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CONCEPTS IN
COMPARATIVE
CONCEPTS IN COMPARATIVE POLITICAL ANALYSIS

POLITICAL ANALYSIS
B.A. (HONS.) POLITICAL SCIENCE
SEMESTER-IV
DISCIPLINE SPECIFIC CORE COURSE
(DSC-11)
FOR LIMITED CIRCULATION ONLY
DISCIPLINE SPECIFIC CORE COURSE (DSC-11)
DEPARTMENT OF DISTANCE AND CONTINUING EDUCATION DEPARTMENT OF DISTANCE AND CONTINUING EDUCATION
UNIVERSITY OF DELHI UNIVERSITY OF DELHI
20CUS01306
Concepts in Comparative Political Analysis
For Limited Circulation Only
Editors
Dr. Shakti Pradayani Rout
Content Writers
Dr. Robert Mizo, Nishant Yadav, J.S. Pathak, Kashyap Nidarshan Syangden,
Dilip Kumar Verma, Dr. Santosh Kumar Singh,
Dr. Junjun Sharma Pathak, Neha Singh
Academic Coordinator
Mr. Deekshant Awasthi
Ist edition: 2024

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Printed by:
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SYLLABUS
Syllabus Mapping
UNIT I
Socio-Economic Structures Lesson 1: Capitalism
Capitalism, Socialism, Colonialism and Neo-Liberalism (Pages 3-22)
Lesson 2: Socialism
(Pages 23-39)
Lesson 3: Colonialism and
Neo-Liberalism
(Pages 41-53)
UNIT II
Discourses on Nationalism Lesson 4: Civic and Ethnic
Civic and Ethnic Nationalisms, Ideological Basis of Anti-Colonial Nationalisms, Ideological Basis of
Nationalism (Gandhi, Mao, Frantz Fanon and Amilcar Cabral) Anti-Colonial Nationalism
(Gandhi, Mao, Frantz Fanon
and Amilcar Cabral)
(Pages 57-77)
UNIT III
Constitutionalism Lesson 5: Evolution of the Idea of
Evolution of the Idea of Constitutionalism, Post-Colonial Constitutionalism, Post-Colonial
Constitutionalism Constitutionalism
(Pages 81-100)
UNIT IV
Federalism Lesson 6: Historical Context: Federation
Historical Context Federation and Confederation: Debates Around and Confederation: Debates around
Territorial Division of Power Territorial Division of Power
(Pages 103-116)
UNIT V
State and Regime Types Lesson 7: Capitalist, Welfare, Populist
Capitalist, Welfare, Populist and Security State and Security State
(Pages 119-134)

UNIT VI
Electoral System Lesson 8: Definition and Procedures:
Definition and Procedures: Types of Electoral Systems (First Past the Types of Electoral Systems
Post, (First Past the Post,
Proportional Representation, Mixed Representation Proportional Representation,
Mixed Representation)
(Pages 137-151)
UNIT VII
Party System Lesson 9: Historical Context of
Historical Contexts of Emergence of Political Parties, Types of Parties Emergence of Political Parties,
and Party Systems Types of Parties and
Party System
(Pages 155-166)

CONTENTS
UNIT I: SOCIO-ECONOMIC STRUCTURES
LESSON 1 CAPITALISM 3-22
1.1 Learning Objectives

1.2 Introduction
1.3 Definitions and Meanings
1.4 Origin and Development of Capitalism
1.5 Expansion of Capitalism
1.6 Globalisation
1.7 Globalisation and the State
1.8 Globalisation and Capitalism
1.9 Types of Capitalism
1.10 Challenges and Criticisms of Capitalism
1.11 Summary
1.12 Self-Assessment Questions
1.13 Suggested Readings
LESSON 2 SOCIALISM 23-39

2.2 Introduction
2.3 Meaning of Socialism

2.4 The Rise of Socialism

2.5 Socialism in Western Political Thought
2.6 Utopian Socialism
2.7 Scientific Socialism
2.8 Development of Socialism: Other Popular Forms of Socialism
2.9 Summary
LESSON 3 COLONIALISM AND NEO-LIBERALISM 41-53

3.2 Introduction
3.3 Colonialism: Context and Forms
3.4 Neo-Colonialism
3.5 Features of Colonialism
3.6 Decolonisation: Context and Forms
3.7 Decolonisation during Various Stages
3.8 Decolonisation and Its Types
3.9 Different Approaches
3.10 Colonialism and Decolonisation: Implications
3.11 Summary

UNIT II: DISCOURSES ON NATIONALISM

LESSON 4 CIVIC AND ETHNIC NATIONALISMS,
IDEOLOGICAL BASIS OF ANTI-COLONIAL NATIONALISM
(GANDHI, MAO, FRANTZ FANON AND
AMILCAR CABRAL) 57-77

4.2 Introduction
4.3 Debates on Nationalism
4.4 Ethnic and Civic Nationalism
4.5 Nationalism in African Context
4.6 Frantz Fanon’s Exchange with Europe’s Idea of Nationalism
4.7 Amilcar Cabral’s Case of Guinean Nationalism
4.8 Mao on Chinese Nationalism
4.9 Indian Nationalism and Gandhi’s shadow in the discourse of nationalism
4.10 Summary
UNIT III: CONSTITUTIONALISM

LESSON 5 EVOLUTION OF THE IDEA OF CONSTITUTIONALISM,
POST-COLONIAL CONSTITUTIONALISM 81-100

5.2 Introduction
5.3 Historical Background

5.4 Definitions
5.5 History Development
5.5.1 Ancient Origin
5.5.2 Medieval and Renaissance Developments
5.5.3 Enlightenment and the Social Contract
5.5.4 Formation of Modern Constitutionalism
5.6 Key Principles of Constitutionalism
5.7 Post-Colonial Constitutionalism
5.7.1 Brief Overview of Colonial Rule
5.7.2 The Impact of Colonialism on Legal System
5.7.3 Emergence of Post-Colonial Nations
5.8 Key Principles of Post-Colonial Constitutionalism
5.9 Challenges and Issues
5.10 Summary
UNIT IV: FEDERALISM

LESSON 6 HISTORICAL CONTEXT: FEDERATION AND
CONFEDERATION: DEBATES AROUND
TERRITORIAL DIVISION OF POWER 103-116

6.2 Introduction
6.3 What is Government?

6.4 Major Forms of Government

6.4.1 Unitary Government
6.4.2 Federal Government
6.5 An Analysis
6.6 Summary
UNIT V: STATE AND REGIME TYPES

LESSON 7 CAPITALIST, WELFARE, POPULIST AND SECURITY STATE 119-134

7.2 Introduction
7.3 Understanding the Nature of Political Regimes: Its Challenges and Objectives
7.4 Basis of Classification: From Number of Rulers and Nature of Authority Exercised
7.5 Democratic Regimes: Nature and Characteristics
7.6 Authoritarian Regimes: Nature and Characteristics
7.7 Totalitarian Regimes: Nature and Characteristics
7.8 Populism: Nature and Characteristics
7.9 Summary

UNIT VI: ELECTORAL SYSTEM

LESSON 8 DEFINITION AND PROCEDURES: TYPES OF ELECTORAL
SYSTEMS (FIRST PAST THE POST, PROPORTIONAL
REPRESENTATION, MIXED REPRESENTATION) 137-151

8.2 Introduction
8.3 Methods of Representation
8.4 Elections and their Functions
8.5 Electoral Systems
8.5.1 Majoritarian Systems - First Past the Post
8.5.2 Proportional Representation
8.5.3 Mixed Representation
8.6 Theories of Voting
8.7 Women and the Electoral Process
8.8 Summary
UNIT VII: PARTY SYSTEM

LESSON 9 HISTORICAL CONTEXT OF EMERGENCE OF
POLITICAL PARTIES, TYPES OF PARTIES AND
PARTY SYSTEM 155-166

9.2 Introduction
9.3 Functions of the Political Party

9.4 Types of Political Parties

9.5 One Party System
9.5.1 Advantages of One-Party System
9.5.2 Disadvantages of One-Party System
9.6 Two Party System
9.6.1 Contrast of the Two-Party System with the Multiparty System and One-
Party System:
9.6.2 Advantages of the Two-Party System
9.6.3 Disadvantages of the Two-Party System
9.7 Multi-Party System
9.7.1 Advantages of the Multi-Party System
9.7.2 Disadvantages of the Multi-Party System
9.8 Summary

UNIT I: SOCIO-ECONOMIC STRUCTURES
LESSON 1 CAPITALISM
LESSON 2 SOCIALISM
LESSON 3 COLONIALISM AND NEO-LIBERALISM

Capitalism
LESSON 1 NOTES
CAPITALISM
Dr. Robert Mizo
Structure
1.2 Introduction
1.3 Definitions and Meanings
1.4 Origin and Development of Capitalism
1.5 Expansion of Capitalism
1.6 Globalisation
1.7 Globalisation and the State
1.8 Globalisation and Capitalism
1.9 Types of Capitalism
1.10 Challenges and Criticisms of Capitalism
1.11 Summary
1.1 LEARNING OBJECTIVES
After reading this lesson, students should be able to:

 Understand the meaning of Capitalism
 Know about the origin and development of Capitalism
 Evaluate the types of Capitalism and Globalization and their relation with the
state.
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NOTES
1.2 INTRODUCTION
Capitalism is the key ordering institution of economic and social life today. It has come
to encompass almost all countries, big or small, and societies. Capitalism is generally
understood as an economic system wherein the means of production are privately
owned and production is geared towards profit. However, it is much more than just an
economic system. It produces a social order of its own in which people are segregated
into classes on the basis of their relations to the forces of production. Therefore, the
concept and practice of capitalism need an in-depth study in order to gain an
understanding of its essence, origin and expansion. That is what this lesson attempts to
achieve. It opens by studying the varying meanings of capitalism before moving on to
an analysis of its origin and development. The lesson then discusses the expansion of
capitalism through various historical time frames. The lesson delves into the relationship
between capitalism and globalisation after discussing the meaning and nature of
globalisation. It finally engages with the various types of capitalism and the challenges
that lie on its path.
1.3 DEFINITIONS AND MEANINGS
Capitalism is seen as an ideology and as an economic system, depending on its usage.

As an ideology, capitalism encompasses principles of private property, self-interest,
and meritocracy. It overlaps substantially with the ethos of classical liberalism
(Heywood, 2013). As an economic system, capitalism is a system of generalised
commodity production solely directed towards profit-making. Sociologists see
capitalism as a social system where social structures, institutions and relations are
woven around the market. Just as capitalism means different things to different people,
the nature of capitalism in practice also differs. However, it is possible to discern a few
of its common intrinsic characteristics, listed as follows:
 Private ownership of productive wealth.
 Economic life is organised through market principles such as the price mechanism,
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Capitalism
 Wage labour in place of bonded labour. NOTES

 Material self-interest and profit maximisation provide the motivation for enterprise
and hard work.
 Freedom of enterprise is an inalienable right for all.
 Limited control or intervention of the government in economic activities.
Various thinkers have offered different meanings of capitalism, each with their
own interpretation of its origin and nature. Maurice Dobb (1950) underlines three
major understandings of the meaning of capitalism. First, thinkers such as Warner
Sombart and Max Weber have found the essence of capitalism in its geist or spirit,
defined by calculation and rationality coupled with the bourgeois spirit of enterprise or
adventure. Weber defines the spirit of capitalism as the attitude that seeks profit rationally
and systematically (Dobb 1950, p. 5). This spirit has inspired the whole epoch of
capitalism, just as different economic attitudes reigned at different times.
The second understanding of capitalism refers to the practice of production for
a distant market. This idea was developed by the scholars of the German Historical
School, who argue that capitalism embodies the distinction between the “natural
economy” of the medieval period and the “money economy” that succeeded it.
Capitalism is contained in the process where production and retail are separated in
space and time by the intervention of a wholesale merchant whose sole aim is to invest
in the purchase of the goods for resale at a profit. Bucher sees the essential criterion of
capitalism in the distance the goods travel in passing from producer to consumer (Dobb,
1950). Nussbaum defines capitalism as a system of exchange economies where people
are differentiated into owners and property-less workers.
Thirdly, Marx sees capitalism as a “mode of production,” referring to the way in
which the means of production are owned in a society. It is an epoch or a historical
phase wherein human relations are determined by where they stand in relation to the
process of production. Capitalist society is inevitably divided into two groups: the
bourgeoise (owners of the means of production) and the proletariat (property-less
labour class). Capitalism is a system of production where labour power itself becomes
a commodity, sold and bought on the market, while the sum total of productive forces
and capital lies in the hands of the bourgeoise. While liberals saw capitalism as the
most efficient way of organising an economy and creating wealth and prosperity, Marx
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and his philosophical followers saw it as inherently exploitative and divisive. The Material 5

