and
political theorists and politicians have answered this perennial issue. Among the many
useful functions that governments serve in modern times, most of them are concerned
directly or indirectly with promoting and protecting human rights of the individuals.
Governments serve many functions, such as community and nation building, protecting
property and other rights, promoting economic efficiency and growth, promoting other
public goods like public parks, roads, light houses, etc., protecting environment, ensuring
national defence and advancing social justice. Modern governments promote social
justice by redistributing wealth and other resources between citizens. Some states like
India have established a huge corpus of protective discrimination laws.

193
A statement of Sir Hersch Lauterpatch, a noted protagonist of human rights and one of
the most eminent international lawyers of the 20th century, rightly captures the spirit of
modern laws and functions of the states. He had observed in 1947: “The protection of
human personality and of its fundamental rights is the ultimate purpose of all law,
national and international”. Similarly, Adlai Stevenson of the USA once had remarked,
“human rights are at the core of everything we do and try to do.” These two statements
- made by a jurist and a statesman - candidly reveal that the concept of human rights
has acquired a significant place in human life/civilisation, as it is true that a large part
of our time is devoted, in the ultimate analysis, to the promotion and protection of
human rights. Moreover, it needs to be recalled that both the classical as well as
contemporary political theories have affirmed and reaffirmed the significant principle
that it is the “individual” for whom the state (or for that matter, any social or legal
order) exists, and not vice versa. In sum, human rights have emerged as the most
powerful concept of our age. It has become, in the opinion of former UN Secretary-
General Boutros Boutros-Ghali, “a common language of mankind and the ultimate norm
of all politics. Adopting this language allows all peoples to understand others and to be
the authors of their own history.” Today everyone talks about them and struggles for
their recognition, promotion and protection.

30.2 MEANING OF HUMAN RIGHTS

The concept of Human rights, though central to political science is poorly understood.
There is no agreement on its meaning, nature, and content. It is a concept very much
contested not only between East (representing former socialist states) and West
(representing liberal - democratic states) but also between developed and developing
countries. Each group of nations has a different perception of human rights.

The so-called first world countries of the West believed in the supremacy of the individual,
while the communist countries of East focused on the community and the unconditional
priorities of class interest. Hence, the individual benefitted from these group rights, as
his/her rights were better provided for, within the community. The former gave priority
to economic, social and cultural rights and insisted that they could not be separated from
the class character of society in which they existed, while the latter asserted the primacy
of civil and political rights. This debate of priority of one set of rights over another
continued to occupy the agendas of national and international governance during major
part of the 20th century.

The newly emerging states of the Third World, while adopting the Eastern or Western
model of human rights paradigms in their constitutions, or a combination of both,
focused on solidarity or group rights such as right to self-determination of peoples,
including sovereignty over their natural resources, the right to development, the right to
a healthy and ecologically balanced environment, the right to peace and the right to
ownership of the common heritage of mankind. They also insist on interdependence and
indivisibility of civil and political rights to economic and social rights.

Thus, the modern concept of human rights is comprehensive in its nature and content.
It includes three types of rights: civil and political, economic, social and cultural and

194
the emerging collective or group rights. In fact, the catalogue of rights is expanding
everyday. Moreover, it must be noted that no catalogue elaborating specific human
rights will ever be exhaustive or final. Its content goes hand in hand with the state of
moral consciousness, or development of civilisation at any given time in history.

It is gratifying to note that in general the East is now shifting more towards the West
in their perception of human rights, and civil and political rights are given greater
attention than ever before. The collapse of communism and the end of the “Cold War”
suggests that arguments over divergent concepts of human rights are no longer a subject
of mutual accusation and a spirit of cooperation between East and West is evolving
gradually.

Though there exist definitional problems of the concept of rights, this unit neither deals
with this question nor lists various definitions found in the literature. In our understanding
human rights are those conditions of life that allow us to develop and use our human
qualities of intelligence and conscience and to satisfy our spiritual needs. We cannot
develop our personality in their absence. They are fundamental to our nature: without
them we cannot live as human beings. In sum, they constitute, as opined by Michael
Freeden, “a conceptual device, expressed in linguistic form, that assigns priority to
certain human or social attributes regarded as essential to the adequate functioning of
a human being; that is intended to serve as a capsule for those attributes; and that
appeals for deliberate action to ensure such protection.”

30.3 EVOLUTION OF HUMAN RIGHTS

The idea of “rights” and “duties” of citizens is as old as the concept of the state. One
may find their origin in ancient Greek and Roman political systems in Europe, Confucian
system in China, the Islamic political system in the Muslim world and the “Panchayat”
system in India. But the concept of rights in those systems was not fully developed and
understood in the sense we know it today. It suited those socio-political milieus.

Many important events and revolutions contributed towards the development of human
rights. First, the earliest charters of human rights are to be found among the three British
constitutional documents, namely, the Magna Carta (1215), the Petition of Rights (1628)
and the Bill of Rights (1689). These three documents were the forerunners of the
modern bills of rights.

