SUBJECT : GENERAL PRINCIPLES OF

POLITICAL SCIENCE
SUBJECT CODE : FA1B

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 SYLLABUS
FA1B - GENERAL PRINCIPLES OF POLITICAL SCIENCE

Unit - I - Nature and Significance of Political Theory.

Unit - II - Power and Authority
Unit - III - State : Origin and Development
Unit - IV - State : Dominant Perspectives
Unit - V - Sovereignty
Unit - VI - Citizenship, Rights and Liberty
Unit - VII - Equality and Justice
Unit - VIII - Democracy
Unit - IX - Development and Welfare State
Unit - X - Theories of Social Change.

Books for Reference:

1. R. Dahi, Modern Political Analysis, Englewood Cliffs N.J. Prentice Hall, 1963.
2. D. Easton, The Political System: An Inquiry into the State of Poltical Science, New York,
Wiley, 1953.
3. Political Theory and The Modern State, Cambridge, Polity Press, 1989.
4. H.J. Laski, A Grammer of Politics, London, Allen and Unwin, 1948.
5. H.D. Lasswell and A, Kaflan, Power and Society : A Framework for Political Inquiry,
New Haven C.T., Yale University Press, 1952.
6. R.M. Maclver, The Modern State, Oxford, Oxford University Press, 1926.
7. B. Macpherson, Democratic Theory : Eassays in Retrieval, Oxford, The Clarendon Press,
1977.
8. Citizenship and National Identities, Cambridge, Polity Press, 2000.
9. The State : Its Nature, Development and Prospects, Cambridge, Polity Press, 1990.
10. S. Ramaswamy, Political Theory: Ideas and Concepts, Delhi, Macmillan, 2002.
11. H. Sabine : What is Political Theory, Journal of Politics, 1939, 1(1), pp. 1-16.
12. S.P. Varma, Modern Political Theory, New Delhi, Vikas, 1983.
13. S. Wasby, Political Science: The Discipline and Its Dimensions, Calcutta Scientific Book
Agency, 1970.
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 LECTURE NOTES
INTRODUCTION TO POLITICAL SCIENCE

Meaning and Nature

There is a need for the Law students to study the Subject Political Science. There are
lot of inter connections existing between Political Science and Legal Sudies. That is why the
more number of Political Science subjects are presently included in the curriculam of Law
Courses. So, it is understood that all legal persons should know the theoritical knowledge of
Political Science.

Definition of Political Science

According to the Oxford English Dictionary, Political Science refers to that branch of
knowledge concerned with political activity and behaviour. Considering the very wide
varieties of political activities and behaviours, and the constant changes that they undergo,
this definition is still a general statement, which informs the reader about the nature and
scope of the discipline. The name Political Science, itself, tells practically nothing of the
extent and objects of the discipline, except that it is the scientific study of political
phenomenon. In order to understand the term and the discipline as such, attention must be
paid to the two words making up the expression: Political and Science

 Political Science is a social science discipline concerned with the study of the state,
government and politics.
 Greek Philosopher Aristotle, the father of Political Science, who defined it as the
study of the state.
 It deals extensively with the theory and practice of politics, and the analysis of
political systems and political behavior.
 It can be argued that the discovery of the laws of evolution has, these last two
centuries, revolutionized the study of human. Evolution has given a sort of scientific
sanction to the idea of human progress of which modernity aims at being the concrete
expression. Progress, in this peculiar sense, not only means the advancement of
scientific learning but also the improvement of human society. The growing
consciousness of man from little more than an ape to a fully thinking animal has led to
a higher level of organisation and stability within his communities, which were to
become later on villages and cities. Overtime, with the development and expansion of
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 human activities, the organisation of these local units became more defined, and
norms and laws were developed to control them. Again, all along history, we find
many systems devised by various civilizations and peoples for the purpose of ruling
and governing, we observe the influence of personal or collective interests on the
policies of governments and the outcome of conflicts, and we hear of and sometimes
witness the contribution of individuals either to the prosperity or ruin of a particular
state or country. Such evolutions and variations, past and present, in the ideas and
practices behind the organisation and administration of human societies are the proper
subjects of Political Science.

The Terminology of Politics

 Political Science
 Political Theory
 Political Philosophy
 Political Behaviour
 Political System
 Political Institutions

Origin of the Concept of Political Science

The term Politics derived from “polis”, which means city or sovereign state and Science
from “scire” means to know or study. The term Polity from “Poleticia” means government or
constitution. So, Political Science is the study of state and government.
 It is the understanding of the state i.e. principles and ideals underlying its organization
and activities.
 It is the study of a body politic, the association of people into a political community.
 It studies relations of men and groups, men and groups to the state, and state to other
states.
Characteristics of Political Science
 Mother of Many Social Sciences
 More Scientific Approaches
 Interdisciplinary in Nature
 Dynamism
 Providing World Constitutions

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Nature of Political Science
 Whether Political Science is a Pure Science?
 Whether Political Science is an Art?
 Neither a Pure Science Nor an Art but a Social science
 It is more than an Art and it is less than a Pure Science

Scholars Claiming Politics as Science

 Aristotle
 Bodin
 Hobbes
 Bluntchli
 Montesquieu
 Levis
 Sidwick
 Jellinek
 Bryce

Scholars Claiming Politics as Art

 J.S. Mill
 Maitland
 Catlin
 Barker
 Buckle
 Auguste Comte

Characteristics of Science
 Science generally means a systematic way of gathering and organizing knowledge
 Scientific concepts can be arrived after verification, experimentation and systematic
observation.
 Main features of Science are
 Universality
 Exactness
 Precision
 Predictability
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Characteristics of an Art
 Art means a skill and a way of doing a particular activity.
 Art can be improved by means of experience, continuity and practice.
 Art can be guided by already established principles.

Why Politics can be called as Science?

 Politics can be studied in a systematic manner.
 Experimentation is also possible in politics.
 Some absolute and universal principles are also available in politics.
 Predictions are also possible in a limited area in politics.
 Unanimity also exists between scholars of politics in some principles.

Why Politics cannot be called as Science?

 No unanimity between scholars of politics on many issues and concepts.
 No universality can be perfectly arrived in politics.
 No exactness.
 No scientific tools of measurement.
 Changing according to time, situation and behavior.
 Experimentation cannot be possible, as external variables cannot be controlled.

Scope of Political Science

 Political Theory- entire body of doctrines relating to origin, form, behavior, and
purposes of a state.
 Public Law- covers constitutional law, administrative law, and international law.
 Public Administration- methods and techniques used in actual management of state
affairs by the 3 branches of government. The scope of Political Science implies its
area of study or subject matter. It is a very comprehensive and expanding social
science. An attempt was made by the International Political Science Association in
Paris in 1948 to delineate its scope. It classified the same into few zones like, Political
Theory, Political Institution, Political Dynamics and International Relations. We may
attempt to describe its scope as follows:

Political Theory:
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  It deals with the definition and meaning of fundamental concepts of Political Science
like state, government, law, liberty, equality, justice, sovereignty, separation of
powers, methods of representation, forms of government, grounds of political
obligation and various ideologies.
 A clear understanding of these basic terms and concepts is essential for the study of
Political Science. A student of Political Science must start his lessons with political
theory.

Political Philosophy:
 It is concerned with the theoretical and speculative consideration of the fundamental
principles used by Political Science. Eminent political philosophers like Plato,
Aristotle, Machiavelli, Hobbes, Locke, Rousseau, Hegel, Mill, Marx, and Gandhi
have expressed their views on nature, functions and ends of the state and government.
 On the basis of their ideas, political theory defines political concepts. An important
function of political philosophy has been to project values and ideals which political
institutions strive hard to attain.

Political Institutions:
 It is also concerned with the study of formal political institutions such as the state and
the instrument through which it acts the government. Hence, the scope of Political
Science extends to the study of the organisation and working of formal institutions
like the legislature, the executive and the judiciary, and in these days, of the electorate
and even the administration.
 The study of constitutions and political institutions of various countries enables the
political scientists to evolve sound and workable principles for the conduct of
government.

Political Dynamics:
 The term refers to the forces and processes at work in government and politics. They
influence and explain political action. They include the study of political parties,
pressure groups, interest groups, lobbies, public opinion, propaganda and political
semantics which influence and manipulate political behaviour and attitudes of
individuals and groups.

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  More recently, there has been a trend to extend the scope of Political Science into new
areas of empirical investigation into political behaviour. Drawing upon the resources
of other social sciences, Political Science has developed not only new techniques of
analysis but new concepts like political culture, political socialisation and political
communication to explain political phenomena.

Public Administration:
 Public Administration is a major branch of Political Science and is emerging as an
independent discipline in recent times. It deals with the organization, control and
coordination of administrative machinery, personnel administration, financial
administration, public relations, management, administrative law and adjudication etc.
It also covers the study of local self-governing institutions like corporations,
municipalities and Panchayati Raj institutions.

International Relations and International Law:

 International Law is a body of general principles and specific rules which regulate the
relationship among states and international institutions. The study of international
relations is a growing area of Political Science.
 It covers such important subjects as diplomacy, international politics, foreign policies
and international organizations. In view of world peace, cooperation and even 'world
government,' the need for strong international laws and sound international relations
can hardly be exaggerated.
Relation between the State and the Individual:
 The perennial and central problem, with which Political Science is concerned, is to
establish proper relationship between the state and individuals. The state guarantees
certain rights and freedoms to individuals and regulates their conduct and action
through the legal system.
 The proper adjustment between the authority and power of the state and liberty of the
individuals is a knotty problem. Political Science deals with the proper sphere of state
action, the limits of political control and the area of individual freedom.
 Thus, the scope of Political Science has been expanding in recent times. The social
life of man has a direct or indirect influence on his political life. Political Science
enters any sphere of life which has political implications.

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  Modern Political Science in the era of post-behaviouralism deals with both empirical
facts and value preferences. It is a combination of both science and philosophy. Hence
it is a dynamic social science and its scope is ever expanding.

Significance of Political Science

 Solving many socio-political problems.
 Clear understanding of origin and development of state.
 Studying past political thought and principles one can understand the present social
political administrative problems.
 Made people conscious of their rights and duties.
 Help to establish efficient administration.
 Help to strengthening democratic institutions.
 To develop the international spirit among people.
 Help to build network of institutions for the future generation.
 Developing morality and moral outlooks.

Conclusion:
 There is the need of studying Political Science in a country like India. As a result of
the independence movement, the colonial Britain left India and democracy has been
introduced in independent India, but political independence is far from strong and
stable as people are far away from social and economic freedom and justice.
 Progress has been made, but the road to meaningful freedom, equality and justice is
long. It is important that the efficiency, commitment and integrity of government be
increased and the people become conscious, dutiful and vigilant. The study of politics
contributes to generation of these qualities.

MEANING, NATURE AND CONCEPT OF POWER

Meaning of the term Power
• The meaning of Power is Complicated, Cumbersome, Controversial and Elusive in
nature.
• The concept of power became importance after Hobbes book “LEVIATHAN”.
• Power has been defined from different connotations i.e., Social, Economic, Political,
Psychological and Metaphysical.

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Study of State changed into Study of Power
• The subject matter of Political Science changed from Study of State and Government
into Study of Power.
• The study of Politics is concerned with Study of describing, analyzing of the manner
in which Power is obtained, exercised and controlled.