NOTES economic system feeds on the exploitation of surplus value produced by the labour
class, which becomes profit for the capitalist class. In fact, Marx argues that the value
of commodities is determined by the number of labour hours taken to produce them,
or more specifically, the number of labour hours deemed to be ‘socially necessary’ for
their production. Following his theory of class struggle, Marx argues that capitalism
contains the seeds of its own destruction and would inevitably lead to a proletarian
revolution, which would herald the onset of a socialist mode of production and ultimately
lead to a classless and stateless society – full communism.
Liberal Conception of Capitalism
Capitalism is rooted in the classical liberal ethos of individualism, enterprise and freedom.
It is an economic system that privileges private property, personal self-interest and
meritocracy. The liberal understanding of capitalism is most clearly elucidated in the
works of economist Adam Smith, who is widely known as the father of economics. In
his work An Inquiry into the Nature and Causes of Wealth of Nations (1776),
Smith explained how the free market system, or the Laissez-Faire, was the reason
why some nations were wealthier than others. This is a system founded on the principle
of non-intervention by the government in economic affairs. The doctrine believes that
the economy works most efficiently when left alone by the government. It assumes
that an unregulated market economy tends naturally towards equilibrium through ‘perfect
competition’ among free economic actors.1 Adam Smith believed that the invisible
hand of the market tended towards the prosperity of the whole. The Laissez-Faire
system is opposed to any form of governmental intervention unless it is restricted to
actions that promote market competition, such as checks on monopolies and the
maintenance of stable prices. In effect, the state is expected to play no bigger role in
the economy than that of a night watchman, whose primary responsibility is to maintain
law and order, protect private property, and ensure the smooth functioning of the
market. David Ricardo furthered Smith’s conception of the free market internationally
in his work On the Principles of Political Economy and Taxation. He argued that
countries should seek comparative advantage by focusing on trading goods they are
most efficient at producing. This will lead to mutual benefits for all trading partners.
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Capitalism
NOTES
1.4 ORIGIN AND DEVELOPMENT OF CAPITALISM
Theorising the origin of capitalism depends on the different meanings ascribed to it.
Thinkers who attach capitalism to the acquisitive investment of money or the spirit of
enterprise would infer that some form of capitalism has been in existence nearly
throughout all periods of history. For instance, the use of money for exchange and the
distinctive capitalist spirit of entrepreneurship were recorded in classical Greece and
Rome. However, understanding capitalism as a historiography with a unique class
system and socio-economic features is a fairly modern conception. Of course, there
are several stages in the development of capitalism. We will study them briefly in the
following passages.
Capitalism – A product of Modernity
Capitalism is an outcome of the period of modernity that began in Europe after the
medieval ages. The period provided the philosophical and political background upon
which capitalism originated and developed. Some of these were seen in movements
such as the Renaissance or Enlightenment, the Reformation, and the subsequent
Industrial Revolution. The Renaissance (which means rebirth), spanning from the 14th
century to the 17th century, marked the beginning of the modern period. This intellectual
revolution was characterised by the emphasis on scientific temperament and rationality
and the abhorrence of religion, traditionality, and conformism. The Enlightenment
philosophy privileged empirical knowledge, the universality of science and reason,
individualism, secularism, equality of human beings, and opposition to feudal and
traditional constraints on individual freedoms. The Enlightenment, in essence presented
a unified change in the worldviews of Europeans towards God, the natural world, and
human beings. The movement marked the mastery and control of humans over nature.
Similarly, the Reformation of Christianity, which was a religious revolution in
16 century Europe, had wide ranging social, political, and economic effects on society.
th
Led by remarkable leaders such as Martin Luther and John Calvin, the movement
gave rise to the formation of Protestantism, which challenged the traditional authority
of the Church and the Papacy and proclaimed that the only source of authority was the
scriptures. Anyone can achieve salvation by reading the Holy Bible on their own. The Self-Instructional
Material 7

NOTES reformation movement made individualism more prominent in the western European
world. It further gave rise to the idea of the sovereignty of the individual, upon which
were placed various other values of capitalism such as self-interest, egoism, and
freedom. Weber explains the beginnings of capitalism in the context of modernity and
reformation in his seminal work, The Protestant Ethic and the Spirit of Capitalism.
According to him, the Protestant ethic refers to the values of hard work, thrift, and
efficiency in one’s worldly calling, which were deemed signs of God’s blessings or
eternal salvation. Being hardworking, thrifty and enterprising would lead to prosperity,
which was considered to be a sign of heavenly affection. This ethic of Protestantism
laid the foundation for capitalism to develop and grow.
Further, the Scientific Revolution (1500—1700 centuries) was instrumental in
the emergence of modern science and technological advancement, which helped
capitalism grow and expand. The seminal discoveries and advancements in sciences,
technology, and medicine transformed the way knowledge was gained and applied.
The period heralded a phenomenal advancement in the way in which commodities
were produced and transported, furthering the reach of the budding capitalist economic
system. The Industrial Revolution which followed in the late 18th and early 19th centuries,
had critical economic and policy implications for the development of capitalism. The
radical transformation it brought about in the structure and organisation of industry
caused the industrial revolution to be regarded as the birth pangs of modern capitalism
(Dobb, 1950).
From Feudalism to Capitalism: Decline and Transition
Capitalism can be said to have emerged from the dismantled structures of feudalism.
Feudalism, which is commonly understood as serfdom, was an economic system
characterised by the division of the society into two major classes: feudal lords and
serfs, with the latter bound by the obligation to produce for the fulfilment of the economic
demands of the former. Spanning over the 9th and 15th centuries, according to most
historians, feudal society was an agrarian-based system in which economic and political
power were manipulated by the landowning class. Feudalism declined for various
reasons, beginning in England and giving way for the capitalist system of economic
organisation to take root.
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Capitalism
First, in the 11th century, England witnessed an important change in the agricultural NOTES
system through the advancement from the two-field system of crop rotations to the
three-field system. This led to increased productivity and other socio-economic effects,
such as the introduction of the enclosure system and the growth of urban populations
and towns, consequently leading to the rise of cities and urban centres. These
metropolises became sites for markets and trading centres. By the 13th century, England
began witnessing the emergence of capitalist economic organisation through the growth
of the Kulak class—the class of capitalist farmers who rented out their lands to landless
peasants—and the substitution of labour renting by money renting. These developments
brought about changes in the way agriculture was traditionally organized, and, in its
place, there emerged a ‘market feudalism’ (Suresh, 2010). The search for market and
profit had become the guiding motive for production. The newly emerging form of
economic organisation led to rapid urbanisation as swathes of landless labourers migrated
from rural habitats for better livelihood opportunities. These migrations were fuelled
by the lack of accessibility to land due to new developments in agrarian systems such
as the ‘enclosure programme’. This legal process of enclosure of land converted
erstwhile common land into consolidated larger farms, the use of which became
restricted and available only to the owner. This caused a sudden increase in rural
unemployment and landless labourers who became attracted to move to urban centres
where manufacturing units in textiles and minerals were developing. Further, as
techniques in agriculture advanced, leading to increased productivity per land unit, the
value of land decreased. On the other hand, the value of capital (other than land)
increased as the nascent industrial firms needed capital investment, thus making the
capital- owing class the most powerful section of the population. Karl Marx saw in the
emergence of cities the transition from feudalism to capitalism; it signified the territorial
shift in the concentration of capital and means of production from rural to urban areas.
Secondly, the Black Death of 1348—1350 during which more than 100 million
people died in Europe due to varied plagues, also contributed to the decline of feudalism.
The Black Death resulted in a massive decline in the labour force in England, which
caused labour to become a valuable commodity of production. This shortage of labour
caused immense exploitation of peasants, which resulted in myriad peasant uprisings
against feudal lords across Europe from the late 14th to the 16th centuries. Thirdly, the
Hundred Year’s War between France and England in the 14th and 15th centuries
inevitably strengthened the powers of the monarchs and subsequently weakened the Self-Instructional
Material 9

NOTES feudal lords. This centralisation of the king’s powers, complete with his own standing
army and robust economy, set the stage for the development of a strong capitalistic
state while enfeebling the feudal machinery. Thus, the events leading to the decline of
feudalism coincided with the rise of capitalism in England in particular and in Europe in
general.
1.5 EXPANSION OF CAPITALISM
The development of capitalism over the various stages of the modern period and
through the decline of feudalism reached its culmination in its establishment as a single
capitalist world order by the 19th century. The question of how capitalism expanded
and grew is of many contending views. However, there are some of the most commonly
accepted stages of capitalist expansion, which are discussed below.
Pre-competitive or Mercantile Phase of Expansion (1500—1800)
This phase of capitalist expansion is characterised by the scouring of Asia, Africa, and
South America by European merchants for gold, spices, slaves, and the monopoly of
existing trade routes. Calling the practice nothing less than disguised looting and
plundering, Paul Baran argued that Europeans transferred the economic surplus of
these regions to Europe to help fund the industrial revolution (Hoogvelt, 2001). This
drain of resources caused the overseas economies to suffer arrested development
and, in Walter Rodney’s words, a regressive societal evolution.
Colonial Expansion (1800-1950)
Colonialism, defined as the direct political control and administration of foreign territories
by another, led to the expansion of capitalism to regions outside Europe. The period
saw the spread of European rule to 85 percent of the Earth’s surface area, primarily in
Asia, Africa, and the Americas. This phase was marked by the internationalisation of
capital, through which billions of dollars were pumped into the colonial continents for
the building of railways, ports, mines, and factories (Hoogvelt, 2001). While these
investments were justified under the guise of the development of the colonies, it was
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10 Material

Capitalism
V.I. Lenin saw imperialism as the highest stage of capitalism. Later Marxist scholars NOTES
Immanuel Wallerstein and Andre Gunder Frank point to the imperial capitalist system
for the underdevelopment of colonial countries (periphery and semi-periphery) because
imperial powers (core) have exploited the wealth of these countries for centuries and
caused their impoverishment. This was achieved through the imposition of unequal
terms of trade, the monopoly of overseas markets, and the transfer of economic
resources. Thus, no matter how unfair the trade relations, colonialism was instrumental
in establishing the capitalist economic order in major parts of the world.
Neo-colonization or Late Monopoly Capitalism (1950-1970)
The decades after the Second World War were characterised by a wave of
decolonisation through which numerous European colonies in Asia and Africa gained
independence. While it marked the end of formal occupation and administration of
colonies, this period heralded a new phase of capitalist expansion known as neo-
colonialism. It is the practice of exerting indirect influence by the erstwhile colonial
powers over the newly independent countries through economic and cultural means.
Neo-colonialism manifested itself in the continued exploitation of developing countries
through the combined efforts of the first world via transnational corporations and global
and multilateral institutions. Despite being independent countries, the Third World
remained dependent on their erstwhile colonial masters and adopted western
conceptions of development and modernisation in their desire to catch up with them.
Neo-colonialism created a new form of extraction of surplus from the third world
known as technological rent. These are the lucrative profits western capitalists earn
through the sale of machines, equipment, and other patented knowledge to
technologically backward third-world markets (Hoogvelt, 2001).
Globalisation and Neo-Imperialism (1970 onwards)
The period from 1970 and beyond is characterised by the spread of this multi-
dimensional phenomenon known as globalisation. The period saw capitalism receive a
new fillip to become what James Fulcher called ‘remarketised capitalism’. Aside from
the unparalleled growth of market relations and multi-layered interconnections, the era
of globalisation saw the reinvigoration of monetary capitalism, especially in the US and
the UK, under the respective leadership of Reagan and Thatcher. There was a definite
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NOTES rolling back of the state, as evident in the reduction of welfare activities and taxation.
Neoliberal beliefs of free markets, competition, and productivity came to be hailed
again as the panacea against the sluggish economic performance of the past
(Keynesianism). The state was under intense pressure to facilitate the free market and
be competitive by accelerating foreign investment, privatisation, liberalization, and
deregulation of their economies. They had to weaken labour and environmental
legislation, unions, and welfare policies in order to attract transnational capital. At this
time, a new method of transferring economic excess was also established through
debt patronage, which involved an ambiguous promise to perform services in exchange
for debt payback. It is reasonable to argue that the globalisation era marked the beginning
of a new era for capitalism. The next parts will go deeper into our detailed discussion
of the connection between globalisation and capitalism.
1.6 GLOBALISATION
Globalisation is the complex web of multi-dimensional interconnectedness that has