It was in the late 17th and the 18th centuries that the necessity for a set of written
guarantees of human freedom was felt as a new philosophy of governance. The dignity
and rights of man was the dominant theme of political philosophy of the 18th century.
This theme flowered into practical significance with such historic documents as the
Virginia Declaration of Rights, 1776, the America Declaration of Independence, 1776,
the French Declaration of the Rights of Man and Citizen, 1789 and of more lasting
importance, the series of Amendments to the U.S. Constitution, adopted in 1791 as the
American Bill of Rights.
The constitutional settlement in the U.S. and the attached Bill of Rights provided a
model for the protection of human rights. For many years this U.S. model stood almost

195
alone till a more detailed incorporation of rights was made in the Belgian Constitution
of 1831, followed by the Italian Constitution of 1848, the Greek Constitution of 1864,
the Danish Constitution of 1866, the Austrian Constitution of 1867, the Spanish
Constitution of 1876, and also the Argentinean Constitution of 1893. This trend of
incorporation continued in the 20th century also. Now the overwhelming majority of
states in the world have a written constitution providing checks and balances against the
abuse of authority and enshrining in one form or another fundamental rights and liberties
of individuals.
While the British, American and French documents gradually elaborated important civil
and political rights, the October Revolution of Soviet Russia in 1917 brought to forefront
the social, economic and cultural rights. This socialist revolution left a lasting impact
on developing a new concept of human rights that recognised economic, social and
cultural rights as human rights. Traditionally the Western liberal countries (including
their scholars) did not regard them as human rights.
The impact of socialist revolution is clearly seen in the drafting of many international
human rights treaties under the auspices of the United Nations. With the establishment
of the United Nations in 1945 the process of evolving an “International Bill of Rights”
began. In 1948 it adopted the Universal Declaration of Human Rights, which included
both civil-political and economic-social rights in a single document. Since the Universal
Declaration was not a legally binding instrument, the UN subsequently adopted two
covenants in 1966 (one on civil and political rights and the other on economic, social
and cultural rights). These covenants are legally binding on ratifying states. It must be
noted that the Universal Declaration and the two covenants constitute what is popularly
known as the International Bill of Rights. Thus human rights have been internationalised
and they are available to every human being wherever he lives.
This new concept of human rights giving equal treatment, if not equal importance, to
both sets of rights (i.e., civil-political and economic-social) became a characteristic
feature of many constitutions that came into existence after the Second World War.
These constitutions in various manifestations included certain social and economic rights
besides elaborating in detail the civil and political rights. The Italian Constitution of
1948 and the Bonn Constitution of 1949 are the prominent examples in this regard.
Many European States are increasingly accepting the idea that the state should be
socially responsible and take care of the basic needs of the individuals. In recent decades
many countries have enacted either new constitutions or parliamentary statutes to give
a constitutional status to the emerging concept of human rights, one that is comprehensive
in nature and content.
It is beyond the scope of this unit to give details of individual constitutions and human
rights protections they afford. However, our discussion centres on some major political
systems in the world whose constitutions enshrine human rights provisions. These include
the UK, USA, USSR, Germany, Switzerland, Canada, India and South Africa.

30.4 WESTERN PERSPECTIVE OF HUMAN RIGHTS

In the liberal democratic political systems of the West European and North American
states traditionally the primary focus was on civil and political rights. Socio-economic
196
rights were not recognised as fundamental rights in these states, though a few of them
found their way in one or other form in the constitutions of these states. It is only in
the later part of the 20th century that states like Canada and Switzerland included in
their constitutions positive rights or group rights. Let us examine the human rights
provisions in the constitutions of the UK, USA, France, Switzerland and Canada.

The United Kingdom

There is no written constitution in the UK. The law of the constitution is embodied in
historic documents or charters, in statutes of a constitutional nature, and in the common
law (judge made legal rules). As noted earlier, Magna Carta, the Petition of Rights
(1628) and the Bill of Rights (1689) were the best-known historic documents. The other
documents of importance were the Act of Settlement (1701), The Reform Act of 1832
and the Parliament Act of 1911. Because such laws deal with fundamental political
rights and the allocation of power among governmental institutions, they are regarded
as part of the constitution. Most of the civil rights are rooted in common law. Rights
are safeguarded through the application of the “rule of law”. Although the British have
no detailed list/bill of rights such as that exists in the American constitution, these rights
are nevertheless protected.

It is gratifying to note that in 1998 the British Parliament passed a “Human Rights Act”,
which became operational in October 2000. This Act incorporates the European
Convention on Human Rights (ECHR). (The UK had ratified the ECHR in 1951). Now
the rights enumerated in ECHR have a status of domestic law. Jack Straw, the then
Home Secretary, described the Act as “one of the most important pieces of constitutional
legislation the UK has seen.” Prof. K.D. Ewing has remarked that the adoption of the
Act is certainly the greatest constitutional change since the Parliament Act of 1911 and
quite possibly since the Bill of Rights of 1688.

USA: Compared with other liberal democratic systems, the American System seems to
be fully defined and safely implemented or protected. The first ten amendments to the
constitution (in 1791) are popularly known as the Bill of Rights, which guarantees
certain individual freedoms to US citizens. These classical rights and liberties are written
into both federal and state constitutions. The courts enjoy judicial supremacy and the
power of judicial review which enables them to determine the constitutionality of the
laws and to make observance of human rights real. While interpreting the provisions of
the constitution or laws the courts uphold these rights and also determine their nature
and content. Following civil and political rights are recognised by the American system:
the freedom of religion, speech, the press, peaceful assembly, association, and petition;
security against unreasonable searches and seizures; protection against deprivation of
life, liberty, or property without due process of law; protection against having private
property taken for public use without just compensation; the right to a speedy and public
trial by an impartial jury; the right to choose counsel for one’s defence; to subpoena
witnesses in one’s favour, and to have a trial that is fair in all respects and in accordance
with due processes of law; security against excessive bail or fines and against cruel and
unusual punishments; the equal protection of laws; protection against slavery, involuntary
servitude, ex-post-facto laws, unwarranted suspension of the writs of habeas corpus, and

197
finally, various guarantees related to taxation. Later amendments prohibited human
slavery (1865), extended the suffrage to racial minorities (1870), granted voting rights
to women (1920) and provided equal rights to women and the non-denial or non-
abridgement of equality rights on account of sex (1972). Thus, it must be noted that the
original bill of rights of 1791 has been expanded from time to time. The Americans took
almost two centuries in developing their modern bill of rights.