Definition of Power
• Merriam Webster’s Dictionary, “possession of control, authority, or influence over
others”.
• Friedrich, “Power is a kind of human relationship”.
• Tawney, “Power is the capacity of an individual to modify the conduct of others.
• Harold LASSWELL, “Power is nothing but Influence”.
• Mao, “Power flows from the barrel of a Gun”.
• Gandhi, “Power is Love and Truth”.

Different Usages of Power

 Horse Power
 Economic Power
 Power of Social Status
 Healing Power
 Brain Power
 Purchasing Power
 Executive Power
 Military Power
 Armed Power

Power with Different Interrelated Other Themes

 Control
 Influence
 Authority
 Force
 Might
 Persuasion
 Coercion
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Five Bases of Power
 Legitimate Power also called "positional power," it is the power of an individual
because of the relative position and duties of the holder of the position within an
organization. Legitimate power is formal authority delegated to the holder of the
position. It is usually accompanied by various attributes of power such as a uniform, a
title, or an imposing physical office.
 Referent Power is the power or ability of individuals to attract others and build
loyalty. It is based on the charisma and interpersonal skills of the power holder. A
person may be admired because of specific personal trait, and this admiration creates
the opportunity for interpersonal influence. Here the person under power desires to
identify with these personal qualities, and gains satisfaction from being an accepted
follower. Nationalism and patriotism count towards an intangible sort of referent
power. For example, soldiers fight in wars to defend the honor of the country. This is
the second least obvious power, but the most effective. Advertisers have long used the
referent power of sports figures for products endorsements, for example. The
charismatic appeal of the sports star supposedly leads to an acceptance of the
endorsement, although the individual may have little real credibility outside the sports
arena. Abuse is possible when someone that is likable, yet lacks integrity and honesty,
rises to power, placing them in a situation to gain personal advantage at the cost of the
group's position. Referent power is unstable alone, and is not enough for a leader who
wants longevity and respect. When combined with other sources of power, however,
it can help a person achieve great success.
 Expert Power is an individual's power deriving from the skills or expertise of the
person and the organization's needs for those skills and expertise. Unlike the others,
this type of power is usually highly specific and limited to the particular area in which
the expert is trained and qualified. When they have knowledge and skills that enable
them to understand a situation, suggest solutions, use solid judgment, and generally
outperform others, then people tend to listen to them. When individuals demonstrate
expertise, people tend to trust them and respect what they say. As subject matter
experts, their ideas will have more value, and others will look to them for leadership
in that area.
 Reward Power depends on the ability of the power wielder to confer valued material
rewards; it refers to the degree to which the individual can give others a reward of
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 some kind such as benefits, time off, desired gifts, promotions or increases in pay or
responsibility. This power is obvious but also ineffective if abused. People who abuse
reward power can become pushy or be reprimanded for being too forthcoming or
'moving things too quickly'. If others expect to be rewarded for doing what someone
wants, there's a high probability that they'll do it. The problem with this basis of
power is that the rewarded may not have as much control over rewards as may be
required. Supervisors rarely have complete control over salary increases, and
managers often can't control promotions all by themselves. And even a CEO needs
permission from the board of directors for some actions. So when somebody uses up
available rewards, or the rewards don't have enough perceived value to others, their
power weakens.
 Coercive Power is the application of negative influences. It includes the ability to
demote or to withhold other rewards. The desire for valued rewards or the fear of
having them withheld that ensures the obedience of those under power. Coercive
power tends to be the most obvious but least effective form of power as it builds
resentment and resistance from the people who experience it. Threats and punishment
are common tools of coercion. Implying or threatening that someone will be fired,
demoted, denied privileges, or given undesirable assignments – these are examples of
using coercive power. Extensive use of coercive power is rarely appropriate in an
organizational setting, and relying on these forms of power alone will result in a very
cold, impoverished style of leadership.

Theories of Power
Power Theory of Politics by Hobbes
• Human nature is always having desire for power.
• It is a set of hunger in all human beings.
• It is inherent in all human beings.
• This power desire is the root cause for all competitions among individuals.
• This power desire resulting in killings, subduing, supplanting and repelling against
their opponents.
• Though this nature is inherent, men like to live in peace in order to enjoy the life.
• That is why they entered in a social contract and entrusted their power to a common
all powerful state that is Leviathan.

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Power Theory of Politics by Morgenthau
• Prof. Hans J Morgenthau in his book “Scientific Man vs. Power Politics” explains his
power theory.
• Power politics is rooted in every human as lust for power.
• This is common in all human beings.
• This cannot be separated from human but should be reduced by superior reason of the
scientific age.
Power Theory of Politics by Karl Marx
• Power is an instrument connecting economics with politics.
• There is always a struggle for controlling power of the state by two classes-Owners
vs. Protection forces.
• So, the political power is merely the organized power of one class oppressing other
class.
• Hence class war is emerged between capitalists vs. protection forces.
• At last the labour forces is capturing power and created a State temporarily.
• Later this state will wither away.
Criticism of Marxian Theory
• Marxian Theory of power is grasped as a mechanical theory in which the economy
determines absolutely the political structure.
• Apart from economics, there are other role of psychology, sociology etc., Marx has
not mentioned about this.
• Secondly Marx wrongly argues that power is an essential instrument of class war. The
bourgeois class after capturing power may introduce more and more welfare issues,
which reduce the possibility of class war.
• Marx theory is not true. It is only a utopian theory.
Liberal view of Power
• Power is not merely a fact of having its manifestation in the forms of Control,
Influence, Coercion, persuasion and Manipulation, but it is Value also.
• Power signifies the capacity of the individual both his ability to develop his own
personal benefits and his ability to extract advantages from the like abilities of others.
• Thus, power is having both developmental and extractive capacities.
• The developmental capability is normative and the extractive capability is empirical
in nature.
Difference between Power and Authority
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 Power Authority
Power is the essence of politics Legitimacy is the essence of authority
Coercion is illegitimate exercise of power Authority is the legitimate exercise of power
Force is the brutal manifestation of power Authority is institutional exercise of power
Power influence is persuasive Authority influence is imperative
Power is the political polarization of the Authority rooted in the rules and regulations
desires of the people of the government

MEANING, NATURE AND IMPORTANCE OF AUTHORITY

Meaning of Term “Authority”
Authority is an ability through which a superior individual establishes his superiority over
the subordinate and gets his order obeyed. The subordinate accept the orders or command of
the superiors as legitimate order and obey them.

Origin of the Word Authority

 The English word ‘Authority’ is derived from a Latin ‘Auctoritias’ which means
consensus or approval. In ancient period the roman people used to hold assemblies to
decide their future polices and laws for themselves on which approval was sought
from the Senate. When accepted by the Senate, it was said that the law or policy has
acquired Auctoritias (Authority).
 The word authority can be used to mean the right to exercise power given by the
State, or by academic knowledge of an area.
 When the word authority is used in the name of an organization, this name usually
refers to the governing body upon which such authority is vested; for example, the
Puerto Rico Electric Power Authority or the Massachusetts Bay Transportation
Authority.
 In government, the term authority is often used interchangeably with power.
However, their meanings are differ; while power is defined as "the ability to influence
somebody to do something that he/she would not have done", authority refers to a
claim of legitimacy, the justification and right to exercise that power. For example,
while a mob has the power to punish a criminal, for example by lynching, people who
believe in the rule of law consider that only a court of law has the authority to punish
a criminal legally as the law says.

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  There have been several contributions to the debate of political authority. Among
others, Max Weber, Hannah Arendt, Alexandre Kojève and Giorgio Agamben have
provided some of the most remarkable texts.
 In political philosophy, the jurisdiction of political authority, the location of
sovereignty, the balancing of freedom and authority and the requirements of political
obligations have been core questions from Plato and Aristotle to the present. Most
democratic societies are engaged in an ongoing discussion regarding the legitimate
extent of the exercise of governmental authority. In the United States, for instance,
there is an apparent prevailing belief that the political system as instituted by the
Founding Fathers should accord the populace as much freedom as reasonable, and
that government should limit its authority accordingly.
 In the discussion regarding the legitimacy of political authority, the ends of the
spectrum of views could be described as either a belief in the absolute freedom of the
individual i.e. Political Anarchism, or the belief that there must be a central authority
(in the form of a sovereign) that claims ownership and control over the masses i.e.
Statism. The argument for political anarchy and anti-statism is made by Michael
Huemer, in his 2013 book, The Problem of Political Authority. In that book, he delves
into the various justifications used by political theorists throughout history to justify
the legitimacy of political authority via the State. On the other hand, one of the main
arguments for the legitimacy of the state, the “Social Contract Theory”, is made by
Thomas Hobbes in his book, Leviathan.

Max Webber’s Typology of Authority

• The first type of authority is Traditional Authority, which derives from long-
established customs, habits and social structures. When power passes from one
generation to another, then it is known as traditional authority. The right of hereditary
monarchs to rule furnishes an obvious example. The Tudor dynasty in England and
the ruling families of Mewar, in Rajasthan (India) are some examples of traditional
authority.
• The second form of authority is Charismatic Authority. Here, the charisma of the
individual or the leader plays an important role. Charismatic authority is that authority
which is derived from "the gift of grace" or when the leader claims that his authority
is derived from a "higher power" (e.g. God or natural law or rights) or "inspiration",
that is superior to both the validity of traditional and legal-rational authority and
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 followers accept this and are willing to follow this higher or inspired authority, in the
place of the authority that they have hitherto been following.
• The third type discussed by Weber is Legal Rational Authority. It is that form of
authority which depends for its legitimacy on formal rules and established laws of the
state, which are usually written down and are often very complex. The power of the
rational legal authority is mentioned in the constitution. Modern societies depend on
legal-rational authority. Government officials are the best example of this form of
authority, which is prevalent all over the world.

Characteristics of Authority
• Authority is a quality
• Capacity to command and obedience
• Authority is accepted and respected
• Authority is legitimate
• Authority is rational
• Authority is not something material
• Basis of authority is reason
• Organization
• Hierarchical nature of authority
• Authority is situational concept

Kinds of authority
• Traditional Authority
• Legal and Constitutional Authority
• Authority based on force
• Religious Authority
• Charismatic Authority
• Political Authority
• Authority of elite
• Hereditary Authority

Basis of authority
• Legitimacy
• Legal force
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 • Religion
• Public opinion
• Traditions
• Habits
• Utility
• Constitution

Importance of authority
• Authority provide legitimacy to power
• Check on the principle might is right
• It bring efficiency in administration
• It provide stability to administration
• Administration becomes less expensive

Difference between Power and Authority

• There are many ways to control and affect people, power and authority are two ways
which are commonly used to influence and manipulate others. Whether it is in a
personal capacity or in a professional one, power and authority are exerted to make
others respond accordingly.
• In order to understand how one can have the influence to affect others, it is necessary
to comprehend what power and authority actually are and how they work.
• Power can be defined as the ability of a person or a group to influence the beliefs and
actions of other people, and to influence or control actions or events. Power is the
possession or the ability or the right to control the actions and performances of others
either by authority or by other means.
• Authority is the right given to a person or a post to achieve particular objectives. It is
the right to get things done by others, to take decisions and give orders and get
obedience from them. It comes from the duties and responsibilities awarded to a
position holder in any official structure.