come to envelop the world, especially in the post-1970s. It pertains to almost every
sphere of human experience, such as social, cultural, political, spiritual, technological,
etc. Human interconnection of the international kind existed in centuries past, too, as
evident in recorded history; however, the extent, depth, and complexity of present-
day globalisation are unprecedented. Globalisation has been defined in different ways
by many scholars. Anthony Giddens defines globalisation as “the intensification of
worldwide social relations that link distant localities in such a way that local happenings
are shaped by events occurring many miles away and vice versa.” He speaks of it in
terms of “time-space compression.” David Held thinks of globalisation as “a process
(or a set of processes) that embodies a transformation in the spatial organisation of
social relations and transformations assessed in terms of their extensity, intensity, velocity,
and impact—generating transcontinental and interregional flows and networks of activity,
interaction, and the exercise of power.” These complex processes are sometimes
overlapping and interlocking, but also, at times, contradictory and oppositional. Kenichi
Ohmae (1989) sought to capture the essence of globalisation in his idea of a ‘borderless
world’ where national borders have become increasingly permeable and divisions
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Capitalism
between people previously separated by time and space are less significant and often NOTES
entirely irrelevant.
Globalisation is multidimensional. The most significant ones are economic
globalization, cultural globalisation, and political globalisation. Economic globalisation
is representative of the capitalist global order, where no economy is an island but has
been absorbed into an interlocked global economy. It refers to the global economic
system where production is internationalised and there is a free flow of capital, finance,
goods, and services among national economies. The collapse of the Soviet Union and
the communist bloc catalysed the spread of economic globalisation in that many former
communist states were absorbed into the global capitalist system. Economic
globalisation has resulted in the reduced capacity of national governments to manage
their economies and resist transnational forces attempting to restructure them along
free-market principles (Heywood, 2013).
The increasing prominence of multilateral institutions and organisations
is a consequence of political globalization. In the years after 1945, these
organisations took shape in their current form as the United Nations and its
affiliates, including the World Trade Organisation, the International Monetary
Fund, NATO, the European Union, and the Organisation for Economic
Cooperation and Development (OECD), among many others. International
organisations are instituted to foster cooperation and concerted action among states
without compromising their sovereignty. However, such supranational bodies have the
capability to impose their will upon the nation-states (Heywood, 2013). Political
globalisation has broken the exclusive link between territory and political power. The
international and transnational institutions mentioned above have both linked sovereign
states together and transformed sovereignty into a shared exercise of power (Held
and McGrew, 2002).
Cultural globalisation is perhaps the most visible aspect of globalisation. It is
related to what many have called ‘westernisation’ or ‘Americanisation’ of indigenous
cultures. It is the phenomenon whereby information, commodities, and images produced
in one part of the world enter into a global flow that tends to homogenise cultural
differences between nations, regions, and individuals. Today’s worldwide cultural
communications are unparalleled in terms of scope, intensity, speed, and volume—
especially with the increased use of social media. The “information revolution,” the Self-Instructional
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NOTES growth of satellite communication, telecommunications networks, information technology

and the internet, and global media companies are the primary sources of cultural
globalisation (Heywood, 2013). It is strengthened by the emergence of global
commodities from transnational companies. The English language, which has become
so dominant, provides a linguistic infrastructure as powerful as any technological system
for transmitting ideas and cultures (Held and McGrew, 2002). It must, however, be
noted that this cultural globalisation is sometimes met with resistance in many parts of
the globe by groups keen to preserve and protect traditional ways of life.
1.7 GLOBALISATION AND THE STATE
There is a general concern about the sovereignty of the state in the era of globalisation.
Globalists who support and believe in the idea of globalisation have argued that the
state’s power has seen a general decline due to globalisation, while sceptics of
globalisation who question and challenge globalisation argue that the state has managed
to keep its power intact. There are three discernible views on the issue of the state’s
power in the era of globalisation, according to George Sorenson (2011).
First, the Retreat Scholars, who are essentially globalists, believe that
globalisation has led to the erosion of states’ power in various ways. They argue that
the growth of international and transnational organisations such as the UN and its
specialised agencies, as well as international pressure groups and social movements,
has altered the characters of both state and civil society. The state has become a
fragmented policy-making arena, permeated by transnational networks and influence.
Globalisation has broken the exclusive link between territory and political power,
resulting in what is known as the deterritorialization of power. Kenichi Ohmae, in his
work The Borderless World, argues that the nation-state has become an unnatural,
even dysfunctional unit for organising human activity and managing economic
endeavours. It represents no genuine shared community of economic interest; it defines
no meaningful flows of economic activity. Susan Strange, in her work The Declining
Authority of the State, points to the weakening authority of the state not only in the
economic sphere but in other spheres too. She writes, “The declining authority of
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Capitalism
and to local and regional bodies, and in a growing asymmetry between the larger NOTES
states with structural power and the weaker ones without it” (Strange, 2002). Further,
scholars like John Naisbitt go to the extent of arguing that modern states will break up
into many tiny units as a consequence of new tribalism. All these thinkers point to the
retreat of the state in the era of globalisation.
Contradicting the claims of the globalists above, the state-centric scholars
who are sceptics of globalisation believe in the continued centrality and salience of the
state’s power and sovereignty even in this so-called globalisation era. These scholars
are critical of the hype that has been created around globalisation, as they believe that
there is hardly anything unprecedented in economic integration and global trade. While
these scholars agree that states are to a certain extent influenced by international
organisations and multilateral processes, they still operate within the nation-state system.
In this age of the nation-state, the independence bestowed by sovereignty is still
important to all states. Modern nation-states are political communities that create the
conditions for establishing national communities and states are yet to be willing to give
this up. The national political processes are still actively practiced, political bargains
can still be struck between governments and electorates, and states continue to rule
(Held and McGrew, 2002). Similarly, Robert Gilpin argues that the nation-state remains
the prominent actor in both domestic and international affairs and that the impacts of
globalisation are nothing more than the consequences of technological development.
David Held and Anthony McGrew represent the transformationalist view of
globalisation. They tread the middle path in saying that both the state-centric and
retreat scholars are partly right in their own ways. They see globalisation as a multi-
causal phenomenon that cannot be completely understood using only economic logic.
They focus on the transformative character of globalisation, as they believe that it
transforms the organisation, distribution, and exercise of power. Different epochs of
globalisation have transformed the exercise of power through specific patterns of global
stratification. Stratification, according to them, has both a social (hierarchy) and a
spatial (unevenness) dimension. The social stratification of global units is hierarchical in
nature, whereas there is unevenness in the spatial spread of globalisation. This is to say
that there are asymmetries (or inequalities) in the control of, access to, and enmeshment
of global networks and infrastructures, while unevenness denotes the differential effects
of globalisation on the life chances and well-being of peoples, classes, ethnic groupings,
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NOTES and sexes (Held and McGrew, 2002). Through its transformative process, globalisation
may cause the states to become powerful in some domains and lose authority in others.
1.8 GLOBALISATION AND CAPITALISM
Globalisation, in particular its economic aspect, is seen as the spread of neoliberalism,

which in turn contains the crux of the capitalist order. Globalisation, thus, is essentially
the process of expansion and entrenchment of capitalism in the 20th century. The
linkage between economic globalisation and neoliberalism has several reasons,
according to Andrew Heywood (2013). First, globalisation induced intense international
competition for capital and markets, forcing countries to deregulate their economies
and reduce tax levels to attract transnational investment. Countries were further forced
to adopt neoliberal policies of reducing public spending on welfare programmes or
maintaining full employment while prioritising the control of inflation. Such neoliberal
policies were adopted in most countries worldwide by the 1990s and appeared to be
the dominant ideology of the ‘new’ world economy. Secondly, the transformation of
global economic institutions such as the World Bank and the IMF in the 1990s along
the principles of the ‘Washington Consensus’(namely, ‘stabilise, privatize, and liberalise’)
further expanded the reach of neoliberal capitalism to countries that were yet to be
incorporated. This forced developing and ‘transition’ economies (constituents of the
erstwhile USSR) to pursue neoliberal policies such as free trade, liberalisation of capital
markets, flexible exchange rates, balanced budgets, and so on.
Third, this neoliberal growth model has at its core the financial markets and the
process of ‘financialization’ made possible by the unparalleled expansion of the financial
sector of the economy. This process of economic globalisation transformed capitalism
into what came to be known as ‘turbo-capitalism’, fed by expanded monetary flows,
increased investment, and higher consumption worldwide. Another key character in
understanding the link between capitalism and globalism is the strong faith in open
markets and trade liberalisation encouraged by the creation of the World Trade
Organisation in 1995 and a shift in the global division of labour. Developed countries
that monopolised manufacturing shifted to services, exporting manufacturing processes
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to developing economies. These developments in international trade relations in the NOTES