Although the U.S. Bill of Rights was very impressive and best in the world, the Blacks
from the South experienced discrimination, bias, and prejudice, and police arbitrariness.
For almost a century the Supreme Court endorsed the Southern apartheid system in U.S.
and did not protect the constitutional rights of racial minorities. The breakthrough came
finally in 1954 with the decision in Brown v. Board of Education, in which a unanimous
Supreme Court declared racial segregation in public schools to be unconstitutional.
Despite the advances made by the civil rights movement after Brown judgement, many
states retained racist legislation, notably laws outlawing interracial marriages. However,
in 1964 Civil Rights Act was passed which introduced a new concept of “affirmative
action” principle into the political, judicial and administrative language of the USA. Its
purpose was to reduce inter-ethnic inequalities in society.

France: In contrast to the British system, the French Constitution (Fifth Republic)
includes both sets of rights - i.e., civil-political and economic-social. For instance, the
preamble to the constitution declares that the French people solemnly proclaim their
attachment to the rights of man, which were confirmed by their incorporation in the
preamble to the Fourth Republic constitution of 1946. The Constitution recognises and
guarantees such rights as those of workers to organise unions of their own choice, to
bargain collectively, and to strike; equal access to education for all persons; and the
guarantee of protection against the hazards of illness, unemployment and old age.
Protection to these individual liberties is offered through the system of administrative
jurisdiction, but these procedures protect personal rights (such as property rights, against
an entrenched and solid bureaucracy), rather than political freedoms. Infringements of
traditional civil liberties are not infrequent. Article 16 places in the hands of the President
virtually unlimited power over the fundamental liberties of Frenchmen.

Germany: In erstwhile West Germany, the Bonn Basic Law (i.e., the constitution) of
1949 guarantees the basic rights in chapter I itself covering nineteen articles. It includes
an impressive list of rights compared to the Weimar Constitution of 1919, which provided
rights of religious communities only. The new constitution guarantees such basic rights
as inviolability of person, right to full development of personality, freedom of worship
and expression, freedom to hold meetings and form associations, equal rights for both
sexes and all races and creeds. Certain articles guarantee freedom of movement and free
choice of work, which prohibit the searching of homes or the reading of private letters
except under proper legal procedure, and which assert the prime right and duty of
parents to care of their children. The entire educational system is placed under state
supervision, and covers both secular and denominational schools. Academic freedom
for teachers is assured provided they are loyal to the constitution. While guaranteeing
the right to form associations and societies, the constitution states that whoever abuses
the basic rights to overthrow democracy shall forfeit them, and declares unconstitutional
any political party which shows by its aims, behaviour, or internal organisation that it

198
is opposed to democratic principles. It may be noted that the Communist Party and a
neo-Nazi party have been suppressed in accordance with these provisions. The rights of
property and inheritance are guaranteed, but law can determine their extent. Property
involves obligations and it must be so used as to promote the welfare of the community
as well as of its owner.

Other rights guaranteed are equality before the law, gender equality, marriage and
family related rights, requiring the protection of family, children born outside marriage,
right of asylum and right of petition. The Bonn constitution declares that certain basic
rights are unamendable and government can longer suspend them in emergency situation.
It only sets various limits on the exercise of political rights. The legislature cannot
infringe them. The German constitutional court has vigorously asserted itself in the
matter of protection of rights. Judicial review extends to the field of rights and liberties.
For a country with strong authoritarian traditions, this is considered to be an important
development.

Canada: The Canadian constitution is distinct in two respects from the general Western
liberal perspective which lays greater stress on the rights of the “individual” and neglects
community or group rights. First, it incorporates a scheme of minority rights and the
rights of indigenous people and second it also includes some positive rights. Let us
elaborate these aspects.

The 1857 Constitution Act had guaranteed linguistic rights to minorities, besides granting
religious freedom. The use of English and French was guaranteed. The Act had also
stated that preservation of culture, religion, language, local communities and minority
rights required significant governmental involvement and support. Similarly, the 1982
Canadian Charter of Rights and Freedoms not only elaborates and spells out the content
of the classical civil liberties, but also provides many positive rights, i.e., guarantees of
affirmative entitlements. For instance section 23 of the Charter guarantees the rights of
parents of the French or English-speaking minority to have their children receive education
in their language. The public funds have to be provided for this purpose.

Among the civil and political rights guaranteed by the 1982 Charter includes freedom
of religion, speech, association, freedom of movement, right to vote and contest election,
legal right of personal integrity, right to be secure against unreasonable search or seizure,
right not to be arbitrarily detained or imprisoned, right to be informed on arrest/detention,
fair trial, no cruel punishment, right against self-incrimination, right to interpretation,
linguistic and educational rights of minorities.