Power vs. Authority

• Although power and authority stem from the same concept, they are both very
different as they contain deeper meanings. When we talk about leadership and

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 influence, it becomes necessary to differentiate power and authority in order to
comprehend their true meanings and application.
• The main difference between power and authority is the degree of control and
influence they offer to the possessor. While authority is the sanctioned right given to a
person to get things done in an official capacity, power is the ownership of authority
and control to influence the opinions, movements and behaviors of others.
• Power has a wider scope and enables one to do what they want instead of looking out
to see if they are doing it the right way. It might not always be given, but it comes to
people who are experts in their field or have a significant amount of money and do not
look up to anyone. Authority, on the other hand, is the right given to a person to give
orders to subordinates and get things done by them. An official cannot perform his
duties without adequate authority.
• While a person will get authority only with some kind of position, either official or
non-official, power is something that comes with personality, charisma or personal
attributes too. A company president can order a change in design or a police officer
might arrest an offender because they have the authority to do so, but a person can
exert his power of knowledge to influence the thoughts and ideas of others and that
person could just as easily be a middle school teacher or a debater too.
• A manager will get his authority from the higher authorities who will outline what he
must do and how he does it. Authority comes from hierarchy and designation while
power is all-encompassing and broad and does not depend on anyone. Either a person
has power or either he has no power. It comes from a higher level than authority and
has an extensive approach.
• Power is a further-reaching concept than authority and offers much more influence,
control and domination as it can be both personal as well as official, while authority is
restricted to formal use only in official organizations and offices. Authority can be
taken away as it is official and not personal and once a person is stripped of his title or
designation; his or her authority comes to an end. However, power cannot be taken
away easily because it is personal and a person remains powerful if he has money, for
example, even if he has no designation to support him.
Comparison Chart
Power Authority
Power comes from knowledge and Authority comes from position and office.

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 expertise.
Power is the personal ability of a person Authority is the formal right to take
to control or influence others decisions or making commands.
Power does not come with rank or Authority comes with rank and
designation; a person is either powerful designation.
or not.
The scope of power cannot be written The scope of authority can be written
down or explained because it is too broad down and explained in explicit terms.
a concept
Power is not dependant on levels as it is Authority is dependent on levels or
broader in context and has a more positions and can be used in a limited
extensive approach. manner as awarded.

Difference between Authority and Power

• Power can be legitimate as well as illegitimate but authority is always legitimate.
• Authority is based on reason but there is no place of reason in power.
• In power, dominating factor is force, where as in authority, it is consent or legitimacy.
• Authority is always responsible but it is not must for power.
• Authority is based on consent whereas power is to impose one’s will.
• Coercion has special significance in power but not in authority.
• Power is mostly selfish whereas authority is not.

Conclusion
Robert A Dahl has rightly said, “Legitimate power is often called authority.”
Authority is always accepted with respect because legal force is behind it. And its use is
made to achieve legitimate objectives. It is supported by public opinion. Usually aim of the
use of authority is public welfare, thus people habitually obey it.

STATE AND ITS ORIGIN

Theories of Origin of State
A state is a type of polity that is an organized political community living under a
single system of government. States may or may not be sovereign. For instance, federated
states are members of a federal union, and may have only partial sovereignty, but are,

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nonetheless, states. Some states are subject to external sovereignty or hegemony, in which
ultimate sovereignty lies in another state. States that are sovereign are known as sovereign
states.
The term "state" can also refer to the secular branches of government within a state,
often as a manner of contrasting them with churches and civilian institutions. Speakers of
American English often use the terms state and government as synonyms, with both words
referring to an organized political group that exercises authority over a particular territory.
Many human societies have been governed by states for millennia, but many have been
stateless societies. Over time a variety of different forms developed, employing a variety of
justifications of legitimacy for their existence (such as the divine right of kings, the theory of
social contract, etc.). In the 21st century, the modern nation-state is the predominant form of
state to which people are subjected.

Definition issues
There is no academic consensus on the most appropriate definition of the state. The
term "state" refers to a set of different, but interrelated and often overlapping, theories about a
certain range of political phenomena. The act of defining the term can be seen as part of an
ideological conflict, because different definitions lead to different theories of state function,
and as a result validate different political strategies. According to Jeffrey and Painter, “if we
define the 'essence' of the state in one place or era, we are liable to find that in another time or
space something which is also understood to be a state has different 'essential'
characteristics”.
The most commonly used definition is Max Weber's, which describes the state as a
compulsory political organization with a centralized government that maintains a monopoly
of the legitimate use of force within a certain territory. General categories of state institutions
include administrative bureaucracies, legal systems, and military or religious organizations.
Another commonly accepted definition of the state is the one given at the Montevideo
Convention on Rights and Duties of States in 1933. It defined state as a space that possesses
the following: A permanent population, a defined territory and a government that is capable
of maintaining effective control over the corresponding territory and of conducting
International relations with other states.
According to the Oxford English Dictionary, a state is “an organized political
community under one government; a commonwealth; a nation”.

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 Confounding the definition problem is that "state" and "government" is often used as
synonyms in common conversation and even some academic discourse. According to this
definition schema, the states are nonphysical persons of international law, governments are
organizations of people. The relationship between a government and its state is one of
representation and authorized agency.

Types of states
States may be classified as sovereign if they are not dependent on, or subject to any
other power or state. Other states are subject to external sovereignty or hegemony where
ultimate sovereignty lies in another state. Many states are federated states which participate in
a federal union. A federated state is a territorial and constitutional community forming part of
a federation. Such states differ from sovereign states, in that they have transferred a portion
of their sovereign powers to a federal government.

The State and Government

A state can be distinguished from a government. The government is the particular
group of people, the administrative bureaucracy that controls the state apparatus at a given
time. That is, governments are the means through which state power is employed. States are
served by a continuous succession of different governments. States are immaterial and
nonphysical social objects, whereas governments are groups of people with certain coercive
powers.
Each successive government is composed of a specialized and privileged body of
individuals, who monopolize political decision-making, and are separated by status and
organization from the population as a whole. Their function is to enforce existing laws,
legislate new ones, and arbitrate conflicts. In some societies, this group is often a self-
perpetuating or hereditary class. In other societies, such as democracies, the political roles
remain, but there is frequent turnover of the people actually filling the positions.
There are so many theories available regarding the origin of States. Among them the
following six theories are generally discussed by the scholars.
• Divine Origin Theory
• Force Origin Theory
• Patriarchal Theory
• Matriarchal Theory
• Evolutionary or Historical Theory
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 • Social Contract Theory

Divine Origin Theory

• The divine origin theory or the theocratic conception is almost as old as the state
itself.
• Force theory was universally popular in primitive society.
• It is a well authenticated fact that the early forms of political authority were often
connected with unseen godly powers.
• According to MacIver, the earliest rulers were a combination of Priest, Magic man,
and King.

Salient Features of Divine Origin Theory

• This is the earliest theory.
• It believes that State is the creation of God.
• King was given “divine authority”.
• People believed that “King can do no wrong”.
• Disobey the king is equivalent to disobeying the God.
• J.N. Figgis and Gray supports this theory.
• This theory was accepted up to the medieval period.

Religious Support to this Theory

• In India the code of Manu by the name Manu dharma (Manushrumithi) supported this
theory.
• “Lord Brahma created the King to protect the people of various Varna’s and Ashrams
devoted to their duties”.
• In Europe medieval Christian Theory, “The king is the representative”.
• In Bible, “Let every soul be object to higher power. For this there is no but of God;
the power that be ordained of God”.
• Greeks and Romans also believed that, “People and king were created by God, and
blessing of God followed”.

Criticisms leveled against the Divine Origin Theory

• This theory justifies and supports the despotic theory.
• This theory is against democracy.
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 • It is far from reality.
• No right to the people to change the ruler.
• No historical proof that the state is created by the divine power.
• Only religious theory not based on reason.

Force Origin Theory

• This theory proposes that the origin of state is developed through the “use of force”.
• One person or a small group of people claim control over the population in a specific
area by force. Once the rule is well established, the state is established.
• This theory is generally a result of war. One example: Adolf Hitler and his control
over Germany that led to the attempted control of Europe, as well as the mass
genocide of the Jewish population.
• Jenks, Bernhardi, Oppenheim, Treitschke, etc. supported this theory.

Six Stages of the Emergence of State

• The first stage was continuous fights. The conqueror captured the properties of the
enslaved person.
• In the second stage the peasants were enslaved and exploitation of man by man began.
• In the third stage was mutual realization of benefits of cooperation between the
conqueror and the conquered.
• In fourth stage people united to fight against common enemies.
• Government was formed to settle disputes.
• The military leaders became kings. Law and order was established. Ex. Alexander the
great, Chengez Khan, Nadir Shah, Hitler, Napoleon.

Criticism against Force Theory

• The force theory no doubt contains an element of truth. But force is not the only
factor that had contributed for the development of the state.
• Other factors such as kinship, religion, property and political consciousness have
played their role in evolution of state.

The Genetic Theory or Patriarchal Theory

Patriarchal Theory
• State is a product of a natural expansion of family.
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 • One family gave rise to several families - families to village - village to settlements-
settlements to states.
• Sir Henry Maine is the chief advocate of the patriarchal theory. He defines it as theory
of the origin of society in separate families, held together by the authority and
protection of the eldest male descendant. The patriarchal theory traces the origin of
the state in a patriarchal family.
• A patriarchal family is one in which descent is traced through males. Father or
patriarch occupies a dominant position in the family. All the members of the family
pay due homage to him. His authority is recognized by all of them. A patriarchal
family, according to this theory, is the most ancient social organization.
• The primitive men were organized in patriarchal families. Such a family began to
expand by the process of marriages and re-marriage. It developed into 'Gen' or a
household. Gen expanded into a 'Clan'. A clan expanded in to a 'Tribe'. All the
members of the tribes were united by a sort of blood relationship.
• The tribes united by ties of blood acted together for common purposes particularly in
defending themselves against the aggression of other tribes. This also necessitated the
recognition of some common authority which could maintain discipline among the
tribes.
• The influential member of the tribe came to be known as the tribal chief. A
combination of the various tribes resulted in a commonwealth and a commonwealth
was a full-fledged state. Maine traces the origin of the state in the following words:
 “The elementary group is the family connected by the common subjection to
the highest male ascendant. The aggregation of families forms the Gens or
the houses. The aggregation of houses makes the tribe. The aggregations of
the tribes constitute the commonwealth”.
• According to Edward Jenks the patriarchal society which according to this theory was
the foundation of modern slate was characterized by three features, viz., male kinship,
permanent marriages and paternal authority. In other words the descent was traced
through the father and not the mother.
• Permanent marriage implied that one man was permanently married to one or more
women as patriarchal society allowed both monogamy and polygamy. The eldest male
member of the family had undisputed control of life and death over all the members
of the family.