post-1970 period explain how capitalism was fed, strengthened, and expanded by the
process of globalisation.
1.9 TYPES OF CAPITALISM
Capitalism is a complex economic system with variations not only in conception but
also in practice. Andrew Heywood pointed out that, despite having several common
characteristics, different societies construct their own models of capitalism depending
on their particular economic and political circumstances and their cultural and historical
inheritance. The notion of a ‘pure’ capitalist system was always an illusion (Heywood,
2013). Capitalism must be seen not to constitute a single economic form but, rather, a
variety of economic forms. He identifies three types of capitalist systems in the modern
world: enterprise capitalism, social capitalism, and state capitalism.
Enterprise capitalism, also known as the ‘American business model’, is widely
seen as ‘pure’ capitalism. This strand of capitalism is based on the ideas of classical
economists such as Adam Smith and David Ricardo, and modern theorists such as
Milton Friedman and Friedrich von Hayek. At its core lies unflinching faith in free
market competition based on the belief that the market is a self-regulating mechanism
in line with the principle of laissez-faire. Enterprise capitalism keeps public ownership
to a minimum and ensures that welfare provision operates as a mere safety net.
Businesses are essentially driven by the profit motive, with an emphasis on high
productivity and labour flexibility, while trade unions are usually weak (Heywood,
2013). The spread of economic globalisation since the 1980s has resulted in the
expansion of enterprise capitalism to other parts of the world.
Social capitalism has drawn from economists like Friedrich List, who, despite
being liberal, believed in state intervention to protect small industries from the difficulties
of foreign competition. Central to this model is an attempt to marry the disciplines of
market competition with the need for social cohesion and solidarity. This idea gives
rise to the concept of the social market as opposed to the free market. A social market
is one that is driven by market principles and is largely free from government
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NOTES interference, operating alongside a comprehensive welfare system and effective public
services geared towards social cohesion. The market is not an end in itself as much as
a means of generating wealth in order to achieve broader social ends (Heywood,
2013). This model of capitalism originated in Germany and is evident in many central
and western parts of Europe.
State capitalism refers to capitalist economies in which the state plays a crucial
directive role. It first emerged in Japan after 1945 and was adopted by the East Asian
tigers and China. Also called collective capitalism, this model emphasises cooperative,
long-term relationships among market players. Here, the economy is to be directed
not by an impersonal price mechanism but through what have been called ‘relational
markets’— a complex web of close relationships between economic sectors such as
finance and industry. Workers in collective capitalism commit their loyalty and hard
work to their employers and are in turn rewarded with lifetime employment, pensions
and social protection. The emphasis on and cultivation of collective identity development
and teamwork are facilitated by the very small salary gaps that exist between managers
and employees. Decisions on trade, investment, and research are significantly affected
by the state (Heywood, 2013).
Capitalism has been classified differently by other thinkers, but it mostly
corresponds to the above types. In their work, ‘Good Capitalism, Bad Capitalism’,
Baumol, Litan, and Schramm identify four varieties of capitalism: entrepreneurial
capitalism (USA), big-firm capitalism (Europe and Japan), state-directed capitalism
(China), and oligarchic capitalism (Russia). Similarly, political economists Hall and
Soskice (2001), in their book Varieties of Capitalism: The Institutional Foundations of
Comparative Advantage, identify two major types of capitalist economies: liberal market
economies (LME) and coordinated market economies (CME). Examples of LMEs
include the US, UK, Canada, Australia, New Zealand, and Ireland, while CMEs are
seen primarily in Northern European countries such as Denmark, Finland, Norway,
Sweden, Austria, Belgium, the Netherlands, Germany, and Switzerland. They position
these two models at the poles of a spectrum, along which many nations can be placed,
and warn that there exist significant variations even within these two types.
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NOTES
1.10 CHALLENGES AND CRITICISMS OF
CAPITALISM
Even as capitalism has emerged as the dominant economic system in the 20th century,
there are many inherent shortcomings that have invited scathing criticisms from thinkers
of various persuasions. Many have challenged its so-called triumph over rival modes
of production (socialism in particular), as was popularly proclaimed in the End of
History thesis propounded by Francis Fukuyama. One of the most prominent and
original challenges to capitalism was offered by Marx and the subsequent Marxist
thinkers, who saw the system as predominantly based on the exploitation of labour
and the appropriation of surplus value by the capitalist class. Capitalism entails the
commodification of labour, which is bought and sold in the market. Marx opines that
labour is living capital and is the true source of surplus value, which the capitalists
accrue as ‘profit’. This is nothing but systemic exploitation, forming the basis of capitalism
itself. In Marx’s words, “Capital is dead labour, which, vampire-like, lives only by
sucking living labour and lives the more, the more labour it sucks.” Marx argues that
capitalism leads to alienation of the worker from the production process in four ways:
alienation from their product, from the act of production, from their fellow workers,
and eventually, from themselves.
Lenin was another staunch critic of capitalism. In his work “Imperialism, the
Highest Stage of Capitalism,” Lenin argues that imperialism was the outcome of the
capitalists’ search for profits outside their countries. This was extremely exploitative
and unfair, leading to the impoverishment of colonised societies outside of Europe and
the eventual creation of an international proletariat class.
Dependency thinkers such as Paul Baran and Andre Gunder Frank locate the
reasons for the underdevelopment of third world countries (particularly Latin America)
in the dynamic and contradictory growth of the world capitalist system. The dependency
theory contends that the penetration of colonial capital in these countries created a
distorted structure of economy and society, which resulted in their perpetual economic
stagnation and impoverishment. Similarly, Immanuel Wallerstein’s World Systems
Theory posits the division of the world into a three-level hierarchy: core, periphery,
and semi-periphery, where the semi-periphery and the periphery are locked in an Self-Instructional
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NOTES unequal and exploitative systemic relationship with the core, the centre of capital
accumulation.
The neoliberal capitalist resurgence in the post-1970s drew intense criticism,
too. Critics see neoliberalism as struggling to maintain legitimacy as an economic doctrine
because of its association with increasing inequality and social breakdown. They argue
that the rolling back of the state while promoting market-centric policies driven by
self-interest has caused these harmful social outcomes. Further, Robert Cox (1987)
argued that ‘hyper-liberal globalising capitalism’ is rooted in major contradictions and
struggles and has predicted that its dominance is destined to be challenged and,
eventually, overthrown. According to Cox, contradictions are represented in the form
of the ‘democratic deficit’ suffered by the states that compels them to respond to the
dictates of the global economy rather than domestic public opinion, the growing pressure
to protect the environment from the destructions caused by relentless economic growth,
and the surrender of state authority to corporate financial and economic interests
(Heywood 2013).
1.11 SUMMARY
If we were to understand capitalism as the usage of money for exchange or profit,

capitalism may be said to have existed even in the ancient period. However, capitalism
as an economic system giving rise to specific class structures in relation to the forces of
production is a development that took shape in the modern era as feudalism declined.
Several moments in the period of the modern age have contributed to its development,
such as the enlightenment, renaissance, reformation, and the scientific and industrial
revolution. The march of capitalism gained momentum with the establishment of
imperialism and the colonial period. Capitalism took on newer forms after decolonisation
of the world through neo-imperial designs and globalisation.
Capitalism varies in practice, forming a spectrum from pure capitalism to state-
centric or managed capitalism. Capitalism and economic globalisation go hand in hand
to promote neoliberal economic principles throughout the world, especially in the post-
Cold-War era. Today, capitalism is seen as the dominant economic system that has
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Capitalism
capitalism faces staunch resistance and challenge from sections within societies that NOTES
see it as the major cause of global injustice, social inequality, and ecological degradation.
The challenge for capitalism today is to find ways to humanise itself in order to truly be
the path to prosperity for all, as its advocates ardently believed.
1.12 SELF-ASSESSMENT QUESTIONS
1. What is capitalism and how does it work?

2. Explain globalization and state in your words.
3. Examine capitalism from a critical perspective.
1.13 SUGGESTED READINGS
 Baumol, J. William, Robert E. Litan and Carl J. Schramm (2009) Good

Capitalism, Bad Capitalism, and the Economics of Growth and Prosperity,
Yale University Press, Yale.
 Dobb, Maurice (2007) Studies in the Development of Capitalism, Kessinger
Publishing, Montana.
 Fulcher, James (2004) Capitalism: A Very Short Introduction, Oxford
University Press, London.
 Hall, P and Soskice, D. Eds. (2001) Varieties of Capitalism: The Institutional
Foundations of Comparative Advantage, Oxford University Press, London.
 Held, D., & McGrew, A. G. (2003) The Global Transformations Reader:
An introduction to the globalization debate (2nd ed.). Cambridge, UK:
Malden, MA USA: Polity Press; Distributed in the USA by Blackwell Pub.
 Heywood, Andrew (2007) Politics, Palgrave Macmillan, New Delhi.
 Hoogvelt, Ankie (2001) Globalization and the Postcolonial World: The New
Political Economy of Development, Johns Hopkins University Press, USA.
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NOTES  Sorenson, George (2011) “Globalization and the Nation-State” in Daniele

Caramani (ed.) Comparative Politics, Oxford University Press, London.
 Strange, Susan (2003) “The Declining Authority of the State” in Held, D., &
McGrew, A. G (eds) The Global Transformations Reader: An Introduction
to the Globalization Debate (2nd ed.). Cambridge, UK: Malden, MA USA:
Polity Press; Distributed in the USA by Blackwell Pub.
 Wallerstein, Immanuel (2011) Historical Capitalism with Capitalist Civilization,
Verso Press, London.
 Wood, Ellen Meiksins (2002) The Origin of Capitalism: A Longer View,
Verso Press, London.
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Socialism
LESSON 2 NOTES
SOCIALISM
Nishant Yadav
Translated by: Narayan Roy
Structure
2.2 Introduction
2.3 Meaning of Socialism
2.4 The Rise of Socialism
2.5 Socialism in Western Political Thought
2.6 Utopian Socialism
2.7 Scientific Socialism
2.8 Development of Socialism: Other Popular Forms of Socialism
2.9 Summary

 Evaluate the meaning of socialism.
 Examine the history of socialism.
 Analyse the distinction between utopian and scientific socialism.
2.2 INTRODUCTION
In the current era of democratic governance, it becomes necessary to have knowledge

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of ideologies to evaluate the governance system and its policies. In the global scenario, Material 23

NOTES we become aware of two main political ideologies, namely liberalism and socialism.
However, in the course of ideological development, the continual rise of new branches
in both of these political ideologies is also being seen. In the same development
sequence, the rise and development of Marxism, Leninism, Maoism etc. within socialism
have been understood and tested as a principle of theoretical thinking and the operation
of political power.
This lesson will be divided into three parts, excluding the definition of socialism.
The first part identifies the features of socialism given by political thinkers. At the same
time, when we explore the ideological origins of socialism, we find that morality is the
basis of the imaginative stream of socialism. And this stream hopes for socialism to
flourish only on the basis of morality. The second part of the lesson outlines the features
of socialism in Western political thought. In addition to this, the first use of the word
socialism, the ideological father of socialism, the different views of socialism, and the
different specific forms of socialism will also be discussed in this part. The third part
will explain the socialist concept prevalent in Indian political thought. Modern Indian
political thought will also be included in this section.
2.3 MEANING OF SOCIALISM
Socialism is a major ideology among modern political ideologies. It is directly related

to the problems prevailing in human life. In this perspective, socialism is not just a
socio-economic philosophy but also a political theory and social movement that takes
different forms in different conditions, situations, and periods. For example, in countries
such as Russia and China, it is displayed as a totalitarian right where every aspect of
human life is tried to be brought under state control by this totalitarian right. On the
other hand, socialism also defines itself as a welfare state by controlling the economy
in other western countries. In a nation like India, it is defined by political and social
thinkers like Mahatma Gandhi, Jawaharlal Nehru, Ram Manohar Lohia, Jayaprakash
Narayan, Narendra Dev, etc. as Gandhian socialism or democratic socialism.
Regardless of the differences in the definition of socialism, as a basic concept, it
is the production and distribution of natural wealth through the state or society. The
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Socialism
community; they are for the entire society and mankind. Therefore, for the proper NOTES
distribution of it, it should be controlled by the state or society, and exploitative evil
like private property does not take birth in human society. In modern-day politics,
socialism can be seen as the opposite of a non-interventionist state or capitalist state,
which supports the idea that resources and wealth should be under the control of a
social institution called the state so that these assets can be equally distributed in society
and ideas like private property cannot arise. Equal distribution of wealth, reward, and
honour has been considered the basis of a stable and just society; concern for the
poor, oppressed, and deprived of rights and the establishment of an equal and just
society have been the basis of intellectual thinking in socialism.
Har Babil’s statement illustrates the generality of socialism: “Socialism is indeed
a whole world of philosophy. It is an indicator of atheism in the field of religion, of
infinite optimism in the state, of naturalistic materialism in the field of spiritualism, and
of almost complete laxity of household ties and matrimonial bonds in the field of family.”
According to Wacker Coker, “Socialism is the policy or principle that aims at
the better distribution of wealth and the better production of wealth under it than a
system prevailing by a democratic central authority.”
According to Bernard Shaw, “Socialism refers to the control of all basic means
of property. This control will not be by any one section of society but by society itself
and will be gradually established in an orderly manner.”
2.4 RISE OF SOCIALISM
When we go through the history of socialism, we see that socialism did not originate in
the history of political thought, but it developed as a result of the reaction of individualist
ideology. It is considered to be the inevitable culmination of certain developments,
which emerge as a separate ideology in the backdrop of the Industrial Revolution.
Socialism is the logical consequence of the backlash against both the political system
and the individualist system. In terms of equality of human beings or social systems, the
sources of this type of ideology can be traced back to very ancient times. Socialist
sentiments can be traced to India’s glorious past. If we look at the Indian religious
literature, we find that from the beginning of civilization, there was a social sense of Self-Instructional
Material 25

NOTES public welfare. The Rigveda condemns the giver’s praise and greed and also emphasises
the equal distribution of wealth.
Such ideologies are also found in other religions. For example, in the Old
Testament, such mention is found in the speech of ancient Jewish prophets, which
condemned the atrocities of the Dhanikas and imagined a just society in which the
king would punish the Dhanikas and protect the interests of the poor. But it becomes
necessary to say here that the views of all these prophets or thinkers were religion-
oriented, whose basis was religion rather than society. That is, in religious terms, all are
equal, or all are children of the same God, so one person should not do injustice to
another.
Possibly the most obvious mention of equal distribution in Vedic literature is in
the Samajsanya Sukta. It is said in this that the drinking place and the distribution of
food should be the same. It is said in this Suktam, while giving the ideal of the present
socialists, “You all have to be a mind that moves together and has to equally share
food together.” Gandhi writes, acknowledging that not only socialism but also
communism are evident in the first mantra of the Isophanishad. The meaning of the
mantra is that “everything in the world is created by God, so consume it while sacrificing
in his name, and do not be lustful for anyone’s wealth.”
2.5 SOCIALISM IN WESTERN POLITICAL