The Canadian Charter, which is a Constitutional Act, is not indifferent towards socio-
economic disparities in the state. It mandates the state to provide financial assistance for
interpretation in the courts if the witnesses do not understand the language of the
proceedings. The sense of community solidarity with the poor and weak, social
responsibility of the state, respect for human dignity, recognition of group membership,
and peaceful accommodation of social and cultural differences are some of the
characteristic features of the constitutional law in Canada. According to the Charter,
human rights constitute limits as well as objectives of governmental action and incorporate
both don’t’s and do’s.

199
Another significant feature of the Charter is that it gives a constitutional status to the
existing aboriginal and treaty obligations. Summing up it can be said that multiculturalism,
group rights, minority rights and the rights of aboriginals form important agenda of
contemporary Canadian political discourses.

30.5 SOCIALIST PERSPECTIVE OF HUMAN RIGHTS

The Marxist-Leninist theory of human rights is in sharp contrast to the Western liberal
perspective. It represents a unique model and a distinct paradigm of rights. It considers
that the individual is not an abstract entity, or an autonomous person, but is indivisible
from the social whole. The rights of the individual derive from a fundamental economic
relationship and from his place in a pattern of production. Therefore, the socialist
perspective gives priority to economic and social rights. In fact, economic and social
rights are taken to come before civil and political rights. The primary liberty in the
socialist countries is economic: the freedom from exploitation that is delivered by having
power in the hands of the working class. As social relations improve, and as the socialist
system is consolidated and its material and spiritual wealth increases, the ways and
means for implementation of human rights likewise increase.
The socialist doctrine of rights is best reflected in the constitutions of the former USSR
(1936 and 1977). The latter provided an impressive bill of rights. Most of the rights
enshrined were economic, social and cultural rights, such as right to work, right to rest
and leisure, right to material maintenance in the event of sickness and disability, right
to health protection, right to housing, right to education, right to enjoy cultural benefits,
right to freedom of scientific, technical and artistic work and right to participate in
public affairs of the state. Political rights are also recognised. These included freedom
of speech, of the press, of assembly and meetings, street processions and demonstrations,
and the right to association. Many personal freedoms were also included such as
inviolability of person, inviolability of homes of citizens and privacy of correspondence,
the defendants’ right of defence, freedom of conscience and equality of rights of citizens.
For exercising these rights the citizens are expected to perform many obligations and
duties imposed by the socialist system of governance. These rights can be enjoyed in
conformity with the interests of the working class and in order to strengthen socialist
system.
Western scholars criticised the soviet system of rights and liberties. Political rights, right
to form associations and right to criticise or freedom of press were severely restricted.
No political party other than communist party was allowed to exist. Many provisions
of the Soviet bill of rights were subject to many limitations. There was freedom for
antir-eligious propaganda, but not for pro-religious teachings. There was right to work,
but no right to strike. There were a number of enumerated duties, such as military
service, and the duty to abide by the constitution, to observe the laws and to maintain
labour discipline. In sum, the constitution not only specifies the purposes for which
“rights” may be employed but in addition insisted that the furtherance of these purposes
was among the primary duties of the citizens.
Despite these limitations on the rights and the virtual absence of political and other civil
rights in the sense we find in Western democracies, the Soviet system should be lauded

200
for its seriousness in implementing some of the socio-economic rights. For instance,
right to health protection and right to housing were not only proclaimed but were
actually implemented. It is interesting to note that the USSR had more than 120 beds
in hospitals for every 10,000 people in comparison to 80 in the USA, and 90-95 for
Britain and France. In institutionalising and implementing right to housing, the Soviet
Union was the first country in the world. During a period of 10 years (1965-1975) it
built 22.5 million flats providing accommodation to 111 million people, i.e., half of the
country’s population. By 1980, 80% of the people in towns had received their self-
contained flats on a nominal rent amounting to a mere 3% of family income.

The new constitution of Russian Federation, adopted in 1993, after the dissolution of the
USSR, no doubt lists major civil and political rights that we find in the Western liberal
traditions of human rights, it does not altogether ignore positive socio-economic rights.
It provides for right to a home, right to health care and medical attendance, right to
education etc.

30.6 SYNTHESISING CIVIL - POLITICAL AND SOCIO-

ECONOMIC RIGHTS: EMERGING TRENDS
Some constitutions drawn up in recent decades are including both civil-political and
socio-economic rights in their provisions. The hitherto neglected socio-economic rights,
imposing positive obligations on the states, are being increasingly recognised in the
constitutions drafted after the end of the Cold War, for instance those of South Africa
and Switzerland. These constitutions, like the Indian Constitution of 1949, adopt a
synthesising approach of human rights. Here we discuss briefly the constitutional
developments in India, South Africa and Switzerland.

The Indian Constitution includes a detailed bill of rights elaborating civil and political
rights, which are guaranteed and enforced by the Supreme Court and the High Courts.
Five significant features of the constitution regarding human rights and duties are worth
mentioning here. First, the constitution not only includes the rights of the individual but
also provides for cultural and educational rights of minorities under article 29 and 30.
Second, besides abolishing untouchability (under article 17) and by enacting many other
secular laws to abolish discriminatory treatment of untouchables and Hindu women
(whose rights were extremely limited compared to their male companions), the Indian
political system is striving to replace the traditional, unjust and stratified social order
(which guaranteed rights to only higher castes) with an egalitarian and socialist system.
Third, it provides for positive discrimination or affirmative action policies towards
weaker sections of the society such as the Scheduled Castes and tribes, other backward
classes and women. This policy is unprecedented in scope and extent and has no parallels
in any part of the world. Under this policy 49.5 percent of jobs are reserved for these
groups besides reserving 22.5 per cent of seats in educational institutions and legislative
bodies. 73rd and 74th Constitutional Amendment Act, 1992, reserves 33 percent of
seats in panchayat and municipal bodies for women. As a result, now more than one
million women have been elected in panchayat elections, reflecting the broad participation
in local government. This has strengthened the grass roots of democratic institutions.