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 • The theory also found its support, first of all, at the hands of Aristotle, he held that
“just as men and women unite to form families, so many families unite to form village
and the union of many villages forms the state which is a self-supporting unit”. The
theory is further supported by historical evidence and scriptural account. The ancient
Jews were a nation of twelve tribes which trace their origin to the first father Jacob. In
Rome, there were three tribes with the common origin and there was the "Patria
Potestas" which recognized the unlimited authority of the father over the members of
the family.
• The Patriarchal theory explains that the state originated from the patriarchal family or
the family in which the pater or father was the head.
• State is an enlargement of the family. Originally the family consisted of a man, his
wife and children. The father was the head of the family and his control and authority
was complete in all respects over all its members. When his children married there
was expansion in the original family and it led to the establishment of new families.
But the authority of the father and head of the original family remained as before, and
it was duly acknowledged by all his descendants. This constituted the patriarchal
family. The chief exponent of the patriarchal theory is Sir Henry Maine.
The following important points may be noted in Maine’s Patriarchal theory.
 In the Patriarchal family the element of paternity was the chief fact.
 Descent was traced not only through males and from the same ancestor. None
of the descendants of a female was included in the primitive notion of family
relationship. Kinship was accordingly, purely negative.
 Permanent marriage was the rule whether monogamy or polygamy. The Head
of the family was the basis of all authority, and his power was unqualified
over his children and their houses and other relations of all descendants
howsoever numerous.
 He controlled not only the business affairs of the group which he headed but
its religion and its conduct.

The family was the primal unit of political society, “the seed led of all larger growths
of governments”, as Woodrow Wilson calls it. The single family had developed into several
families; yet all of them were fully conscious of their ultimate kinship. Bound together by ties
of common ancestors, they associated in a wider common fellowship group, the gens, owing
allegiance to some elected elder - perhaps the oldest living ascendant or the most capable.
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Similarly, the gens broadened into the tribe. The pastoral pursuits gave way to agriculture and
settled life on a definite land became a matter of necessity; land tribes united to form the
state.
In support of his statement, Sir Henry Maine cited the patriarchs of the Old Testament
“families” and “brotherhood” of Athens, the patria-potestos in Rome and the Hindu Joint
family system in India.

Criticism
Modern theories show that the patriarchal family was not universal; the patriarchal
theory was subjected to severe attacks. Patriarchal and matriarchal theories are in essence
sociological rather than political theories. Stephen Leacock says nonetheless, both the
theories sufficiently establish that family is the original link in the evolution of the state.

Both these theories do not satisfactorily explain the origin of the state. Matriarchal
and patriarchal could have been prevalent in certain early societies. But it is wrong to assume
that the creation of state was occasioned by these systems. There was not substantial proof to
support the universal validity of these theories.

• Henry Maine is the profounder (Ancient law and early history of institutions) of this
theory.
• In Roman law, “patria potestas” paternal unlimited power of the head of the family.
• French Jurist Duguit also supports this theory.
• Altekar supports this, by saying that Indo-European and Indo-Aryan communities
father and male domination.
• Criticism: Morgan, Jenks, MacIver and others criticized as it is only speculation.no
source.
The Horde Theory or Matriarchal Theory
• MacLennan “Primitive Society”, Morgan, “Studies in Ancient Society”, Edward
Jenks, “A short History of Politics”- supported this theory.
• State originated not in the family but in the Horde. The Horde was an unorganized
tribe in which sexual relations without any matrimonial relations were common.
• In course of time they left Horde and began to follow group marriages and gradually
practiced Polyandry-then polyandry into matriarchal family-female lines-
• Even succession of property is through female line.
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 • Thus through female domination the State gradually emerged. MacLennan, Morgan
and Jenks are the notable exponents of matriarchal theory. The matriarchal system
was prior to the patriarchal system and tribe. There was no permanent institution of
marriage. A woman had more than one husband and because of the uncertainty of
male parentage kinship was reckoned through woman that is from mother to
daughters.
In the place of a family consisting of a man his wife and children there was a large
and loosely connected group called a horde or pack organized for matrimonial purposes.
The matriarchal family developed as indicated below:
 First there was a tribe and it was the oldest and primary social group.
 In course of time a tribe breaks into clans.
 Clans in their turn give place to households.
 At last comes the modern family.

Criticism
The matriarchal theory is more sociological than political. It seeks to explain the
origin of family and not that of the state. There is no adequate proof in support of the
matriarchal system as the universal and necessary beginning of society.

Social Contract Theory

• This is also a very old theory on the origin of state
• It emerged as a reaction against the Divine Origin Theory
• Originally this theory was propounded by the Sophists in Greece
• Roman lawyers like Cicero argued that popular consent was the basis of the State
• In the medieval times Marigold and the Old Testament supported this theory
• The term ‘Social’ implies something connected with the society and ‘Contract’
implies an agreement between two or more people.
• In the social contract theory, a specific population within a given designated area gave
up as much power to a government as needed to promote the well-being of all.
• Specifically, the community population and the leader have a contract.
• The state has power and authority over the territory.
• The community receives certain services such as a safe, crime-free area in which to
live and keep their rights protected.

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 • Richard Hooker was considered to be the first modern writer for giving a logical
analysis to the theory of Social contract.
• However this theory was developed and received prominence during the 17th and 18th
centuries by philosophers such as Thomas Hobbes, John Locke and Jean Jacques
Rousseau. These three political thinkers gave this theory a systematic technical
treatment. Then this theory was supported by Grotius, Milton, etc.
• The Social Contract Theory states that State is not a growth, but a make; it is not
made by God, but deliberately and voluntarily created by man.
• The U.S. political system is based on the social contract theory

Criticism leveled against the Social Contract Theory

• From the historical point of view this Social Contract Theory is not acceptable. No
single evidence is there.
• This theory is illogical and baseless. How could men who had no knowledge of
political organization suddenly think of a state and form it?
• This theory is dangerous because it leads to anarchy.
• The relation between individual and State is not by contract but by birth.
• This theory assumes that all men are equal but there was inequality in the state of
nature.
• Rights are always followed by duties but, this theory contains rights without duties
and obligations.
• Contract among individuals does not create public rights as the contract primarily
gives personal benefit.

Thomas Hobbes' Leviathan’

 The first modern philosopher to articulate a detailed contract theory was Thomas
Hobbes (1588–1679). According to Hobbes, the lives of individuals in the state of
nature were "solitary, poor, nasty, brutish and short", a state in which self-interest and
the absence of rights and contracts prevented the society. Life was "anarchic" (without
leadership or the concept of sovereignty). Individuals in the state of nature were
apolitical and asocial. This state of nature is followed by the social contract.
 The social contract was an "occurrence" during which individuals came together and
ceded some of their individual rights so that others would cede theirs. This resulted in
the establishment of the state, a sovereign entity like the individuals now under its
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 rule used to be, which would create laws to regulate social interactions. Human life
was thus no longer "a war of all against all".
 But the state system, which grew out of the social contract, was also anarchic (without
leadership) with respect to each other. Just as the individuals in the state of nature had
been sovereign and thus guided by self-interest and the absence of rights, so states
now acted in their self-interest in competition with each other. Just like the state of
nature, states were thus bound to be in conflict because there was no sovereign over
and above the state capable of imposing some system such as social-contract laws on
everyone by force. Indeed, Hobbes' work helped to serve as a basis for the realism
theories of international relations, advanced by E.H. Carr and Hans Morgenthau.
 Hobbes wrote in Leviathan that humans ("we") need the "terrour of some Power"
otherwise humans will not heed the call of “(in summe) doing to others, as we would
be done to”.

John Locke's Second Treatise of Government (1689)

 John Locke's conception of the social contract differed from Hobbes' in several
fundamental ways, retaining only the central notion that persons in a state of nature
would willingly come together to form a state. Locke believed that individuals in a
state of nature would be bound morally, by the Law of Nature, not to harm each other
in their lives or possession, but without government to defend them against those
seeking to injure or enslave them; people would have no security in their rights and
would live in fear. Locke argued that individuals would agree to form a state that
would provide a "neutral judge", acting to protect the lives, liberty, and property of
those who lived within it.
 While Hobbes argued for near-absolute authority, Locke argued for inviolate freedom
under law in his Second Treatise of Government. Locke argued that government's
legitimacy comes from the citizens' delegation to the government of their right of self-
defense, along with elements of other rights as necessary to achieve the goal of
security. The government thus acts as an impartial, objective agent of that self-
defense, rather than each man acting as his own judge, jury, and executioner—the
condition in the state of nature.

Jean-Jacques Rousseau's Du contract social (1762)

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  Jean-Jacques Rousseau (1712–1778), in his influential 1762 treatise the Social
Contract, outlined a different version of social contract theory, as the foundations of
political rights based on unlimited popular sovereignty. Although Rousseau wrote that
the British were perhaps at the time the freest people on earth, he did not approve of
their representative government. Rousseau believed that liberty was possible only
where there was direct rule by the people as a whole in lawmaking, where popular
sovereignty was undividable and inalienable. But he also maintained that the people
often did not know their "real will", and that a proper society would not occur until a
great leader arose to change the values and customs of the people, likely through the
strategic use of religion.
 Rousseau's political theory differs in important ways from that of Locke and Hobbes.
Rousseau's collectivism is most evident in his development of the “luminous
conception” of the general will. Rousseau argues a citizen cannot pursue his true
interest by being an egoist but must instead subordinate himself to the law created by
the citizenry acting as a collective.

The Evolutionary or Historical Theory

• This theory states that the state evolved over time, starting with the primitive family.
• This is the most acceptable theory among the theories of origin of state.
• Product of slow and gradual process of social development.
• One person in the family was determined to be the leader of the family.

Factors Contributing the Origin of State

• Kinship: Blood relationship between families contributed for prototype of state
• Religion: It helped the unification of communities. Same religion creates a sense of
unity.
• War or Force: Powerful person became political sovereign. Many historical instances.
• Property and Economic Factors: Three successive economic stages, the huntsman, the
herdsman and the husbandman. Protection of property played an important role in
state building.
• Political consciousness: Awareness of the need for a common authority to promote
common ends. Need for protection of life, property and liberty.
• On a primitive level, a basic government was formed.
• Over decades, the family became a clan and a clan became a tribe.
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 • The state was identified when the tribe settled in a designated area and claimed it as
their own.

Conclusion
• No single factor is responsible for the Origin and formation of the State.
• The State is neither the handwork of God, nor the result of superior physical force,
nor the creation of resolution on convention, nor a mere expression of the family.
• It is the product of gradual revolutionary process in which kinship, religion, property
force, and consciousness of the people.

STATE - DOMINANT PERSPECTIVES

Essential Elements of States
 State is an essential political institution
 Greatest of all human associations
 The term State firstly used by Niccolo Machiavelli (1469-1527) in his book “The
Prince”
 Different scholars differently defined State.
 “State is an assemblage of human beings occupying a definite territory or defined
boundaries under an organized government subject to no outside authority controlling
it, and established by the consent of the governed.