THOUGHT
The process of socialism in Western political thought begins with Plato. Although
Sophists and Socrates have contributed to political thought, they have never propounded
or interpreted socialist principles based on state governance principles or from
ideological points of view. Therefore, the process of socialism seems to be started
from the Plato. The seeds of socialism are embedded in Plato’s depiction of the ideal
state in his great book, The Republic (380 BCE). Plato introduced the idea of
communism in terms of personal property and family. The premise of this idea was that
personal property and family misguided the person in his social life. Plato prohibits
property and family for the first two classes of his ideal state; those were the ruling and
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military classes. But communism of wives and property was saner; thus, Plato’s ideal NOTES
society was directed from above and was unequal. Therefore, Plato cannot be
considered a complete socialist.
After Plato, Sir Thomas Moore’s ‘Utopia’ (1516), despite its republican
tendency, was conceived as an alternative to the present society, and perhaps that is
why Utopia is considered the primary socialist work. The principles that Moore has
propounded and emphasised in his work were considered to be ideal. These principles
were the abolition of private property, the responsibility of all to the work, equal rights,
the right to wealth, state administration, state control over the means of production,
and ending poverty and exploitation. Taking a sharp sarcasm at the erstwhile unjust
system of England, Sir Thomas Moore has described the ideal system of an island
called Utopia in which all persons keep the things produced by their own labour in one
place, and from there they continually receive according to their needs. No one had
personal property on this island of Moore, and it had an empire of peace, but the
society that Moore had imagined seems like a dream country. He wants to see everyone
happy and happy in such a dream country. He highlighted the social chaos of the
erstwhile England and drew the attention of the people towards the principles of
industrial organization and reforms related to labour, agriculture, education, religion,
etc. However, Moore’s works laid down some prerequisites for modern socialism.
Socialism originally emerged as a reaction to the French and industrial revolutions,
which gave a decisive shape to human society and life. For the first time in history,
there was great enthusiasm and hope that an equal and rational society would be
created based on technology and science. Industrial society gave birth to the hopes of
a happy and high- production society, but the concentration of wealth and uncontrolled
competition had led to poverty and crisis, whose only solution was to build a society
based on equality, cooperation and sociality.
The works of Fans Noel Grax Beboof and Filippo Missel Bunaroti, who were
influenced by the ideas of Jean-Jacques Rousseau and the Renaissance, show the
earliest indications of socialism following the French Revolution. Their original ideal
was equality. Beboof not only criticised the erstwhile society but also suggested ways
to organise a new society as an alternative. He talked of overturning the present system
in a conspiratorial manner, as the public was still under the influence of the exploiters.
Beboof had said that through universal education, people can self-rule with the help of Self-Instructional
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NOTES self-selected institutions. Beboof had differentiated between the rich and the poor and
economically criticised a society that was based on personal property, similar to
Rousseau, and in the logic of this criticism, he cited the example of social equality.
Beboof’s contribution is important as it had revealed the contradiction between the
revolutionary declarations of freedom and equality. Independence does not mean only
legal and civil rights; it also means the freedom of economic activity without any
hindrance. Independence was not only liberating from autocratic power, but it was
also an important way to get rid of slavery, exploitation, poverty, and inequality.
Beboof believed that socialisation of industries and land should be done so that
the revolution started in 1789 could be completed. Beboof emphasised the universal
right to work, equal rights over the natural wealth of the earth, and equality of human
happiness. On the other hand, Bunaroti said that all people have equal rights over the
objects of this earth. The source of inequality is private property that must be completely
eliminated, and wealth should be divided among all, regardless of what they are doing.
There should be neither succession rights nor large urban cities. Everyone should
contribute an equal degree of physical effort and should remain equal. The idea of
equality is associated with the idea of community. After these primary socialists, if we
look at the then socialist ideology, we come across two branches of socialism: utopian
socialism and scientific socialism.
2.6 UTOPIAN SOCIALISM
Jerome Blanqui, in his work ‘History of Political Economy’ (1839), providing a detailed
description of socialism, described Robert Owen, Charles Fourier, and Saint Simon
as the primary socialists. The above three socialists had a moral and social attitude
towards society and emphasised the well-being of society and the happiness of the
people. They refused to accept the competition as a social system. Among these three
socialists, Saint Simon was the greatest intellectual. Saint Simon was very supportive
of scientific planning and large-scale industrial organization. He had hoped that the
national states could be turned into big corporations under the leadership of scientists
and technicians. He laid great emphasis on economic development and the spread of
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Socialism
banks and railways in the Second Empire. He presented the theory of industrial society. NOTES
His economic ideas were similar to state socialism, but they were very different from
the principle that every person should bear fruit according to his capacity as a social
worker.
Saint Simon was a person who highly believed in technology; he believed that a
progressive society can be built only by reforming the political system, i.e., social and
economic equality. He was opposed to parliamentary democracy and a modern voting
system. By system, he meant scientific, industrial, and economic organisation, in which
there was no military or political power. He hoped that France would provide a new
system for the entire world. He emphasised peaceful relations between modern nations
so that the military system of human society could not be used to serve some insignificant
political objective. He was a strong critic of the dilapidated condition of the working
class in England. Saint Simone made significant contributions to the history of socialism,
such as the planned economy for full employment, the expansion of purchasing power,
and sharing according to work. Saint Simone had a technical view of development in
history. He was the first person to describe the conditions that we today call the
Industrial Revolution.
The father of British socialism, Robert Owen (1771–1858), was a successful
industrialist as well as a social worker and social reformer. He criticised the present
society ethically, and the basis of his moral outlook is religious humanism. In his book
‘A New View of Society’ (1813), he gave place to the ideas of society. Robert Owen’s
approach to understanding social problems was materialistic; he believed that changing
external conditions also changed human character. That is, a positive change in the
environment in which the person lives and resides also shows a positive change in
human life. This is why, rather than competition and oligarchy, Robert Owen emphasised
collective ownership of the means of production, a market based on cooperation, a
classless and potential society, social justice, equality, and civic education. Robert
Owen writes in his book ‘A New View of Society’ that presents that society is full of
selfishness, ignorance, hypocrisy, evil, hatred, and hostility due to the current social
conditions, and to overcome this, we need to build a new world, which would be
based on the belief that the character of a human would be for him and not by him. By
accepting this important reality, a basis for change in external social status will emerge,
which will create good human character.
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NOTES Owen writes, “By using the right methods, any human community, even the
entire world, can be given a common quality, from the worst to the best, from ignorance
to knowledge, and these methods, to a large extent, are under the control of those
who interfere in the affairs of human life. Robert Owen believed that the character of a
human is determined by the situation and the environment in which he lives. Bad situations
give rise to bad people and good situations lead to good ones. Owen successfully
used this principle in his textile mills. In his textile mills, Owen reduced work hours
from fourteen to tenanda-half hours per day, improved workplace conditions and
established a model school and child center so that the individual would be free from
family worries and could freely dedicate himself to work. This experiment by Robert
Owen was a huge success, and his annual profit also increased compared to before.
Owen writes, “If good maintenance of your inanimate machines can lead to good
results, what can not happen with the same attention to living machines, which are built
more brilliantly?” “ The social conditions of the day forced Robert Owen to lean
towards social service, which resulted in Owen establishing an ideal community called
‘New Harmony’ in America and also playing a central role in England’s cooperative
and trade union movements.
Charles Fourier (1772–1837), like Robert Owen and Saint Simon, is one of
the early modern socialists. With Saint Simon, he started the French socialist movement.
Fourier was the first thinker to criticize capitalist civilization in the context of a materialistic
vision of human nature. Fourier believed that the capitalist class benefited from major
political changes, and its social dominance was concealed by liberal theorists. Fourier
envisioned an ideal European community called ‘phalanstère’ where the wishes of
each person would be fully developed and satisfied. In his creation, he gave ideas
related to socialism. Fourier proposes the idea that a certain amount of money should
be set aside for every person from the production of industries. Excess production
should be divided between labour, capital and capacity. Labour should get 5/12, capital
4/12, and the remaining 3/12 of capacity. By changing the Saint-Simonist formula,
Fourier propounded that “from each according to his ability, to each according to his
labor, capital, and ability.” Fourier divided labour into three parts: essential labour,
useful labour, and preferred labour, and stated that essential labour should receive the
highest income and preferred labour should receive the least income because the
preferred labour had the least sacrifice.
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Charles Fourier used to say that social emancipation is not possible without NOTES
economic equality. Fourier accepted inequality of capabilities and payment according
to work and believed that this would gradually eliminate the privileges of the rich and
end the class conflict. Fourier not only supported the right to choose a favourite job
under the social system but also talked about freedom from the obligation to work.
Fourier spoke of a ‘social minimum’ and a fixed annual income so that every person
can get the right to work.
2.7 SCIENTIFIC SOCIALISM
Utopian socialism presented a detailed critique of contemporary social reality, aiming

to go beyond the present imperfect society to establish a complete and harmonious
human order that actively protects human freedom and seeks a social system that is
free from oppression and exploitation. But this early branch of socialism, which is
emotionally devoted to human emancipation, failed to provide any concrete solution
or alternative to these systems.
It did not develop any clear principles or ideas related to the state that governs
social systems. Scientific socialism was born as a systematic theory to bring these
characteristics of utopian socialism to the ground of reality. Since Karl Marx made an
immense contribution to its rendering, it is also called Marxism. But it would be unfair
to name the entire scientific socialism as Marxism because, in different countries, the
same scientific socialism is known by different names due to its special needs and
principles. It is only from the socialist ideology propounded by Karl Marx and Engels
that systematic socialist socialism originated.
Karl Marx vehemently opposed social inequality, economic inequality, the
capitalist system, and class discrimination and presented a scientific explanation of
these issues. Marx also proposed practical philosophies to correct the anomalies existing
in society. He systematically described the process of establishing a classless and non-
exploitative society by mentioning the defects or imperfections of the capitalist system.
On the basis of dialectical materialism and economic interpretation of history, Marx
presented a scientific approach for the establishment of socialism, through which the
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NOTES desired society can not only be depicted but also the situations through which the goal
of this desired society can also be achieved.
Marx’s socialist ideology lies in his sympathy for the then labour (proletarian)
revolution. According to Marx, through capitalism, a class of individuals is born that
depends on their wages. In a capitalist situation, workers are used as commodities
and are forced to sell their labour. Marx believed that political relations such as power
and law, which control the social lives of workers, are the result of the capitalist economic
system. For the unity of the workers, Marx gave the slogan ‘Workers of the world
become one’ which made the working class aware of the revolution.
2.8 DEVELOPMENT OF SOCIALISM: OTHER