201
The inclusion of non-justifiable socio-economic rights in the constitution, under the title
“Directive Principles of State Policy”, constitutes the fourth important feature. It includes
right to adequate means of livelihood, right of both sexes to equal pay for equal work,
right against economic exploitation, children’s rights and their protection against
exploitation and to opportunities for healthy development, consonant with freedom and
dignity; right to equal opportunity for justice and free legal aid; right to work; right to
public assistance in case of unemployment, old age, sickness and other cases of undeserved
want; right to humane conditions of work and maternity relief; right to a living wage
and conditions of work ensuring decent standard of life for workers and right of workers
to participate in the management of industries. Though these rights are non-enforceable
by judiciary, they have been at least recognised in the constitution. Moreover in many
cases they have been implemented through court orders or the statutory laws. Finally,
under article 51A, the constitution includes ten fundamental duties. These duties were
incorporated by the 42nd constitutional amendment Act in 1976.

The South African constitution of 1996 includes a “bill of rights”, which is very
comprehensive as it includes civil-political, economic-social-cultural and group or
collective rights. articles 7-39 of the constitution elaborate the detailed nature of human
rights. Besides reiterating the classical civil-political rights, it recognises the rights of
everyone to a healthy and clean environment, right to housing, health care, food, water
and social security, right to education, the rights of cultural, religious and linguistic
communities.

In the 1999 Swiss constitution, (which entered into force in 2000) also the synthesising
approach of both sets of rights is reflected. It recognises certain socio-economic rights.
For instance, it enshrines a person’s right to have his or her elementary needs fulfilled
in a provision stating: “persons in distress and incapable of looking after themselves
have the right to be helped and assisted, and to receive the means that are indispensable
for leading a life in human dignity” (article 12). Moreover, the ratification of the
International Covenant on Economic, Social and Cultural Rights in 1991 (by which its
provisions have immediately become part of the Swiss law) has reinforced the significance
of social and economic rights within legal and political debates in Switzerland. Regardless
of the actual progress made in implementing these socio-economic rights, it can be said
that the idea of a socially responsible state is now firmly entrenched in Swiss constitutional
thinking.

30.7 CONSTITUTIONAL PROTECTION OF

INTERNATIONAL HUMAN RIGHTS STANDARDS
The United Nations, Council of Europe, OAS, and OAU have adopted a large number
of international human rights treaties. Prominent among them are the International
Covenant on Civil and Political Rights (ICCPR), International Covenant on Economic,
Social and Cultural Rights (ICESCR), the European Convention on Human Rights
(ECHR), the American Convention and the African Charter on Human Rights. These
treaties have been widely ratified (by March 2003 ICCPR 145 states parties; ICESCR,
141; ECHR, 41 States; American Convention 22 states; and African Charter on Human

202
and People’s Rights - all 53 States of OAU). By ratifying the two UN Covenants and
the regional human rights treaties, majority of states in the world have accepted
international obligations on human rights, which are available to all human beings
within their respective jurisdictions.

The actual domestic protection afforded to the rights enumerated in International Bill of
Rights depends on the legal and political system of the relevant state parties to the UN
Covenants. In certain states, such as the Netherlands, the ICCPR has direct effect, and
is therefore part of a state party’s domestic law. Alleged breaches can be litigated in
domestic courts. In other states, the ICCPR is not self-executing, and so is not
automatically part of municipal law, e.g., in the UK, India and Australia, treaties must
be specifically incorporated into domestic law before they become enforceable. In none
of these states has the ICCPR been so incorporated. However, in these states statutes
of various kinds protect the rights contained in the ICCPR. Furthermore, in these states,
the ICCPR has an indirect effect in that its norms are used by the judiciary to construe
ambiguous statutes, and to fill lacunae in the common law.

Among the three regional human rights treaties the ECHR, which is the oldest (entered
into force in 1953) has an impressive record of achievements. It has been ratified by
both West and East European states (the latter after the collapse of communist systems
there). The list of rights guaranteed in the ECHR has been expanding over the years.
Subsequently through the adoption of protocols 1, 2, 6 and 7 new rights have been
added, such as right to property, education, free elections, prohibition of imprisonment
for debt, prohibition of expulsion of nationals and prohibition of collective expulsion of
aliens, abolition of the death penalty and compensation for wrongful conviction. In a
substantial number of states parties, the ECHR enjoys the status of domestic law. For
instance, it has been incorporated in UK, Nordic and Baltic countries. Under the Croatian
Constitution (article 134), the Convention became a part of internal legal order with
legal force superior to ordinary law after its ratification in 1997. In Slovenia, the ECHR
had similar status. Under article 10 of the Czech Republic, the convention applies
immediately and prevails over national domestic law.

In recent years the constitution makers in many countries are attaching growing importance
to the need to secure the observance of international human rights standards through
special clauses in their constitution. Such clauses have been written into the Swedish
(chapter 2, section 23); Norwegian (section 110 C), Latvian (article 89), and Finnish
(section 16a) constitutions. In Norway a Human Rights Act was promulgated on 21
May 1999. Distinctive features of this incorporation Act are that it includes a priority
clause (section 3) and covers three treaties, the ECHR, the ICCPR and the ICESCR. In
Estonia (article 3 and 123) and in Lithuania (article 138) the constitutional guarantee for
international human rights is achieved through general clauses on the domestic
applicability and even supremacy of international treaties.