Population
 There is no definite limit for the size of population essential for a State. However, it is
recognised that the population should be neither too large nor very small. It has to be
within a reasonable limit. It should be determined on the basis of the size of the
territory of the State, the available resources, the standard of living expected and
needs of defence, production of goods and supplies.
Territory
 Territory is the second essential element of the State. State is a territorial unit.
Definite territory is its essential component. A State cannot exist in the air or at sea. It
is essentially a territorial State. The size of the territory of a State can be big or small;
nevertheless it has to be a definite, well-marked portion of territory.
 States like Russia, Canada, U.S.A., India, China, Brazil and some others are large
sized states whereas Nepal, Bhutan, Sri Lanka, Maldives, Switzerland, Togo and
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 many others are States with small territories. The whole territory of the state is under
the sovereignty or supreme power of the State. All persons, organizations,
associations, institutions and places located within its territory are under the sovereign
jurisdiction of the State.
 Further, it must be noted that the territory of the state includes not only the land but
also, rivers, lakes, canals inland seas if any, a portion of coastal sea—territorial waters
or maritime belt, continental shelf, mountains, hills and all other land features along
with the air space above the territory
 The state can also include some islands located in the sea. For example Andaman &
Nicobar and Daman and Diu are parts of India. State exercises sovereignty over all
parts of its territory.

Government
 Government is the organisation or machinery or agency or magistracy of the State
which makes, implements, enforces and adjudicates the laws of the state. Government
is the third essential element of the State. The state exercises its sovereign power
through its government.
 This sometimes creates the impression that there is no difference between the State
and Government. However it must be clearly noted that government is just one of the
elements of the State. It is the agent or the working agency of the State. Sovereignty
belongs to the State; the government only uses it on behalf of the State.
Each government has three organs:
 Legislature - which formulates the will of State i.e. performs law-making functions;
 Executive - enforces and implements the laws i.e. performs the law-application
functions;
 Judiciary - which applies the laws to specific cases and settles the disputes i.e.
performs adjudication functions.
 Government as a whole is the instrument through which the sovereign power of the
State gets used.
 In ancient times, the King used to perform all functions of the government and all
powers of governance stood centralized in his hands. Gradually, however, the powers
of King got decentralized and these came to be exercised by these three organs of the
government.

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  Each of these three organs of the government carries out its assigned functions.
Independence of Judiciary is also a settled rule. The relationship between the
Legislature and Executive is defined by law and it corresponds to the adopted form of
government. In a Parliamentary form of government, like the one which is working in
India and Britain, the legislature and executive are closely related and the latter is
collectively responsible before the former.
 In the Presidential form, as is in operation in the U.S.A., the legislature and executive
are two independent and separate organs with stable and fixed tenures, and the
executive is not responsible to legislature. It is directly responsible to the people.
Government is an essential element of State. However it keeps on changing after
regular intervals. Further, Government can be of any form—Monarchy or Aristocracy
or Dictatorship or Democracy. It can be either Parliamentary or Presidential or both. It
can be Unitary or Federal or of mixture of these two in its organisation and working.
In contemporary times every civilized State has a democratic representative,
responsible transparent and accountable government.

Sovereignty
 Sovereignty is the most exclusive element of State. State alone posses’ sovereignty.
Without sovereignty no state can exit. Some institutions can have the first three
elements but not sovereignty.
 State has the exclusive title and prerogative to exercise supreme power over all its
people and territory. In fact, Sovereignty is the basis on which the State regulates all
aspects of the life of the people living in its territory.
 As the supreme power of the State, Sovereignty has two dimensions:
 Internal Sovereignty and External Sovereignty.

Internal Sovereignty
 It means the power of the State to order and regulate the activities of all the people,
groups and institutions which are at work within its territory. All these institutions
always act in accordance with the laws of the State. The State can punish them for
every violation of any of its laws.

External Sovereignty

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  It means complete independence of the State from external control. It also means the
full freedom of the State to participate in the activities of the community of nations.
Each state has the sovereign power to formulate and act on the basis of its
independent foreign policy.
 We can define external sovereignty of the State as its sovereign equality with every
other state. State voluntarily accepts rules of international law. These cannot be forced
upon the State. India is free to sign or not to sign any treaty with any other state. No
state can force it to do so.
 No State can really become a State without sovereignty. India became a State in 1947
when it got independence and sovereignty. After her independence, India got the
power to exercise both internal and external Sovereignty. Sovereignty permanently,
exclusively and absolutely belongs to the State. End of sovereignty means end of the
State. That is why sovereignty is accepted as the exclusive property and hallmark of
the State.
 No other organization or institution can claim sovereignty. An institution can have
population, territory and government but not sovereignty. Andhra Pradesh, Tamil
Nadu, Orissa, Punjab, Sikkim, in fact all states of the Indian Union have their
populations, territories and governments.
 These are also loosely called states. Yet these are not really states. These are integral
parts of the Indian State. Sovereignty belongs to India. Sikkim was a state before it
joined India in 1975. Now it is one of the states of India. UNO is not a state and so is
the case of the Commonwealth of Nations, because these do not possess sovereignty.
SAARC is not a state. It is only a regional association of sovereign states of South
Asia.
 India, China, U.S.A., U.K., France, Germany, Japan, Australia, Egypt, South Africa,
Brazil, Argentina and others such countries are States because each of these possesses
all the four essential elements of state. The presence of all these four elements alone
vests a State with real State”.

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 State and Government
State Government
State is the body of all citizen-broader Govt. is a body of a few selected citizens-
scope narrower scope

State has Four elements Govt. has three branches

State is permanent political institution Govt. is temporary and subject to change

State powers are original, unlimited, Govt. has only limited powers delegated
fundamental and primary by the state

Sovereignty is an essential attribute of state Govt. does not possess sovereignty

Meaning and Nature of Sovereignty

• Sovereignty denotes the supreme power of the state.
• The word sovereignty comes from a Latin word ‘Supranus’ which means ‘Supreme’.
• Jean Bodin, a French author in book ‘Republic’ firstly used the word sovereignty.
• Aristotle in his book ‘Politics’ used the word ‘supreme power’.
• Roman lawyers and medieval writers speak of the fullness of power.

NOTION OF SOVEREIGNTY IN THE WEST

Three main historical sources
• First, there was the Roman Emperor whose will, as observed by ‘Justinian’ in his
institutes had the force of law. The Roman emperors developed a theory of universal
power.
• Secondly, during the Dark ages which followed the fall of Roman Empire and the
succeeding age of feudalism, the Pope of Rome became the central authority. Conflict
between the Church and State. Who is Supreme? Who is Sovereign?
• Thirdly after the reformation and renaissance the Nation-States emerged which paved
the way for the concept Sovereignty. The kings were free from all external and
internal controls.

Early Theories of Sovereignty

• Machiavelli, in his book ‘The Prince’ says the final and supreme power of the State,
but not mentioned as Sovereignty.

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 • Jean Bodin, in his book, ‘The Republic’ (1576) wrote as 'mejestus ese summa in cives
ac subditors legibusque soluta potestas’ means ‘the absolute and perpetual power
within the state’. According to Bodin there will be only one supreme power that is
sovereignty.
• Hobbes developed the theory sovereignty further. According to him Sovereignty is
absolute, unlimited, nothing is above etc. The absolute power of the Sovereign cannot
be challenged by the subjects.
• Bentham also supports the absolute power of the Sovereign. But he says that this
sovereign power should be only for utilitarian grounds. He accepted the need for
restricted Sovereignty.

Definitions of Sovereignty
• According to C.L. Oyseau, “Sovereignty is entirely inseparable from the state. Were
the State deprived of it, it would no longer be a state and whoever had it would have
the state insomuch as he would have the sovereign authority”.
• According to Grotius, “Sovereignty is the supreme political power vested in him
whose acts are not subject to any other and whose will cannot be over-ridden”.
• According to Blackstone, “Sovereignty is supreme, irresistible, absolute, uncontrolled
authority in which the highest legal power of the state”.
• According to Pollock, “Sovereignty is that power which is neither temporary nor
delegated, not subject to particular rules, which it cannot alter, nor answerable to any
other power on earth”.
• According to J.W. Burgess, “Sovereignty is the original, absolute and unlimited
power over individual subjects and association of subjects”.
• According to L. Oppenheim “Sovereignty is supreme authority, an authority which is
independent of any earthly authority”.

Characteristics of Sovereignty
Absoluteness
• The authority of the state is supreme as well as absolute.
• It knows no limits on the formulation, expression and realization of its will.
• The state may make and enforce any law and it is binding on all concerned.
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 • There can be no other authority that may revoke or rescind the law of the state.
Universality
• The highest power of the state covers all people and all associations living under the
area of its control.
• It is all comprehensive.
• It is co extensive in its operation with the jurisdiction of the state and comprehends
within its scope all powers and things within its territory.
• It has quality of exclusiveness.
Permanence
 Sovereignty is the permanent quality of the state.
 The holder of the sovereignty may die, but the power of the state survives that is
passed on to the successor.
 The state may lose its sovereignty only when it is captured by the some other state
and then converted into colony or a dependency.
Inalienability
• The essential attribute of state cannot be alienated.
• Sovereignty is the very essence of the personality of the state.
• When a sovereign dies and his office is given to his successor, it amounts to a change
in the government and not to an abdication or surrender of sovereignty.
• By the quality of inalienability is meant that attribute of the state by virtue of which it
cannot cede away of its essential elements without self destruction.
Indivisibility
• The sovereign power of the state cannot be divided.
• The state has its own will that cannot be divided into many wills.
• Hobbes, Rousseau, Hegel and Austin are very clear on this point and so they are all
called as monists.
• Calhoun says that “Sovereignty is a wholething; to divide it is to destroy it”.
Irresistible
• Sovereignty can never be resistible by any elements within a state.
• If any persons, institutions, organizations, etc. opposing or saying something against
the sovereignty of a state that elements are all punishable by the state.

Thus sovereignty is the exclusive, absolute, all-comprehensive, universal, inalienable,

permanent, irresistible and indivisible power of the state.
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Austin’s Theory of Sovereignty
• John Austin, an English Jurist (1780-1859) gave a most suitable theory of
Sovereignty.
• His work “The Province of Jurisprudence Determined” (1832) gives the theory of
Sovereignty.
• His theory of Sovereignty completely based on legal and juristic point of view.
• His theory has been considered as best theory among the theories of sovereignty.

Austin’s famous quotation of Sovereignty

• “If a determinate human superior, not in the habit of obedience to a like superior,
receive habitual obedience from the bulk of the human society, that determinate
human superior is the sovereign in the society and society (including the superior) is
a political and independent”

Two Assumptions based on Austin’s Definition

• The power of the Sovereign cannot be legally limited.
• Sovereignty cannot be legally divided between two or more persons, or body of
persons acting separately.

Nature of Sovereignty according to Austin

 That every independent political state, there is a supreme and absolute power in the
hands of some person or persons whose will is the law of the state and as such, is
binding on all concerned persons and their associations.
 That the sovereign is a determinate person. It means that the highest authority of the
state is vested in the hands of some person or persons who may be identified and who
may exercise it as per his best judgment. That is, he or they may formulate, express
and realize his or their will
 That sovereignty is indivisible; sovereign does not obey any other authority. The will
of the sovereign is supreme over all persons and their associations living in the state,
but he is under nobody’s control or subjection.
 That command is the essence of law. Whatever the sovereign wills is law. Failure to
do so invites punishment. Hence law of state may be distinguished from a usage and a
custom. The former has a mandatory character, the latter’s character is volitional.
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Criticisms against Austin’s Theory of Sovereignty
• Though Austin’s theory of sovereignty is greatly valued and respected by the scholars
of Political Science, there are some severe criticisms are also leveled against the
Austin’s theory of sovereignty. They are as follows:

(1) Sovereign is a wielder of supreme power: not true

The sovereign of Austin is not only a determinate human superior; he is the wielder of
highest and absolute authority. It is said that so far there has been no sovereign in the world
that may be truly identified with the model of the Austinian sovereign. The reason is that
even the most power-drunk rulers have bowed their heads before the might of some natural or
supernatural agency.