POPULAR FORMS OF SOCIALISM
 Collectivism
Collectivism is known by many names, like groupism and holism. Collectivism was
founded as a reaction to radical socialism, as it seeks to establish genuine socialism
through revolution, violence, or opposition. Collectivism holds that revolution generates
counter-revolution and that it is not possible to establish lasting peace. This is the
reason why collectivism wants to establish socialism through peaceful, liberal,
democratic, and statutory measures. According to this approach, nationalization of
industries can remove the defects of the capitalist system, as nationalization ends
meaningless competition.
According to collectivism, the main goal of the state is to use the gains from
nationalization in the public interest so that exploitation can end. According to collectivist
beliefs, the central government will manage the subjects of national importance in the
social system, but the local institutions will manage the subjects of local importance.
The government will determine the minimum wage for workers. The individual economic
sectors act as a complement to each other, not as rivals. Through the tax system, the
government will attempt to lessen the gap or division between rich and poor. It will be
the responsibility of the state system to arrange employment for all the citizens of the
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Socialism
country. The responsibility for the distribution of essential commodities will fall under NOTES
the government so that they can be equitably distributed.
 Labour Unionism
This form of socialism, which promoted the interests of the workers, was founded in
opposition to capitalism. It was founded as a result of the working-class movement in
France. George Sorrells is considered to be the main exponent of this theory. We can
consider this theory to be the result of the reaction to the French Revolutionary ideal of
freedom, equality and fraternity because, after the French Revolution, the occupational
and manufacturing classes took control over the system of governance, which hindered
the freedom of workers to work. As a result, workers did not have the freedom to
adopt economic and political measures. The democratic system of France also did not
fully support the interests of the workers, because of which the workers of France
became jointly powerful, and then they abandoned both the trade union and political
socialism and sought to find their way to liberation by class struggle, strike and subversive
means. In this way, the workers of France pioneered workers from all over the world
to unite and the result of this effort is labour unionism.
 Fabianism
This form of socialism was founded by English intellectuals in England in 1884, due to
which it is called a movement of intellectuals. The main objective of this theory was to
present the principles of socialism to the educated masses so that a socialist society
could be established through democratic, orderly, non-violent and peaceful means.
Early proponents of this theory were scholars such as Sidney Webb, George Bernard
Shaw, Annie Besant, Graham Wallas, and G.D.H. Cole.The goal of this principle is to
restructure society by freeing land and industrial capital from personal ownership and
handing them over to society for the public interest so that the natural and acquired
wealth of the country can be distributed fairly among the people. This principle seeks
to establish public interest in place of personal gain as the prime goal in the regulation
of production, distribution, and service. According to Fabianist thinkers, the state
should establish its authority with all its power over all the departments and organs of
production so that the benefits derived from it can be distributed in a fair manner and
the society can get rid of the vicious cycle of economic inequality.
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NOTES In the words of George Bernard Shaw, Fabianism’s adherents were the least
revolutionary socialists and did not support violence in any way. Their socialism is
essentially universal socialism, which means that the state’s rights are expanded to the
point where a license for goods sales is a clear illustration of how socialism is progressing,
and the presence of authorities indicates that we live in a communist society. Regarding
the state’s work area, there are several variations. Socialism is a path with no
predetermined end point. They are ardent supporters of extending voting rights and
ballots. The primary characteristic of Fabianism is its attempt to impose socialism
through legal mechanisms. It is also noteworthy that Fabianist thinkers have only
explained the objectives of socialism without rendering any particular theory. Because
of this, Fabianism is a policy, measure and instrument that seeks to achieve the goals of
real socialism in peaceful ways.
 Category Socialism
Category socialism is, in fact, the English socialist ideology of the early 20th century
that seeks to mold the qualitative form of medieval hierarchy, French federalism, and
evolutionary socialism to establish a social order under which the control of industries,
free from external pressures, should be in the hands of the workers and the industrial
system should be operated for the productive, consumer and collective society.
Dissatisfied with the Fabian ideology of socialism, thinkers like G.D.H. Cole, A. J.
Penty, and S.G. Hobson provided a new socialist ideology to eliminate the shortcomings
prevailing in the then economy, which is called category socialism.
G.D.H. Cole, defining category socialism, writes that “category socialism is based
on the partnership of producers and the control of industries by the state. Without
industrial independence, the entire change in the structure of society will be only a
hoax. The real and influential power should be in the hands of the workers.” Category
Socialism is not satisfied with mere social ownership of the means of production; it
also wants the control and operation of industries and businesses in the hands of the
workers so that they can experience complete freedom in their region. Similarly, the
benefit of production should not be personal but should be compatible with social
utility so that there is no possibility of human exploitation by other human beings. The
goal of this socialist ideology is to establish a democratic social organization.
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Socialism
 Communism NOTES
It can be described as the principle of state abolition, which probably could never be
achieved in real politics. In principle, communism involves the abolition of the state
system and private property and the creation of a classless and self-governing society.
After the end of Czarism, the then rulers of the USSR tried to implement these communist
goals but could not even come close to these values. Instead, they wiped out many
pre-existing and necessary prerequisites for behavioral communism, such as a strong
civil society, etc. Therefore, for most socialist thinkers, communism has always been
the norm that would follow the creation of a socialist state. In this context, the USSR
(Union of Soviet Socialist Republics) argued in its constitution that “a developed socialist
society is an essential stage on the road of communism,” and the Soviet state aims to
lay the “foundation of a classless communist society in which there will be public,
communist self-government.” But even by the 1980s, the USSR was far from achieving
this goal. Despite the increasing international pressure of globalization, in 1989, Chinese
leaders claimed that their country was moving towards the achievement of “real”
socialism. However, in practice, it can be seen that at that time, China was moving fast
towards becoming a free market system.
 Leninism
Lenin dreamed of ‘One Country, One Socialism’ instead of Marx’s ‘Workers of the
world become one’. Leninism argues that the possibility of a proletarian revolution in
Europe was less, and with the rise of a relatively small section of the rich workers, this
probability of revolution would further decrease, so Marxism would have to adapt or
to fit in the new conditions. Marx argued that revolutionary socialism would come to
industrialized countries, through the efforts of workers, but Lenin believed that it could
also emerge in less industrialized countries such as Russia, if peasants, ethnic minorities,
and other aggrieved groups mobilized. In this way, Leninism added many basic ideas
to socialism, which are as follows:
 Vanguardism
Lenin argued that a dedicated and professional vanguard must promote revolution on
behalf of the proletariat and promote revolutionary consciousness between the labour
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NOTES movement and propaganda (or demonstration). In contrast to Lenin, other European
Marxist thinkers believed that before the revolution Russia would have to move forward
industrially which is why they criticized Lenin for trying to implement this process.
Critics also argued that his vanguard would simply replace the old elite with a new
elite, which would reduce the possibility of a social-worker revolution. They were
proved right when the vanguard party became a permanent and elite feature of the
Soviet system.
 Democratic Centralism
For the Vanguard Party to succeed, Lenin argued that free political discussion and free
elections between the political parties should be organized around the idea of
†democratic centralism. Each level of the party will hold the election of the next highest
and decisions will be passed through the ranks. The party will control every other
organization and social unit, from family to school. This principle is often blamed for
leading to Stalin’s totalitarian rule.
 Imperialism as the highest stage of capitalism
Lenin spoke of the need for a worldwide struggle against capitalism and tried to explain
why rebellion, as Marx predicted, did not occur in Western countries. He argued that
the profits of colonialism made the capitalists able to calm down workers by paying
better, which postponed the revolution. At the same time, imperialism was making
class exploitation and polarization a global phenomenon. Under which Lenin predicted
that the colonies would understand and accept this exploitation before finally fighting
for their freedom. The struggle against capitalism would be widespread in Europe
when the concessions given to workers from the profits of colonialism were abolished.
 Maoism
Marx focused only on the labour revolution and argued that farmers would have no
role in it, while Lenin encouraged and united the peasants for the Russian Revolution,
he received support mainly from urban workers. Whereas, the proletarian revolution
in China, by contrast, was fostered by the educated and trained peasant army under
Mao Tse Tung (1893–1976) to promote revolutionary consciousness among the
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Socialism
capitalist society, but Mao did not allow the revolution to fall short of any level, affecting NOTES
humanity all the way. Mao’s major contribution to socialist theory was to make Marxism-
Leninism in harmony with rural and agricultural societies and to develop a populist and
radical form of Marxism with some specific Chinese influences. For example, China
has long regarded foreigners as barbarians. It was an idea that heightened Mao’s
resentment against imperialism and against anyone dealing with foreigners. He argued
that the people should be questioned and criticized by the authorities, and he attempted
to make communism less dependent on the bureaucratic elite, as it was in the USSR
under Stalin. He emphasized communalism, small-scale social and economic units,
and the rejection of the aristocracy. Mao emphasized reform and discretion, considering
the state’s Chinese views as the supreme teacher. For example, to discourage the
aristocracy, he ordered that students, professionals and other urban dwellers also be
sent occasionally to work in farms and factories.
Thus, Maoism was more radical than Marxism and applied Marxism to rural
societies. It also made it attractive for nationalist movements in Asian, Latin American,
and sub-Saharan African states. Mao argued in the 1920s that “political power flows
out from the barrel of the gun,” and he used a peasant army and the revolutionary
guerrilla war to take power in China. His methods inspired Fidel Castro in Cuba and
Ernesto “Che” Guevara in Bolivia. It inspired nationalist movements. It also prompted
some American foreign policymakers to easily link nationalism with communism,
prompting them to withdraw support from nationalists and support repressive right-
wing regimes because they were non-communist. The best example of this can be
seen in the Vietnam-War, when the United States and its allies refused to help the
newly independent North Vietnam in 1954 because its leader, Ho Chi Minh, was a
communist. Here, the United States moved forward, supporting the government of
South Vietnam, causing America to join one of the most tragic and costly wars in
history.
2.9 SUMMARY
In light of the above facts, we see that the idea of socialism is very old, but it emerged
as the theoretical basis of a systematic ideology, movement and policy-making with Self-Instructional
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NOTES the aim of facing economic and social inequality, which has increased due to capitalism
since the industrial revolution. Although Marx, considering his predecessor socialism
as imaginative, claimed his principles to be established on a scientific basis, but socialism
has a special meaning under Marxism. Socialism comes into existence when the working
class revolts and ends capitalism and establishes the ownership and control of the
proletariat over the principal means of production. At this stage, attempts are made to
erase the remnants of capitalism. The forces of counter-revolution are crushed and the
powers of production are developed so that the path of communism, that is, classless
and stateless social order, can be prepared. In other words, according to this view, the
temporary stage after the fall of capitalism and before the rise of communism is called
socialism.
But the mainstream of socialism does not consider it a temporary condition but
rather sets a goal of social change and motivates it to move forward continuously.
Since many branches and sub-branches of socialism define its goal in their own way, it
is sometimes referred to as a periphrastic ideology. In view of the same ideological
position as socialism, C. E. M. Joad, defines it as, “Socialism is a hat that anyone can
wear.”Despite all these ideological differences, some common universal goals of socialism
must be recognized. In short, socialism supports equality, especially equality of
opportunity for humans and seeks to abolish privileges that are not based on one’s
own merit and diligence. Since the opportunities available to an individual in the industrial
age are dependent on the system of ownership of the principal means of production,
socialism seeks to abolish private ownership of these means and establish public
ownership of them, so that few people do not use them for personal gain. In any case,
the goal of socialism is not to establish equality in the areas of income, wealth, and
respect, because it will destroy all incentives, and in the absence of encouragement,
people will not be ready to give their best contribution to society.
1. Enlist the differences between Utopian and Scientific Socialism.

2. Explain Socialism in western political thought.
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NOTES
 Thili, Frank (2016). History of Western philosophy. New Delhi: Anamika

Publications.
 Lejak Kolakowski (1978); Main Current in Marxism, London; Oxford press
 Mukherjee, Subrata and Ramaswamy Sushila (1999). History of socialist
thought. New Delhi: Hindi Medium Implementation Directorate, University of
Delhi.
 Sabine, .G. (1977). History of political philosophy. New Delhi: S.K. Chand
and Company Ltd.
 McCormick, John (2009). Comparative Politics in Transition.
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Colonialism and Neo-Liberalism
LESSON 3 NOTES
COLONIALISM AND NEO-LIBERALISM

J.S. Pathak
Structure
3.2 Introduction
3.3 Colonialism: Context and Forms
3.4 Neo-Colonialism
3.5 Features of Colonialism
3.6 Decolonisation: Context and Forms
3.7 Decolonisation during Various Stages
3.8 Decolonisation and Its Types
3.9 Different Approaches
3.10 Colonialism and Decolonisation: Implications
3.11 Summary