Thus, in all these countries the ECHR provisions may be invoked as law in the national
courts and creates rights directly enforceable by individuals. Even in states parties
where the convention is not incorporated in domestic law, the national courts frequently
look to it while interpreting and applying domestic law so as not to violate this treaty.

203
Finland has a gone a step ahead. The recent Bill of Rights Reform of 1995 included
economic and social rights in chapter two of the Constitution Act. This implies that
socio-economic rights can also be judicially enforceable. Finland also has incorporated
the European Social Charter (1961) in 1990, which elaborates socio-economic rights.
When invoked by individuals the domestic courts can implement its provisions.

Under ECHR there is a mandatory procedure of individual complaints system. The

individuals of the states, which have ratified the convention, can petition the European
Court of Human Rights at Strasbourg, France, if they feel that their governments have
violated their Convention rights. A huge corpus of human rights jurisprudence has
emerged as a result of judgements by the European Court. In many an instance, it has
found states in breach of its international obligations to protect human rights. Thus, the
ECHR has developed over the last fifty years into a constitutional bill of rights for the
entire continent of Europe.

30.8 VIOLATION OF BASIC RIGHTS

Notwithstanding the adoption of Bills of rights in the national constitutions and ratification
of international treaties on human rights by a large number of states, basic rights of the
individuals are violated in almost all countries. Absolute power allows governments to
destroy different communities, it also enables them to infringe on the rights of citizens.
Just as governments can help to institutionalise the concept of human rights and protect
them for everyone irrespective of one’s caste, colour, sex, or religion, they can also use
their powers to violate human rights in the most systematic manner. The 20th century
has witnessed enormous progress in the extension of civil, political, economic, social
and cultural rights in all societies in the world. However, at the same time core human
rights, such as right to life, freedom from torture, slavery etc. have probably never
before been violated on such a gross scale. Millions of people have lost their lives in
political persecution by dictatorial regimes. Millions were also killed in Nazi extermination
camps and during Stalin’s rule in the former Soviet Union. Gross violation of human
rights were seen in China, Cambodia, Chile, Iraq, Argentina, Guatemala and Haiti,
Bosnia - Herzegovina and the apartheid regime of South Africa, although on a smaller
scale. These extreme abuses of governmental power illustrates a dilemma that troubled
the founding fathers of the American Revolution: “the problem of creating a government
strong enough to govern effectively but not so strong enough that it could destroy the
rights of those whom it was so designed to serve.”

30.9 SUMMARY
A comparative analysis of human rights in different countries and regions of the world
reveals that the concept of rights has a diverse meaning, understanding and history. The
Western liberal democracies, where the idea of constitutional rights first originated,
assigned priority to civil and political rights and ignored to acknowledge the importance
of economic and social rights. Whereas the erstwhile socialist states of Eastern Europe
assigned primacy to second generation/positive rights (i.e., economic and social rights)
and ignored to acknowledge the value of civil and political rights. With the establishment

204
of the United Nations and the adoption of the International Bill of Rights, which gives
equal importance to both the sets of rights, the idea of a comprehensive approach to
human rights is getting widely accepted all over the world. The UN approach provides
an integrated view of all human rights and attempts to overcome the artificial split
between two sets of human rights on ideological grounds. It treats all human rights as
universal, indivisible, interdependent and interrelated.

This new thinking on human rights is reflected in the constitutions drafted after the
Second World War in general and in the constitutional development and in some European
Countries (Switzerland and Finland), Canada and South Africa in the last two decades
in particular. In some of these constitutions we find both sets of rights and, sometimes,
additional rights like minority or group rights.

Almost all East European states, after the collapse of communism, are now increasingly
accepting the Western liberal perspective of human rights and providing civil-political
rights to their citizens. They have not only ratified the ECHR but some of them have
also made it a part of their national law with its status superior to ordinary law. Thus,
it can be stated that the East and West are no longer divided now on the nature and
content of rights. Their ideological divide has become a thing of the past and now the
ECHR is developing into a constitutional bill of rights for the entire continent of Europe.

Despite the constitutional guarantees of human rights and their international recognition
in UN covenants and regional human rights treaties like the ECHR, violation of basic
rights abound in all parts of the world. Genocide, “ethnic cleaning”, torture and
disappearances are some of the serious manifestations of human rights abuses. However,
every government proclaims its faith in human dignity and attempts to protect all human
rights for all.

30.10 EXERCISES
1) Discuss the major milestones in the evolution of the concept of human rights.
2) Critically examine the contrasting perspectives of human rights of the Communist
East and the Democratic West.
3) What are the emerging trends in Human Rights?
4) To what extent have human rights been internationalised?
5) Why do governments violate human rights?

205
SUGGESTED READINGS
Almond, Gabriel, Comparative Politics: A Developmental Approach (Boston: Little
Brown, 1970)

Almond, Gabriel, et al., Comparative Politics Today - A World View (New York, NY:
Longman, 2000).

Aziz, A, and D.D. Arnold., (eds.) Decentralized Governance in Asian Countries (New
Delhi: Sage, 1996).

Basta, L.R, and Fleiner, T., (eds.) Federalism and Multiethnic States (PIPF, 1996).