(2) Austinian Sovereignty Neglecting the Sociological Practices

The Austin theory of sovereignty is immersed in the world of law. It ignores the
importance of social usages and customs that are definitely have a binding character.
Machiavelli understood this fact and he cautioned the ruler against playing with the customs
of the people. Law is nothing but a custom translated into the form of written command of the
state.

(3) Sovereign obeys none: Disputed

Austin’s argument that the sovereign obeys none and receives habitual obedience
from the bulk of a given society is disputed. There is not one sovereign but three sovereigns
like the executive, legislature and judiciary and these three ultimate authorities are so far
independent of each other that the executive sovereign alone continues without intermission,
whilst the legislature may be dissolved temporarily and the supreme judiciary is not always in
session.

(4) Austin covers only the legal sovereignty and not covers the Popular and Political
Sovereignty
The interpretation of Austin covers the case of legal sovereignty alone; it rejects the
cases of political and people’s sovereignty. In Austin’s view, sovereignty cannot be vested in
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the people as a whole or even in the body of the voters, because both have indeterminate
character.

(5) Austin’s theory of Sovereignty is not applicable to Federal State

In federal system the powers are divided between central and state governments and
each is autonomous in the sphere allotted to it. In a sense it looks like the division of
sovereignty.

(6) Austin’s theory against the Pluralist concept of Sovereignty

A powerful attack on the Austin theory of sovereignty comes from the side of
pluralists who desire to pluralize the concept of sovereignty. Scholars like Duguit,
Durkheim, Figgis, Lindsay, Barker and Laski who contend that the sovereign state has no
right to discard the real significance of numerous social groups and associations that have a
‘personality’ of their own.

(7) Austin’s theory of Sovereignty is against Internationalism

Like Hobbes and Rousseau, Austin denies the existence of any external authority
outside and above the state. But nowadays there are international law and morality which
cannot be neglected. The disasters of the two World Wars tell us that such a view of the
sovereignty which neglects the International Politics must be discarded.
Conclusion
Though all these points of attacks are having their own significance, but the fact
stands out that the Austin’s interpretation of sovereignty has its own significance of attention
and it is to be kept confined to its purely juristic character.

CITIZENSHIP
Introduction
• Citizenship is the status of a person recognized under the custom or law as being a
member of a sovereign state. A person may have multiple citizenships and a person
who does not have citizenship of any state is said to be stateless.
• Nationality is often used as a synonym for citizenship in English, although the term is
sometimes understood as denoting a person's membership of a nation.

How to acquire Citizenship?

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 A person can be a citizen for several reasons. Usually citizenship of the place of birth
is automatic; in other cases an application may be required. Each country has its own policies
and regulations which change the criteria of who is issued citizenship.

Parents are citizens

If one or both of a person's parents are citizens of a given state, then the person may
have the right to be a citizen of that state as well. Formerly this might only have applied
through the paternal line, but sex equality became common since the late twentieth century.

Born within a Country

Some people are automatically citizens of the state in which they are born. This form
of citizenship originated in England where those who were born within the realm were
subjects of the monarch and is common in common law countries.

Marriage to a Citizen
Many countries fast-track naturalization based on the marriage of a person to a
citizen. Countries which are destinations for such immigration often have regulations to try to
detect sham marriages, where a citizen marries a non-citizen typically for payment, without
them having the intention of living together.

Naturalization
States normally grant citizenship to people who have entered the country legally and
been granted permit to stay, or been granted political asylum, and also lived there for a
specified period. In some countries, naturalization is subject to conditions which may include
passing a test demonstrating reasonable knowledge of the language or way of life of the host
country, good conduct (no serious criminal record) and moral character (such as drunkenness,
or gambling), vowing allegiance to their new state or its ruler and renouncing their prior
citizenship. Some states allow dual citizenship and do not require naturalized citizens to
formally relinquish any other citizenship.

Excluded Categories
In the past there have been exclusions on entitlement to citizenship on grounds such
as skin color, ethnicity, sex, and free status (not being a slave). Most of these exclusions no
longer apply in most places. Modern examples include some Arab countries which rarely
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grant citizenship to Non-Muslims, e.g. Qatar is known for granting citizenship to foreign
athletes, but they all have to profess the Islamic faith in order to receive citizenship. The
United States grants citizenship to those born as a result of reproductive technologies, and
internationally adopted children born after Feb 27, 1983. Some exclusion still persists for
internationally adopted children born before Feb 27, 1983 even though their parents meet
citizenship criteria.

Global Citizenship
Some intergovernmental organizations have extended the concept and terminology
associated with citizenship to the international level, where it is applied to the totality of the
citizens of their constituent countries combined. Citizenship at this level is a secondary
concept, with rights deriving from national citizenship.

Citizenship of the European Union

The Maastricht Treaty introduced the concept of citizenship of the European Union.
Article 17 (1) of the Treaty on European Union stated that:
“Citizenship of the Union is hereby established. Every person holding the nationality
of a Member State shall be a citizen of the Union. Citizenship of the Union shall be
additional to and not replace national citizenship”

Commonwealth Citizenship
The concept of "Commonwealth Citizenship" has been in place ever since the
establishment of the Commonwealth of Nations. As with the EU, one holds Commonwealth
citizenship only by being a citizen of a Commonwealth member state. This form of
citizenship offers certain privileges within some Commonwealth countries:
• Some such countries do not require tourist visas of citizens of other Commonwealth
countries.
• In some Commonwealth countries resident citizens of other Commonwealth countries
are entitled to political rights, e.g., the right to vote in local and national elections and
in some cases even the right to stand for election.

RIGHTS
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 • Every human being born in the world are having right to live.
• Rights, Liberty and Equality are interrelated concepts.
• Possession and enjoyment of certain rights makes the case of liberty; possession and
enjoyment of such rights by all without discrimination makes the case of equality.
• In order to live a man must have some rights. In order to develop our personality we
need rights. In order to have a civilized life we require a set of special rights.

Theory of Natural Rights

• Every human is having rights by birth.
• All human beings are born free and all are equal in dignity.
• Stoics of ancient Greece and Polybius and Cicero of Rome emphasized this firstly.
• Social contract theorists like Hobbes, Locke and Rousseau were also stressed it.
• Declaration of American Independence in 1776, French Revolution in 1789 and
Universal Declaration of Human Rights in 1948, etc. are all accepting this.

Legal Theory of Rights

• It holds that Right is the creation of Law.
• If there is no Law, there is no right.
• Custom may sanction some right, but it is no right as there is no law to enforce it.
• Hobbes is the first powerful advocator of this theory.
• John Austin is the best exponent of this theory.

Historical Theory of Rights

• This theory puts emphasis on the factor of time in the creation of rights.
• Every right is the based on the force of long observance.
• The essential sanction behind this right is a tradition or custom.
• R.M. MacIver, Edmund Burke supported this theory.

Idealistic Theory of Right

This theory depends upon the factor of man’s rational will that issues in the form of
claims and that leads to moral recognition and later legal sanction.
• T.H. Green was the best exponent of this theory.
• Barker, “Human consciousness postulates liberty: liberty involves rights: rights
demand the state”.
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Social Welfare Theory of Rights
This theory implies that rights are the creation of the Society in as much as they are
based on the consideration of common welfare.
• These Rights make what is conducive to the greatest good of the greatest number -
they are the conditions of social good.
• Jeremy Bentham and Herald Laski supported this theory.

Kinds of Rights
 Moral Rights
 Legal Rights
 Civil Rights
 Political Rights
 Economic Rights
 Human Rights

Moral Rights
• These rights are the claims of the individuals based on the conscious of the
community.
• These are the claims recognised by the good sense of the people. Example: the teacher
has the moral rights to be respected by the students. But the difficulty is that it cannot
be enforced by the states.
• Its enforcement depends upon the good sense of the community.

Legal Rights
• Moral rights become legal rights when they are enshrined in law and are enforceable
through courts.
• They are also taken as positive rights in that they are enjoyed or upheld regardless of
the moral content, in keeping with the idea of law of the state or ‘positive law’.

Civil Rights
• These rights related to the person and property of the individuals.
• They are called social or civil as they are related to the essential conditions of a
civilized life.
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 • This broad category includes a number of rights such as right to life, personal liberty,
thought, expression, property, religion etc.

Political Rights
• These rights related to the man’s participation in the affairs of state.
• This right includes exercise of vote, fighting elections, taking public employment,
supporting and opposing the government and changing it by constitutional means.
• Democracy is the best form of government for more enjoyment of political rights.

Economic Rights
• These rights relate to a man’s vocation, his engagement in a gainful employment so as
to solve the problem of food, clothing and shelter.
• It implies right to earn livelihood by proper means.
• Right to work or right to employment falls in this category.
• Right to rest and leisure and right form unions and associations also comes under this
category.

Human Rights
• This is a modified version of what once called as natural rights coupled with certain
civil rights.
• The Human Rights Commission of UNO formulated Universal Declaration of Human
Rights (UDHR) 1948, which formed the basis for human rights.
• Contains civil, political and economic rights.

LIBERTY: MEANING, NATURE AND KINDS

Meaning of Liberty
• Liberty is human beings’ rights to ‘do what’s worth doing.
• The word Liberty derived from the Latin word ‘liber’ which means free.
• According to Hobbes, “Liberty is a license or a condition to a human to do what he or
she likes”
• Negative connotation says, “liberty is absence of restraints and restrictions”
• Liberty means man’s right to do what he wants to do for the sake of making best
possible development of his personality by following a course that is good or right or
moral.
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Freedom and Liberty
• Freedom means unrestricted liberty enjoyed by human beings in the state of nature.
• Liberty means restricted freedom available to the people in the state.
• Here ‘restricted’ means reasonable limitations.
• Freedom of a person is subject to reasonable restrictions so that same freedom is also
made available to others.
• Freedom is the negative concept of liberty.

Liberty Depends upon one’s Relationship with Others

• Liberty ends with the tip of nose of fellow human being.
• Liberty is a condition of creation and maintenance of that atmosphere in which an
individual has opportunity to sharpen his constructive initiative.

Negative Concept of Liberty

• Liberty is the ‘absence of restraints’, “the freedom of every individual to express
without external hindrance, his personality”.
• People are really free and independent only when there are no restraints or coercion or
hindrance.
• Individualism views liberty as the power to do anything that does not injure others.
• It believes that a government which is least interfere in the affairs of its citizens is the
best.

Positive Concept of Liberty

• Liberty is the power to do or to enjoy something that is worth doing or worth enjoying
in common with others.
• On the contrary of the negative aspect of less interference of state, this positive theory
of liberty expects the state to take initiative in protecting the interest of those who are
underprivileged.
• The intervention of state is seen to be necessary.