 Understand the historical context and various forms of colonialism
 Identify and analyze the key features of colonialism
 Explore the context and diverse forms of decolonization
 Analyse the implications of colonialism and decolonization on contemporary
societies
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NOTES
3.2 INTRODUCTION
Colonialism and decolonisation have impacted the history of the world in more ways
than we can imagine. It has shaped the current social, political and economic conditions
of states which have been a part of the process either partially or directly, for both the
coloniser and the colonised.
The objective of this lesson is to understand colonialism, its context and the
different forms of colonialism. This lesson would briefly explain what is meant by
colonialism, its different forms, stages and characteristics. As we try to understand
these concepts, we will also engage with concepts such as imperialism, new imperialism
and neo-colonialism. Followed by a discussion on what we understand by
decolonisation, discuss its historical context and then engage with the implications of
both colonialism and decolonisation.
Colonialism and decolonisation have to be understood in the context of the
growth of industrialism in eighteenth century Europe. As Europe began to industrialise,
there was an urge to ensure a steady supply of raw materials and a market to sell the
manufactured goods. The need for raw materials and markets led to colonial expansion,
therefore leading to a scramble for territories between the European powers to ensure
a protected market. The European colonial powers divided Asia, Africa and South
America amongst themselves, which was achieved through either military conquest or
political dominance. The competition for colonies led to great power rivalry in the
international system, in which the powerful European states competed amongst
themselves in their quest to expand their empire. The struggle for colonies was influenced
by events at the international level and certain developments at the domestic level
which had implications for both the colonised and the coloniser. For instance, in India,
the fight for territory led to a series of battles between the British and French. The
course of British and French rivalry in India was shaped by events outside India.
Events such as the outbreak of Seven Years War in Europe in 1756 between the
French and British forces, had an impact on the Carnatic Wars in India. The rivalry
between these countries, however, culminated in the consolidation of the British empire
in India. Similarly, there was a scramble for territorial possession between the European
powers in the Middle East, Africa and Southeast Asia through a series of battles and
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NOTES
3.3 COLONIALISM: CONTEXT AND FORMS
The term colonialism refers to a large-scale political and economic system that allows
one geopolitical entity (such as a nation-state or city-state) to establish controls beyond
its traditional geographic borders in the service of increased profit or power (Ahuja
2014:237) Specific to the character of colonisation is the nature of the unequal
relationship between coloniser and the colonised. Such a relationship is based on
disproportionate economic and political rights, often solely to the advantage of the
coloniser. In history, we have seen examples when countries would occupy colonies
to fulfill their economic requirements at the cost of the host country.
The term imperialism refers to a process whereby a country occupies another
country’s territory and has complete control over not just the economic aspects of the
colony but also the cultural, social and political aspects of life. Also, colonialism is
constructed on the notion of the white man’s burden, which is based on the assumption
that it was the alleged duty of the European colonial powers to manage the affairs,
culture and civilisation of the colonised population since the coloniser had a superior
sense of governance and civilisation as opposed to the indigenous cultures of the
colonies. Such a discourse had set the pace for racism, exploitation and domination
among the indigenous communities in the occupied territories. The very fact that there
is an obsession with fair skin in many post-colonial societies, for example in the Indian
scenario with a booming industry for fair skin products, could be attributed to colonialism
along with other factors. Colonialism has influenced our worldview of what we consider
as to be ideal and of the highest standard. Therefore, with the onset decolonisation
process, post-colonial studies have made an attempt to critically reflect on the
implications of colonial rule on the colonised territories.
New Imperialism, on the other hand, refers to the period when new colonial
powers started their colonial expansion in the late nineteenth and twentieth centuries.
It is characterized by the dominance of Western European powers, the United States,
Russia and Japan as new colonial powers for territorial expansion, especially in Africa
and Asia.
In historical context, scholars have tried to categorize different forms of
colonialism, by identifying a certain pattern for each of the forms. However, these Self-Instructional
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NOTES forms may overlap depending on the social, economic and political conditions of the
coloniser and the colonised. The nature of colonialism may vary from being exploitative,
settler, surrogate, internal colonialism or neo-colonialism. In settler colonialism, large
scale immigration takes place for economic and social benefits. Scholars identify such
patterns of colonialism in Australia and the United States. In exploitative colonialism, a
few people would occupy and settle in another country with a motive for acquiring
vast economic gains either through the exploitation of natural resources or using the
labor of the native population. In surrogate colonialism, a colonial power may support
projects for the settlement of a population in another country. Internal colonialism
refers to an unequal economic and political relationship between the center (the
metropolis) and the periphery. In the context above, metropolis refers to the developed
state and periphery refers to the less developed satellite states of the imperial powers.
3.4 NEO-COLONIALISM
Neo-colonialism is a form of colonialism in which a country seeks to influence the

economic and political conditions of another country through conditional aid and financial
support. The term was used by Jean-Paul Sartre in 1956 while it was used by Kwame
Nkrumah, who was a former president of Ghana (1960-66) to describe the
decolonisation process in African countries in the 1960s. It was in the context of the
Cold War that the superpowers from the two opposing blocs, would make interventions
in the many de-colonised states in Asia and Africa, and use these states as a base to
wage proxy wars.
It is different from the earlier forms of colonialism as unlike the earlier form of
colonialism where political control and military control were the most common methods
to acquire dominance over the occupied territory, neo-colonialism thrives on the
politics of globalisation and financial aid, which are conditional in nature and as a result
create an unequal relationship of dependence and debt obligations towards the donor
country. In the current situation, foreign capital, either in the form of developmental aid
or support, is used by the colonising country to extract economic benefits. Huge aid
either in the form of developmental aid, infrastructure projects or by setting up
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which states like the United States and China have been expanding their clout in Asian NOTES
and African countries.
3.5 FEATURES OF COLONIALISM
One of the major features of colonialism is that it is based on unequal economic relations,
despite the exposure of the colonised territories to the world market system. Although
colonialism has led to the integration of many societies with the world capitalist market
system, such integration has encouraged exploitation rather than the development of
the colonial states. The proponents of the dependency school argue that the objective
of integrating the colonial states with the world capitalist system was aimed at serving
the interests of the imperial states, or the metropolis at the expense of periphery states.
For instance, the Indian state, although integrated with the world capitalist market
during British rule, suffered immense economic stagnation due to the exploitative
character of British rule. The colonial period led to the systematic destruction of the
indigenous industries and as a result India faced economic stagnation. The objective of
colonial rule in India was to turn the country into a captive market for sourcing raw
materials and selling foreign goods, which would serve the interests of British colonial
rule.
The systematic drain of wealth from the colonial states was another feature of
colonialism. A lot of economic resources and surpluses were drained out of the country
either in the form of salaries or other administrative expenditures to maintain the colonial
empires, which were taken out of the country. For instance, the high salaries to maintain
civil servants were taken out of the country by the European officers. The early
moderates were economic critics of colonial rule in the nineteenth century and it was
one of the most significant contributions to the Indian nationalist struggle. (Chandra et.
al., 1989). Also, one of the earliest commentators like Dada Bhai Naoroji in 1867
had systematically analysed the nature of colonial rule and its adverse impact on
Indian state and economy, in his famous ‘Drain of Wealth’ in his book ‘Poverty and
Un-British Rule in India.
Political domination and the hegemony of foreign rule are another fundamental
characteristic of colonialism. Colonialism was characterised by unequal political Self-Instructional
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NOTES relations, in which the imperial powers maintained a position of political dominance
over the occupied territories. Imperial dominance was maintained either through direct
military intervention or political intervention. For instance, we could see that British
rule in India was entrenched through a series of battles, administrative and political
interventions as well.
Many colonial territories had undergone modernisation projects such as the
development of transportation and infrastructure, with a view to enhancing the extractive
apparatus of the imperial administration. It was not just infrastructure projects, but the
colonial administration would introduce many taxation policies and new forms of land
use patterns to enhance the extractive capacity of the colonial administration. For
instance, railways were introduced in India to reach the remote parts of the country to
extract resources from the frontiers by the fastest means possible rather than guided
by the motive to introduce an even developmental process in the country.
Identification of the people of the occupied territories as subordinate and less
humane. Ideas of cultural and racial superiority had formed one of the most striking
features of colonialism. For instance, most of the European colonial powers treated
the colonial subjects as dehumanised others, who were not capable of governing
themselves. Such assumptions were often backed by science that justified the racial
inferiority of the subjects. The education system and public culture were used to project
the western civilisation as the superior one as opposed to the civilisation and culture of
the colonial subjects. For instance, for the longest time, the cultures of many African
countries were looked down on by the imperial powers as opposed to the cultures of
the white people.
Also, colonialism is characterised by stages; scholars have identified mostly
three stages of colonialism. The first stage is identified as the period of monopoly,
trade and plunder. This stage was characterised by the monopoly of trade as the
foremost objective of the traders. Making profit was the main objective of the traders.
In the process, the local markets and the competing powers for the markets were kept
out through carefully planned military and diplomatic interventions. The monopoly of
trade led to a drain of wealth, as was the case in the Indian case as elucidated by many
Indian commentators, some of whom were Dadabhai Naoroji in 1867 and further
analysed and developed by R.P. Dutt and M.G. Ranade.
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The second stage is characterised by an era of free trade: In this stage, the NOTES
bourgeois industrialists encouraged political, administrative, social and cultural changes
in the colonies to retain and enhance their extractive potential. Since the metropolis
viewed the colony as an important source of raw materials and a place to sell the
manufactured goods, it became important to introduce modernisation and development
in the colonies. The colonies were to be integrated with the world capitalist system and
trade was to be used in a way that would ensure the appropriation of wealth from the
colonies. The idea behind the introduction of modernisation was to ensure that the
source of raw materials and the market for manufactured goods do not collapse due
to stagnation. Exports were to be maintained by the colonies so that they retained their
economies to buy manufactured goods from the imperial powers and also so that their
source for buying raw materials did not vanish.
The third stage is referred to as the era of financial capital. This stage was
marked by an intense struggle for power and competition amongst the colonial powers
to maintain their colonies for raw materials and sell the manufactured goods. Investments
for the modernisation and development of the colonies became a major means to
retain them. However, the colonies could not respond to the modernisation and
developmental process positively, as overexploitation of the economy in the earlier
stages had already hindered the economies of the colonies adversely; therefore,
underdevelopment became a major feature of this stage. However, many scholars are
among the few who believe the third stage could not take off.
Then several strands of scholarship, for instance, the proponents of dependency
theorists, have highlighted the role of capitalism as a world system and impacted
colonialism. They argue that the unequal relationship between the metropolis and the
periphery has been greatly responsible for the backwardness and underdevelopment
of the colonised territories. Also, the role of various struggles for self-determination
and independence in many occupied colonies is fundamental to our understanding of
how colonialism was challenged. However, when we speak of decolonisation, it is
important to note how we want to identify with the process of decolonisation. Do we
define decolonisation as a process in which the colonial powers wilfully gave up their
colonial possession or was it a result of various struggles for independence that were
actively fought by the people of the occupied colonies (Kennedy 2016)?
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NOTES
3.6 DECOLONISATION: CONTEXT AND FORMS
Decolonisation has been widely referred to as a process in the latter half of the twentieth
century when colonialism was receiving a setback, as a result of which the colonial
powers had to withdraw from their occupied territories. It signifies a time when
governments in Asia, Africa, and South America began to attain independence from
western and European powers. The term decolonisation has two different connotations.
Decolonisation refers to a process in which the colonial powers gave up their control
over their territories, often wilfully at a moment when they deemed that their colonial
subjects had finally arrived at a position for responsible self-governance. The other
connotation of the term, decolonisation refers to a process when the occupied territories
could achieve autonomy for self-rule from their colonial rulers through struggles that
finally led to their independence. The second definition refers to a process, mostly in
the form of mass movements, that was responsible for overthrowing colonialism in the
occupied colonies.
However, the term decolonisation was used by the German economist Moritz
Julius Bonn in the 1930s to describe the process through which colonies had attained self
-governance (Reinhard 2001). One of the core features of decolonisation is the right to
self-determination, and it is one of the fundamental rights identified by the United Nations.
Also, the United Nations Special Committee on Decolonization has stated that there
cannot be any other alternative for the coloniser but to agree to a process of self-
determination. The United Nations General Assembly declared 1900—2000 as the
International Decade for the Eradication of Colonialism by the United Nations, along
with a specific plan of action. Then, in 2001, a Second International Decade for the
Eradication of Colonialism was declared too, while the period 2011–2020 was the
Third International Decade for the Eradication of Colonialism (the United Nations).
3.7 DECOLONISATION DURING VARIOUS STAGES
The process of decolonisation and colonialism has been closely linked, and as the
Self-Instructional history of the world suggests that the process of decolonisation has not been even or
48 Material

smooth for all countries. There have been various forms and processes through which NOTES
different colonies have achieved decolonisation. Decolonisation signifies a process
through which colonial empires transformed into nation-states, through different political,
economic, social and cultural trajectories.
The classic phase of decolonisation is usually associated with the late twentieth
century, when the colonies of the European powers began to assert their right to self-
determination. Factors such as the high cost of great power rivalry and the world wars
led to economic and political hardships for the colonial powers to maintain their faraway
territories or to even suppress the revolts against foreign rule. The economic burden of
maintaining the colonies, the struggle for independence and mass movements for self-
determination have been instrumental in accelerating the process of decolonisation in
several Asian, African and American states in the course of history.
Decolonisation as a process could be traced to a period when the colonies of
the European empire started demanding political autonomy in the late eighteenth and
early nineteenth centuries in North and South America around 1776 and 1826 in the
context of the Atlantic revolutions. The predecessors of European settlers in America
began to rebel against their European oppressors, a phenomenon known as creole
revolutions for freedom. As a consequence, the European colonies in America had
drastically reduced after the culmination of the Treaty of Paris of 1783. Then another
wave of decolonisation began in Britain’s white dominion’s, which was around 1840–
1931 (Reinhard 2001). The British settler colonies started demanding political
autonomy in Canada, New Zealand and South Africa.
The period between the first and second world wars is considered another
significant phase for decolonisation since the wars induced several economic and
political ramifications for both the coloniser and the colonised territories. Therefore,
the decolonisation process and breaking of empires began with 1914, and around
1940' and 1950’s massive phase of decolonisation began with the end of the Second
World War. For instance, India gained independence in 1947 from the British, the
Philippines in 1946 from the United States, and the French gave up Vietnam in 1954.
By the 1960’s, many African colonies had started gaining independence. Events such
as the end of the Portuguese colonies in the 1974–1970’s, especially in Africa, the end
of white minority rule in South Africa, and the disintegration of the Soviet empire in
1975–1991, were significant developments in the decolonisation process. Self-Instructional
Material 49

NOTES
3.8 DECOLONISATION AND ITS TYPES
The process of decolonisation has been peaceful and gradual for some colonies while
for some it has been violent. In history, different events have facilitated the decolonisation
process in Asia and Africa. Some decolonisation processes have been non-violent
while some have been violent or a combination of different strategies to achieve self-
determination. For instance, India achieved independence through a national mass
movement which was fundamentally based on non-violent methods of resistance under
the leadership of Mohandas Karmachand Gandhi, while there were leaders who also
spoke of self-determination through revolutions. Frantz Fannon (1925-1961), spoke
in revolutionary terms in his work The Wretched of the Earth. Also, the colonisers
often used a language to portray the struggles of decolonisation as illegitimate and
passed draconian laws to curb them, often citing these acts of resistance as terrorism
or rebellion while the leaders’ tried to resists suppression by giving it the name of a
revolution, for instance (Klose 2014) . While during other instances, decolonisation
has been achieved through external interventions, for instance, the involvement of foreign
powers or super big powers in the international system and the United Nations has
been instrumental in facilitating the decolonisation process. Especially focused on the
subject of decolonisation, the United Nations General Assembly’s Special Committee
on the Situation with Regard to the Implementation of the Declaration on the Granting
of Independence to Colonial Countries and Peoples, also known as the Special
Committee on Decolonisation was founded in 1961 (The United Nations).
3.9 DIFFERENT APPROACHES
There are different approaches towards understanding the history of decolonisation.