Bird, R.M, and Stauffer, T., (eds.) Intergovernmental Fiscal Relations in Fragmented
Societies (Bale et Fribourg: Helbing & Lichtenham, Publications of the Institute of
Federalism, 2001).

Blau, P. and Meyer, M., Bureaucracy in Modern Society (Random House, 1987)

Bouandel, Yocef., Human Rights and Comparative Politics (Aldershot: Dartmouth, 1997).

Claude, R.P., (ed.) Comparative Human Rights (Baltimore: Johns Hopkins University
Press, 1976).

Collins, C., “Decentralisation and the Need for Political and Critical Analysis”, Health
Policy and Planning, vol. 4, no.2, 1989, pp. 168-171

Commoner, B., The Closing Circle, (London: Jonathan Cape, 1972)

Donnelly, Jack., Universal Human Rights in Theory and Practice, (2nd edition) (Ithaca/
London: Cornell University Press, 2003).

Dreze, Jean., “Militarism, Development and Democracy”, Economic and Political Weekly,
April 1-7 2000, pp. 1171-1183

Duchacek, Ivo D., Comparative Federalism: The Territorial Dimension of Politics (New
YorkHolt: Reinehart and Winston, 1970).

Duverger, Maurice., Party Politics and Pressure Group (New York: Thomas Y.
Cromwell, 1972)

Elazar, Daniel J., (ed) Self Rule/Shared Rule (Ramat Gan: Turtledove Publishing, 1979).

Elazar, Daniel Judah., Exploring Federalism (Tuscaloosa: The University of Alabama

Press, 1987).

Esman, Milton J., Essays in Federalism (Claremont, Calif.: Institute for Studies in
Federalism, 1961).

206
Fields, Gary S., Poverty, Inequality, and Development (Cambridge: Cambridge University
Press, 1980).

Franck, T.M., Human Rights in the Third World Perspective (Dobbs Ferry, NY: Oceana,
1982).

Gurnam Singh., “Modernisation, Ethnic Upsurge and Conflict in South Asia”, South
Asian Studies, vol. 33, nos. 1 & 2, 1998, pp. 1-11.

Gurnam Singh., “Modernisation, Ethnic Upsurge and Conflict in the World”, International
Journal of Group Tensions, vol. 24, no. 4, Winter 1994, pp.

Gurnam Singh., Ethno-Nationalism and Emerging World [Dis] Order, (New Delhi:
Kanishka Publishers, 2002)

Mahajan Gurpreet., The Multicultural Path (New Delhi: Sage Publication, 2002)

Heady, F., Public Administration: A Comparative Perspective (New York: Marcel Dekker,
1984)

Helm, D. and Smith, S., “The Assessment: Decentralisation and the Economics of Local
Government”, Oxford Review of Economic Policy, vol. 3, no. 2, 1986.

Hempel, Lamont,C., (1996) Environmental Governance, The Global Challenge,Island

Press, Washington.

Hitchner, D.G. and Carol Levine, Comparative Government and Politics (London: Harper
and Row, 1981)

Hughes, A., “Alternative Forms and Levels of Popular Participation: A General Survey”,
in Lisk, F. (ed.), Popular Participation in Planning for Basic Needs (Gower, Aldershot:
ILO, 1985).
Human Development Report, (1994) UNDP.
Huntington, Samuel P, The Third Wave (University of Oklahoman Press, 1991)
Ignatius Jesudasan, “Politics of Conflicting Identities”, Third Concept, vol.200, October
2003, pp. 18-20.
Irish, Prutho and Richardsons, The Politics of American Democracy, Prentice Hall, New
Delhi.
Jean Blondel, Comparing Political Systems (London: Weidenfeld and Nicolson, 1972)
John A. Armstrong, “Nations before Nationalism”, in John Hutchinson and Anthony D.
Smith, (ed.), Nationalism:Critical Concepts in Political Science, Vol.1 (London:
Routledge, 2000).

Joshua A. Fishman, “Social Theory and ethnography: Language and ethnicity in Eastern
Europe”, in Hutchinson and Smith, (ed.), Nationalism : Critical Concepts in Political

207
Science, Vol.1 (London: Routledge, 2000).

Kabeer, Naila, Reversed Realities: Gender Hierarchies in Development Thought (London:

Verso, 1994)

Katz, Ellis and Tarr, G. Alan, eds., Federalism and Rights (Lanham, MD: Rowman &
Littlefield, 1996).

Korten,David C. (2001) The Responsibility of Business to the Whole. in Richard Starky,

Richard Welford’s Business and Sustainable Development, Earthscan Publications,
London.

Kramer, D.C. Comparative Civil Rights and Liberties (Washington: University Press of
America, 1982).

Kramer, J. and Schneider, H-P, eds., Federalism and Civil Societies (Baden Baden:
Nomos Verlagsgesellschaft, 1999).

Laski, H.J., Parliamentary Government in England (London: Allen and Unwin, 1933)

Logan, B.I., 2002, Globalisation, the Third World State and Poverty Alleviation in the
st
21 Century, Ashgate Publishing, Company, USA.

Macridis, Roy C. and Bernard E. Brown, Comparative Politics, (Chicago: The Dorsey
Press, 1986)

Macridis, Roy C., Modern Political Regimes, Patterns and Institutions, (Boston: Little,
Brown and Company, 1986)

Majeres, J., “Popular Participation in Decision-Making with Reference to Developing

Planning: An Institutional Approach”, in Lisk, F. (ed.), Popular Participation in Planning
for Basic Needs (Gower, Aldershot :ILO, 1985).