John Stuart Mill

• He is one of the great champions of liberty.
• He wrote a book called, “On Liberty”.
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 • He advocates that an individual is sovereign over his body and mind. Therefore, he
should be left free in those concerns himself alone.
• State or society has no right to impose any restraint over the individual because the
restraint as such is an evil thing.
• He divides the actions of the individual into two aspects, as ‘Self regarding and
Others’ regarding’
• Only in others regarding only the state can interfere in times of need.

Harold J. Laski
• Liberty can never exist in the presence of special privileges. All should have access to
power whether some can utilize it or not.
• State should guarantee all needful rights to the citizens
• The services of the state activity should be unbiased.

Kinds of Liberty
• Natural Liberty
• Moral Liberty
• Civil Liberty
• Political Liberty
• Economic Liberty
• Social Liberty
• Cultural Liberty
• National and International Liberty

EQUALITY
Origin of the Concept Equality
• Equality is the basis of Democracy like Liberty.
• The formation of the Doctrine of Equality is product of the 18th Century.
• American Declaration of Independence says that “we hold these truths to be self
evident that all men are created equal”.
• France National Assembly declared that “Men are born and always continue free and
equal in respect of their rights. Equal opportunities to all are necessary for the fullest
development of personality of the people”.

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Implications of Equality
• Equality implies certain leveling process. Equality means the abolition all privileges
to certain groups in the society. All artificial disabilities should be removed.
• Equality implies presence of opportunities.
• The state should provide suitable opportunities for all citizens without any
discrimination for full development of their intelligence.
• Equality calls for equal distribution of rights to all citizens.
Classification of Equality
• Natural Equality
• Social Equality
• Legal Equality
• Civil Equality
• Political Equality
• Economic Equality

Natural Equality
• This theory says that by nature all men are equal. Inequalities are all man-made and
artificial.
• It does not mean all men are absolutely equal. In fact, inequality is the basis of nature.
Natural equality means absence of man-made inequalities.
• Cicero, Polybius, Hobbes, Locke, Rousseau, Bentham advocated this theory.

Social Equality
• Social equality means that there is no distinction in the matter of social status of the
different people from the point of view of caste, colour, creed, religion or rank.
• None is inferior to another in society.
• All are equally useful members of the society.
• Social equality is very important for the development of human personality.

Civil Equality
• Civil equality implies that all citizens should enjoy the same civil rights and liberties.
• All citizens should be subject to law and be equal before law.
• All should be equal in the eye of law.
• No discrimination should be made among the people.
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 • Rule of law must be guaranteed.

Political Equality
• Political equality means equal opportunity to all citizens to enjoy political rights and
to have similar voice in the working of the government.
• It enables the people to participate in the political life and affairs of the country.
• Universal adult franchise is a mean to political equality.
• Men should have right to vote, to be elected, to hold public office, to criticize the
government when it goes wrong.

Economic Equality
• Economic equality means removal of differences in wealth and allotting to every man
and woman an equal share in the worldly goods.
• It does not mean that all should have the same income.
• But, the economic equality provides equal opportunities to all so that they may be
able to make their economic progress.
• No one should have the right to luxurious life until the essential needs of others to be
filled.
• Laski says, “I have no right to take cakes when my neighbor is compelled to go
without bread”.

Political Liberty without Economic Equality is a Myth

• G.D.H. Cole says this statement
• H. Laski also accepted this.
• All men must eat, drink, and obtain shelter. Political freedom becomes meaningless if
there is no economic equality.
• If one has no bread to eat, one would simply sell away one’s vote.

JUSTICE
Meaning of Justice
• Man has been continuously struggling for the maintenance of Justice.
• In a democratic world justice is given the highest place.

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 • The word ‘justice’ is derived from the Latin word ‘jus’ which means ‘to bind’ or ‘to
contract’.
• The Greek word for “justice” is Dike, meaning ‘nearer to righteousness’.
• Justice stands for just conduct, fairness, impartiality and exercising authority in a right
way.

Implications of Justice
• It requires a just state of affairs.
• It is aligned with condition of morality.
• It carries the sense of proper distribution of favors and loses.
• It normally prevails in a non-democratic set-up as an exception.

Development of the Concept of Justice

• In Primitive society justice was to inflict severe punishment on the offenders of a
crime, eye to eye, tooth for a tooth to prevent a future crime.
• During Greek period, Thrasymachum, a sophist political thinker held the opinion that
Justice was the interest of the strong party. Rich and Might persons can make laws.
• Pythagoras, a Greek philosopher also elaborated the concept of justice. According to
him, justice was nothing but harmony and mutual cooperation.
• Plato, the father political philosophy defined justice as ethical, philosophical and
supreme virtue.
• Aristotle considers justice consisted in the fulfillment of one’s moral duties towards
community.
• In ancient India, the Hindu caste system arranged by varnadharma recognised the
principle of division of labour and functional specialization.
• In medieval age St. Augustine, defined the concept of justice in terms of Christianity
and religious values.
• Thomas Aquinas separated justice from religion and made it as secularized.
• Hobbes identified justice with the orders of the sovereign.
• Locke, Rousseau, Kant etc., found justice in the syntheses of liberty and equality.

Theories of Justice
• The Traditional Theory of Justice by Cephalous
• The Radical Theory of Justice by Thracymachus
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Plato’s Theory of Justice
• Justice was the bond which held a society together.
• Justice exists with both public and private virtue because it conserves the highest
good for both of state and its citizens.
• Society consists of three divisions, Philosophers, Soldiers and peasants.
• Justice is based on three principles of society, (1) Non-interference (2) Functional
Specialization (3) Harmony.

DEMOCRACY
Meaning
In the dictionary definition, democracy is “government by the people in which the
supreme power is vested in the people and exercised directly by them or by their elected
agents under a free electoral system”, in the phrase of Abraham Lincoln, democracy is a
government “of the people, by the people, and for the people”.

Difference between Democracy and Freedom

• Freedom and democracy are often used interchangeably, but the two are not
synonymous.
• Democracy is indeed a set of ideas and principles about freedom, but it also consists
of a set of practices and procedures that have been molded through a long, often
tortuous history.
• In short, democracy is the institutionalization of freedom. For this reason, it is
possible to identify the time-tested fundamentals of constitutional government, human
rights, and equality before the law that any society must possess to be properly called
democratic.

Direct and Representative Democracies

Democracies fall into two basic categories, direct and representative. In a direct
democracy, all citizens, without the intermediary of elected or appointed officials, can
participate in making public decisions.
Such a system is clearly only practical with relatively small numbers of people in a
community organization or tribal council, for example, or the local unit of a labor union,

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where members can meet in a single room to discuss issues and arrive at decisions by
consensus or majority vote

Direct Democracy in Ancient Athens

Ancient Athens, the world's first democracy, managed to practice direct democracy
with an assembly that may have numbered as many as 5,000 to 6,000 persons perhaps the
maximum number that can physically gather in one place and practice direct democracy.

Direct Democracy at Present

Today, the most common form of democracy, whether for a town of 50,000 or nations
of 50 million, is representative democracy, in which citizens elect officials to make political
decisions, formulate laws, and administer programs for the public good. In the name of the
people, such officials can deliberate on complex public issues in a thoughtful and systematic
manner that requires an investment of time and energy that is often impractical for the vast
majority of private citizens.

Majority Rule and Minority Rights

All democracies are systems in which citizens freely make political decisions by
majority rule. But rule by the majority is not necessarily democratic.

Respecting the Rights of the Minorities

In a democratic society, majority rule must be coupled with guarantees of individual
human rights that, in turn, serve to protect the rights of minorities whether ethnic, religious,
or political, or simply the losers in the debate over a piece of controversial legislation. The
rights of minorities do not depend upon the goodwill of the majority and cannot be eliminated
by majority vote. The rights of minorities are protected because democratic laws and
institutions protect the rights of all citizens.

The Role of Private Organizations in Democracy

Thousands of private organizations operate in a democratic society, some local, some
national. Many of them serve a mediating role between individuals and the complex social
and governmental institutions of which they are a part, filling roles not given to the
government and offering individuals opportunities to exercise their rights and responsibilities
as citizens of a democracy.
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Pillars of Democracy
 Sovereignty of the people.
 Government based upon consent of the governed.
 Majority rule and Minority rights.
 Guarantee of basic human rights.
 Free and fair elections.
 Equality before the law and Due process of law.
 Constitutional limits on government.
 Social, economic, and political pluralism.
 Values of tolerance, pragmatism, cooperation, and compromise.

Representative Democracy or Elected Dictatorship?

Unfortunately, a vast majority of countries that call themselves Representative
Democracies are not true democracies. Most of them are actually just Elected Dictatorships.
People can vote usually only once every four or five years. They do not vote on any issues.
They just elect their so called representatives who then until the next elections have no
obligations by law and little incentives to base their decisions on individual issues on the
wishes on their electorate. They hardly ever bother to consult them on their stands on various
issues. Therefore, legislative bodies composed of such "representatives" act in a very
dictatorial manner between the elections.
Democracy refers to a political system in which government is form by the people,
exercised either directly or through elected representative.
 People elected government.
 There is freedom of speech.
 There is no one party government in the country.
 Right to give vote to elect their representatives.
 The common people, considered as the primary source of political power.
 The principles of social equality and respect for the individual within a community.

Dictatorship is the form of government in which the country is rule by one person or
on party, the main points of this type of government is as follows:
 Not give interest to country benefit.
 No freedom of speech

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  The decision making ability is in the hand of one person or party.
 There is no respect of dictator in the mind of people.

Characteristics of Democracy
• Citizen rule
• Majority rule and minority rights
• Individual rights
• Free and fair election
• Citizen participation
• Cooperation and compromise

SOCIAL WELFARE AND DEVELOPMENT

The welfare state is a concept of government in which the state plays a key role in the
protection and promotion of the social and economic well-being of its citizens. It is based on
the principles of equality of opportunity, equitable distribution of wealth, and public
responsibility for those unable to avail themselves of the minimal provisions for a good life

Welfare State
• The welfare state involves a transfer of funds from the state, to the services provided
(i.e., healthcare, education, etc.), as well as directly to individuals ("benefits").
• It is funded through redistributionist taxation and is often referred to as a type of
"mixed economy".
• Such taxation usually includes a larger income tax for people with higher incomes,
called a progressive tax. This helps to reduce the income gap between the rich and
poor.

Accessing Social, Political, Economic and Civil Rights

• Modern welfare programs are chiefly distinguished from earlier forms of poverty
relief by their universal, comprehensive character.
• In an influential essay, "Citizenship and Social Class" (1949), British Sociologist T.H.
Marshall identified modern welfare states as a distinctive combination of democracy,
welfare and capitalism, arguing that citizenship must encompass access to social, as
well as to political and civil rights.

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Sustainable Development

According to Brundtland Commission Report, Sustainable Development is

development that “meets the needs of the present without compromising the ability of
future generations to meet their own needs”.
Moving to Cradle-to-Grave Coverage
• In the post World War II, almost all countries in the world moved from partial or
selective provision of social services to relatively comprehensive "cradle-to-grave"
coverage of the population.
• The activities of present-day welfare states extend to the provision of both cash
welfare benefits (such as old-age pensions or unemployment benefits) and in-kind
welfare services (such as health or childcare services). Through these provisions,
welfare states can affect the distribution of wellbeing and personal autonomy among
their citizens, as well as influencing how their citizens consume and how they spend
their time.
The Changing trend after Second World War Period
• Earlier in the nineteenth Century the main tasks of an administration were universally
the maintenance of law and order and revenue collection.
• But in the post war period in general, development consciousness and development
efforts, emerged in the new nations of Asia, Africa, Latin America and parts of
Europe, which required a civil service of integrity, equipped with administrative
ability and practical sagacity for development.