Martin, Ravallion, 1992, Poverty Comparisons, Clarendon Press, Oxford.

Monserrat Guibernau, Nationalism: The Nation-State and Nationalism in the Twentieth

Century (Cambridge: Polity Press, )

Morrison, Herbert, Government and Politics, Oxford University Press, London

Narayan, Deepa (ed.), 2002, Empowerment and Poverty Reduction: A Source Book,
(World Bank, Washington D.C.)

Neera Chandhoke, Beyond Secularism (New Delhi: Oxford University Press, 2002)

P.L. Dharma, “Identities Vs. Identities”, Third Concept, vol.201, November 2003, pp.
46 50.

Palombara, Joseph La, “An overview of Bureaucracy and Political Development”, in

Joseph La Palombara, Bureaucracy and Political Development (New Jersey: Princeton

208
University Press, 1963).

Parkin, Sara. [1992] Ecological Economics, A practical Programme for Global Reform,
Zed Books , London

Perlmutter, Amos, Modern Authoritarianism (New Haven: Yale University Press, 1983)

Rai, Shirin M., Gender and the Political Economy of Development (Cambridge: Polity,
2002)

Ratna M. Sudarshan, “Communities and Collective Security”, Seminar, vol. 531,

November 2003, pp. 65-69.

Ray, Samirendra N., Modern Comparative Politics: Approaches, Methods and Issues
(New Delhi: Prentice Hall of India, 1999).

Redclift, M., (1987) Sustainable Development: Exploring the Contradictions, Methuen,

London,UK

Rupinder Kaur Dhillon, “Nation-Building and State-Formation in Multi-Ethnic Societies:

Focus on South Asia”, BIISS Journal, vol.22, no.2, 2001, pp.209-244.

Rustow, Dankwart A, “The Surging Tide of Democracy”, Journal of Democracy, Vol.

3, No. 1, 1992, p. 120.

Schattsth Neider, E.E., “The American Party System” in Bailey edited American Politics
and Government. Oxford and IPH, Calcutta

Schmidheiny, Stephen (1998) Changing Course, A Global Business Perspective on

Development and the Environment, The MIT Press, London.

Sen, Amartya, 1981, Poverty and Famines: An Essay on Entitlement and Deprivation,
Clarendon Press, Oxford.

Sen, Amartya, 1985, Commodities and Capabilities, North Holland, Amsterdam.

Sharma, Anju., and Apurva Narain, (2002) Puppets on Purse Strings, Down to Earth,
CSE ,April 30]

Shiva, Vandana.,(1993) Monocultures of Mind, Indian Journal Of Public Administration,

July-September, No.13. 243

Singh, Amita, (2000) The Politics of Environment Administration, Galgotia, New Delhi.

Singh, R.V.,(2002) Can of Worms, Down to Earth, April 30, 7-9.

Stavanhagen, R., Ethnic Conflicts and the Nation-State (New York: Sr. Martin Press,
Inc., 1996).

Suneel Kumar, “Group Identities, Nation-Building and Ethnic Response in the Third
World”, Punjab Journal of Politics, vol. 27, no. 1, 2003.

209
Surinder S. Jodhka, (ed.), Community and Identities, (New Delhi: Sage Publications,
2001)

Ter-Minassian, T., (ed.), Fiscal Federalism in Theory and Practice (Washington, D.C.:
International Monetary Fund, 1997).

Theodoulou, Stella and Matthew Cahn (eds.), Public Policy: The Essential Readings
(Prentice Hall, 1995), p. 259-265.

UNDP, Human Development Report, Several Annual Reports, U.N., Geneva, Switzerland.

Visvanathan, Nalini, Lynn Duggan, Laurie Nisonoff and Nan Wiegersma, The Women,
Gender and Development Reader (London: Zed Books, 1997)
nd
Watts, Ronald L., Comparing Federal Systems, 2 ed., (Montreal & Kingston, London,
Ithaca: McGill-Queen’s University Press, 1999).

Weber, Max. “Bureaucracy”, in H. H. Gerth and C. Wright Mills (eds.), Max Weber:
Essays in Sociology (Oxford University Press, Inc. 1946).

Weingast, B. [1992] ‘The Economic Role of Political Institutions’ , Hoover Institution,

Stanford University.

Wildasin, D.E., Fiscal Aspects of Evolving Federations (Cambridge: Cambridge

University Press, 1997).

Wilson, James, Bureaucracy: What Government Agencies Do and Why They Do It,
(U.S.A., Basic Books, Inc., 1989).

World Bank, 2001, Attacking Poverty, Washington, D.C., USA.

World Commission on Environment and Development (1987) Our Common Future,

Brundtland Commission Report. Oxford University Press, Oxford

World Conservation Monitoring Centre,(1992) Global Biodiversity: Status of the Earth’s

Living Resources, Chapman and Hall, London .
Young, C. (ed.), Ethnic Diversity and Public Policy: A Comparative Inquiry (Basingstoke:
Macmillan, United Nations Research Institute for Social Development, 1998).
Young, C., The Politics of Cultural Pluralism (Madison: University of Winsconsin,
1976).
Zakaria, Fareed, The Future of Freedom: Liberal Democracy At Home and Abroad
(New York: W.W. Norton & Co., 2003)
Zeigler, H. and G. Wayne Peak, Interest Groups in American Society (New Jersey:
Prentice Hall, 1972).

210