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 • The emphasis in administration has shifted to the welfare plans, national
reconstruction and development.

Socio-Political and Economic Justice in Modern Democracies

• In a welfare state the government assumes and aims at improving the quality of life of
its masses and the responsibility of its citizens from ‘womb to tomb’.
• It tries to bring about ‘social, political and economic justice’. The main aim of
initiating and nurturing this concept is to bring about betterment to the lots of weaker
section of society by building up a rapidly expanding and technologically progressive
economy.
• It aims to uplift the marginalized sections of society. Provision of basic necessities to
all irrespective of their caste or creed, the voluntary abdication of riches and power.

SOCIAL CHANGE
Introduction
Change is the internal law. History and science bear ample testimony to the fact that
change is the law of life. Stagnation is death. They tell us stories of man’s rise and growth
from the Paleolithic age to the Neolithic age, then to the Stone Age and next to the copper
age etc. On the stage of the world, scenes follow scenes, acts follow acts, and drama follows
drama. Nothing stands still.

Meaning of Social Change

Social change refers to an alteration in the social order of a society. Social change
may include changes in nature, social institutions, social behaviours, or social relations.

Definition
Social change may refer to the notion of social progress or socio-cultural evolution,
the philosophical idea that society moves forward by dialectical or evolutionary means. It
may refer to a paradigmatic change in the socio-economic structure, for instance a shift away
from feudalism and towards capitalism. Accordingly, it may also refer to social revolution,
such as the Socialist revolution presented in Marxism, or to other social movements, such as
Women's suffrage or the civil rights movement. Social change may be driven by cultural,
religious, economic, scientific or technological forces. Developmental psychology can play a
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role in social change. Social change comes about with tangible/intangible resource inputs as
social investment.

Social Movements
Social movements are continuous, large-scale, organized collective action motivated
by the desire to enact, stop, or reverse change in some area of society.

Types of movements
• Reform Movement
• Counter Movement
• Revolutionary Movement

Reform Movement
A reform movement attempts to change limited aspects of a society but does not seek
to alter or replace major social institutions.

Counter Movement
Counter movement is designed to prevent or reverse the changes sought or
accomplished by an earlier movement. A counter movement is most likely to emerge when
the reform movement against which it is reacting becomes large and effective in pursuing its
goals and therefore comes to be seen as a threat to personal and social interests.

Revolutionary Movement
Revolutionary movement attempts to overthrow the entire system itself, whether it is
the government or the existing social structure, in order to replace it with another. American
Revolution of 1776, the French Revolution of 1789, the Russian Revolution of 1917, the
Iranian Revolution of 1979, and the Afghan Revolution of 1996 are examples of movements
that toppled existing governments and created a new social order

Characteristics of Social Change

 Social change is uneven.
 The onset and consequences of social change are often unforeseen.
 Social change often creates conflict.
 The direction of social change is not random.
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Functionalist Theory of Social Change
 The functionalist perspective, also called functionalism, is one of the major theoretical
perspectives in sociology. It has its origins in the works of Emile Durkheim, who was
especially interested in how social order is possible or how society remains relatively
stable. As such, it is a theory that focuses on the macro-level of social structure, rather
than the micro-level of everyday life. Notable theorists include Herbert Spencer,
Talcott Parsons, and Robert K. Merton.
 Functionalism interprets each part of society in terms of how it contributes to the
stability of the whole society. Society is more than the sum of its parts; rather, each
part of society is functional for the stability of the whole. Durkheim actually
envisioned society as an organism, and just like within an organism, each component
plays a necessary part, but none can function alone, and one experiences a crisis or
fails, other parts must adept to fill the void in some way.
 Within functionalist theory, the different parts of society are primarily composed of
social institutions, each of which is designed to fill different needs and each of which
has particular consequences for the form and shape of society. The parts all depend on
each other. The core institutions defined by sociology and which are important to
understand for this theory includes family, government, economy, media, education,
and religion. According to functionalism, an institution only exists because it serves a
vital role in the functioning of society. If it no longer serves a role, an institution will
die away. When new needs evolve or emerge, new institutions will be created to meet
them.
 Let's consider the relationships between and functions of some core institutions. In
most societies, the government or state provides education for the children of the
family, which in turn pays taxes on which the state depends to keep itself running.
The family is dependent upon the school to help children grow up to have good jobs
so that they can raise and support their own families. In the process, the children
become law-abiding, taxpaying citizens, who in turn support the state. From the
functionalist perspective, if all goes well, the parts of society produce order, stability,
and productivity. If all does not go well, the parts of society then must adapt to
produce new forms of order, stability, and productivity.
 Functionalism emphasizes the consensus and order that exist in society, focusing on
social stability and shared public values. From this perspective, disorganization in the
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 system, such as deviant behavior, leads to change because societal components must
adjust to achieve stability. When one part of the system is not working or is
dysfunctional, it affects all other parts and creates social problems, which leads to
social change.
 The functionalist perspective achieved its greatest popularity among American
sociologists in the 1940s and 50s. While European functionalists originally focused on
explaining the inner workings of social order, American functionalists focused on
discovering the functions of human behavior. Among these American functionalist
sociologists is Robert K. Merton, who divided human functions into two types:
manifest functions, which are intentional and obvious and latent functions, which are
unintentional and not obvious. The manifest function of attending a church or
synagogue, for instance, is to worship as part of a religious community, but its latent
function may be to help members learn to discern personal from institutional values.
With common sense, manifest functions become easily apparent. Yet this is not
necessarily the case for latent functions, which often demand a sociological approach
to be revealed.
 Functionalism has been critiqued by many sociologists for its neglect of the often
negative implications of social order. Some critics, like Italian theorist Antonio
Gramsci, claim that the perspective justifies the status quo, and the process of cultural
hegemony which maintains it. Functionalism does not encourage people to take an
active role in changing their social environment, even when doing so may benefit
them. Instead, functionalism sees agitating for social change as undesirable because
the various parts of society will compensate in a seemingly natural way for any
problems that may arise.

Conflict Theory of Social Change

 Conflict theory states that tensions and conflicts arise when resources, status, and
power are unevenly distributed between groups in society, and that these conflicts
become the engine for social change. In this context, power can be understood as
control of material resources and accumulated wealth, control of politics and the
institutions that make up society, and one's social status relative to others (determined
not just by class but by race, gender, sexuality, culture, and religion, among other
things)

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Marx's Conflict Theory
 Conflict theory originated in the work of Karl Marx, who focused on the causes and
consequences of class conflict between the bourgeoisie (the owners of the means of
production and the capitalists) and the proletariat (the working class and the poor).
Focusing on the economic, social, and political implications of the rise of capitalism
in Europe, Marx theorized that this system, premised on the existence of a powerful
minority class (the bourgeoisie) and an oppressed majority class (the proletariat),
created class conflict because the interests of the two were at odds, and resources
were unjustly distributed among them.
 Within this system an unequal social order was maintained through ideological
coercion which created consensus--and acceptance of the values, expectations, and
conditions as determined by the bourgeoisie. Marx theorized that the work of
producing consensus was done in the "superstructure" of society, which is composed
of social institutions, political structures, and culture, and what it produced consensus
for was the "base," the economic relations of production.
 Marx reasoned that as the socio-economic conditions worsened for the proletariat,
they would develop a class consciousness that revealed their exploitation at the hands
of the wealthy capitalist class of bourgeoisie, and then they would revolt, demanding
changes to smooth the conflict. According to Marx, if the changes made to appease
conflict maintained a capitalist system, then the cycle of conflict would repeat.
However, if the changes made created a new system, like socialism, then peace and
stability would be achieved.

Evolution of Conflict Theory

 Many social theorists have built on Marx's conflict theory to bolster it, grow it, and
refine it over the years. Explaining why Marx's theory of revolution did not manifest
in his lifetime, Italian scholar and activist Antonio Gramsci argued that the power of
ideology was stronger than Marx had realized, and that more work needed to be done
to overcome cultural hegemony, or rule through common sense. Max Horkheimer and
Theodor Adorno, critical theorists who were part of The Frankfurt School, focused
their work on how the rise of mass culture--mass produced art, music, and media--
contributed to the maintenance of cultural hegemony. More recently, C. Wright Mills
drew on conflict theory to describe the rise of a tiny "power elite" composed of

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 military, economic, and political figures who have ruled America from the mid-
twentieth century.
 Many others have drawn on conflict theory to develop other types of theory within the
social sciences, including feminist theory, critical race theory, postmodern and
postcolonial theory, queer theory, post-structural theory, and theories of globalization
and world systems. So, while initially conflict theory described class conflicts
specifically, it has lent itself over the years to studies of how other kinds of conflicts,
like those premised on race, gender, sexuality, religion, culture, and nationality,
among others, are a part of contemporary social structures, and how they affect our
lives.
• Conflict is an inherent component of social relations.
• Economic conflict between social classes is the cause of social change.
• Conflict between traditional groups and modern groups will also leads to social
change

Cyclical Theory of Social Change

 Societies go through a life cycle or life span.
 The necessity for growth is the primary cause of social change.
 Changes will happen continuously in all ages.
 In politics monarchy- tyranny-aristocracy-oligarchy-democracy- monarchy- like cycle
of change.

Cyclical Theory: Three Phases

 Idealistic Culture - society wrestles with the tension between the ideal and the
practical.
 Ideational Culture - emphasizes faith and new forms of spirituality.
 Sensate Culture - stresses partial approaches to reality and involves the hedonistic.

Global Theories of Social Change

• Globalization - Globalization process involves increased interconnectedness that can
erase or magnify cultural differences.
• Modernization Theory - global development is a worldwide process affecting all
societies touched by technological change.

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 • World Systems Theory - nations are members of a worldwide system of unequal
political and economic relationships.
• Dependency Theory - industrialized nations tend to imprison developing nations
through trade and debt dependency.
Diversity and Social Change
Diversity is both a cause and an effect of social change. Diversity as a cause of
change is exemplified in immigration effects. Diversity as an effect of change is exemplified
by unequal outcomes of modernization on different ethnic groups. The wheel of time moves
on and on. The old dies and the young steps into the world. We ring out the old and ring in
the new. A child changes into a boy, a boy into a youth and then into a man. The bud changes
into a flower. The dawn turns into morning, morning into noon, noon into afternoon and
afternoon into night.

It is said, “Today is not yesterday and we ourselves change. No change is permanent,

it is subject to change. This is observed in all spares of activity. Change indeed is painful, yet
needful”. Flowing water is wholesome, and stagnant water is poisonous. Only when it flows
through and alters with changes, it is able to refresh and recreate.

Change is an ever-present phenomenon. It is the law of nature. Society is not at all a

static phenomenon, but it is a dynamic entity. It is an ongoing process. The social structure is
subject to incessant changes. Individuals may strive for stability, yet the fact remains that
society is an every changing phenomenon; growing, decaying, renewing and accommodating
itself to changing conditions.

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