The process of decolonisation cannot be attributed to just one factor but a combination
of multiple factors. Factors such as contradictions within the imperial powers, the rise
of struggles for independence in the colonies or the Nationalist approach, and
international developments within the international structure have led to the culmination
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50 Material

of factors which prompted the de-colonisation process around the world during different NOTES
phases. The Nationalist approach states that the anti-imperial struggles against colonial
rule was a fundamental factor for decolonisation and not a direct implication of colonial
rule. The international approach states that developments in the international system
such as the world wars and the rise of new powers challenged the old imperial system.
The world wars depleted the economic might of the European colonial powers while
rising powers like the United States did not have an interest in sustaining the old system
of imperialism. The third way, known as the domestic constraint approach, argues that
colonial powers were now burdened with maintaining the colonies. However, there
were also debates around this argument, whether it was constraints of the colonial
powers or the resistance offered by the colonial territories which made imperialism
difficult.
3.10 COLONIALISM AND DECOLONISATION:

IMPLICATIONS
Colonialism has disrupted the economies of the colonies, therefore with the process of
decolonisation the colonies had to revive and build an economic system that would
bring them out of underdevelopment. Even after colonialism was formally ended, these
newly independent states frequently pursued the path of neo-colonialism due to a
weak economy and other issues that made them dependent on the western powers for
financial support.
Apart from economic challenges, political and state-building challenges were a
task for the post-colonial states. Many of these states in Asia and Africa are still
grappling with challenges which have been a result of policies implemented during
colonial rule, for instance, border disputes, communal tensions.
However, factors such as the introduction of modern education, infrastructure
and certain social reforms did introduce a few reforms in these states. For instance,
the banning of Sati 1829 by the then Governor-General Lord William Bentinck in
India was a progressive step towards social reform in India.
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NOTES
3.11 SUMMARY
In this lesson, we have learnt about the definitions and meanings of various concepts
such as colonialism, neo-colonialism, imperialism and decolonisation. We could see
how these processes are interlinked with each other and have shaped the history of
world history in various ways. The history of colonialism reflects how the European
and western civilisation based on the edifice of industrialisation and capitalism has
impacted the history of the world in many ways, especially the Asian, African and
South American States. However, the internal contradictions of colonial rule had been
instrumental in accelerating the decolonisation process. We could see how various
colonies in Asia and Africa started asserting their right to self-determination often guided
by the educated middle-class elite, for instance, in India it was guided by the educated
middle-class elites who had received western education.
Even today, many African and Asian states continue to grapple with the challenges
which had surfaced as a result of colonial rule, for instance, border disputes, economic
underdevelopment, state-building and communalism. It has not only impacted the
economy but also the politics, social and cultural aspects of the colonies. On the other
hand, decolonisation has been instrumental in breaking certain assumptions about racial
superiority and white supremacy by the western powers and also challenging other
assumptions on what the European hegemony has been sustained on, for instance, the
Europeans often justified their rule over their colonies based on a superior sense of
governance while the colonies’ were regarded as the uncivilized barbaric other incapable
of self-governance. It also reflects a discourse of resisting the western worldview
which often made the colonised feel inferior about their culture, identity or way of life.
However, even today after the formal end of colonial rule in many countries,
new forms of economic and political dominance have emerged, often entrenching such
influence through the politics of aid and development. Therefore, such developments
also reflect how the history of the world is often influenced by the role of the powerful
states and in different phases of history, while the history of colonialism and decolonisation
also demonstrates there are always instances of resistance to counter dominance by
powerful states in the international system shaped by both internal and external conditions
of a state.
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NOTES
1. Briefly explain Colonialism.

2. Explain Neo-Colonialism.
3. What are the features of Colonialism?
4. Critically explain Colonialism and Decolonization.
 Ahuja, Neel (2014), ‘Colonialism’, URL: https://cpb-us-e1.wpmucdn.com/

sites.ucsc.edu/dist/f/396/files/2014/11/Ahuja-Colonialism.pdf
 Chandra, Bipin et.al (1989), ‘India’s Struggle for Independence, 1857-1947’,
Penguin Books.
 Kennedy, Dane (2016), ‘Decolonization: A Very Short Introduction’, Oxford
University Press.
 Klose, Fabian (2014), Decolonization and Revolution, European History
Online, URL: http://ieg-ego.eu/en/threads/europe-and-the-world/european-
overseas-rule/fabian-klose-decolonization-and-revolution.
 Reinhard,W. (2001), ‘ Colonization and Colonialism’ International
Encyclopedia of the Social & Behavioral Sciences, 2240-2245.
 Thomas, Martin and Andrew S. Thompson (2018), ‘Rethinking Decolonization:
A New Research Agenda for the Twenty First Century’, The Oxford Handbook
of the Ends of Empire
 United Nations, ‘Decolonisation’, URL: https://www.un.org/en/sections/issues-
depth/decolonization.
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UNIT II: DISCOURSES ON NATIONALISM
LESSON 4 CIVIC AND ETHNIC NATIONALISMS,

IDEOLOGICAL BASIS OF
ANTI-COLONIAL NATIONALISM
(GANDHI, MAO, FRANTZ FANON
AND AMILCAR CABRAL)
Civic and Ethnic Nationalisms, Ideological Basis of ...
LESSON 4 NOTES
CIVIC AND ETHNIC NATIONALISMS,

IDEOLOGICAL BASIS OF ANTI-COLONIAL
NATIONALISM (GANDHI, MAO, FRANTZ FANON
AND AMILCAR CABRAL)
Kashyap Nidarshan Syangden
Structure
4.2 Introduction
4.3 Debates on Nationalism
4.4 Ethnic and Civic Nationalism
4.5 Nationalism in African Context
4.6 Frantz Fanon’s Exchange with Europe’s Idea of Nationalism
4.7 Amilcar Cabral’s Case of Guinean Nationalism
4.8 Mao on Chinese Nationalism
4.9 Indian Nationalism and Gandhi’s shadow in the discourse of nationalism
4.10 Summary

 Evaluate debates and arguments regarding development of definition of the term
in nationalism.
 Understand ethnic nationalism.
 Analyse Nationalism and the Chinese revolution and its impact globally.
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NOTES
4.2 INTRODUCTION
Before we start with any analysis, what is civic and ethnic nationalism? Or make
efforts to seek any understanding of what the ideological basis of anti-colonial nationalism
would constitute for some thinkers such as Gandhi, Mao, Fanon, and Cabral.
Nationalism as an ideology, social and political movement, as a force to be
reckoned with, had announced itself at least by the end of the eighteenth century. As
time has passed by, interest in nationalism has gradually increased, and with its growing
outreach and audience, nationalism has declared itself that it was not simply a temporary
stage in the historical evolution of human societies.
According to Kedourie, one of the earliest theorists of nationalism, it was Kant’s
contribution that set the tone for a new attitude to political and social questions and
helped significantly in the development of ‘a new political temper’. This, although, was
not directly related but did cause an incremental impact on thinking of that time.
4.3 DEBATES ON NATIONALISM
The task of arriving at a consensus regarding definition of nationalism has remained

contested and varied depending on circumstances of time and place. According to
Rosa Luxembourg, “the terms “national state” and “nationalism” are in themselves
empty husks, into which all historical epochs and class relations pour their special
material content”. At the same time, is it also necessary to determine a specific nature
and characteristic of nationalism?
Although a significant aspect of literature and subject matter on nationalism is
said to have been contributed from a resistance to or struggle against foreign domination.
If we chose to include all such examples of such foreign domination as nationalism –
we must think it out critically, since such instances of resistance can be traced back
beyond the dawn of recorded history.
Moreover, what remains of interest for us, is the role of these successful resistance
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to foreign domination in creation of certain states in Europe, marking the beginning of
58 Material

the modern period. At this point, one may have in mind the Dutch and English states. NOTES
The other question is, But were they nations? It is difficult to contemplate and consider
them as nations, “if we think of the nation as being composed of the people rather than
the rulers, and permeated by a feeling of national unity and national mission.” In that
sense, nationalism shall date no longer than the 18th century.
An attempt to classify types of nationalism has produced four main distinguishing
patterns, established taking into consideration characteristics of some one part of the
world, appearing in more or less chronological order. These have been:
1. The nationalism of people with a long experience of concurrent development
of state power and national consciousness, with citizenship determining
nationality (Western Europe)
2. The nationalism of countries without a political experience of long duration
but with a common language and a common self-image (Italy and Germany)
3. The nationalism of countries such as those of south-eastern Europe, without
a common political experience of long duration and often without an ethnically
homogeneous territory, in which the religion of historical association is usually
an important determinant of national consciousness; and
4. The nationalism of anti-colonialism and of the drive for “modernity” generally
associated with the Third World but manifested also in southeastern Europe.
If category one and four, presents the case where the state appears to be the
chief creator of a nation, then categories two and three presents the case ofthe nation
building onto the creation of the state: but any reasonable consideration suggests that
state and nation, builds along complementary to each other.
The social communication school (Karl Deutsch) emphasises the role of media,
in defining nationalism in terms of social communication. It strongly claims that, “when
there are no media, the prerequisites of nationalism are lacking by definition.”
Another limitation characteristic of some Marxists has been its criteria of
considering nationalism as only if it results from the action of the bourgeoisie. Moreover,
if we take such criteria (that which emanates only from the bourgeoisie) into
consideration then we shall not be able to comprehend the problem of nationalism
arising in the Third World.2
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NOTES Tom Nairn, ‘The Modern Janus’, an addition to the already existing ambiguities
regarding nationalism. Nairn addresses and underlines an interesting aspect concerning
the dilemma of modernisation. Nairn observes how the idea of modernisation as global
and mass phenomenon had its tentacles wrapped to direct fundamental changes upon
the modes and conduct of life, and especially in the ways of thinking and doing politics,
which compelled one population after another to desire progress. Given the inherent
expansiveness of the phenomenon, it seemed there was no escape from this compulsion.
What Nairn seemed to offer is, nationalism and modernisation built over the
ruins of particular past and tradition, had the potency to resurface itself time and again
and to remove the gloss of a nationalist politics causing tension in the structure of the
modern… which became more evident from the catastrophic crises of Cambodian
Revolution, the Rwandan genocide, or the Bosnian Wars… reflecting the resolute
persisting of rurality. This summed up the first phase or mainstream, nationality politics
which was resolutely fixated on addressing the issue of rurality.
The second engagement taking cue from Martin Thongs came in the form of
nationalism making efforts to cope up with the emergence of globalisation or vice
versa, where another attempt is made to redefine the idea of political autonomy, in the
post imperial world order.
While grand ideological contests such as – Primordialism Vs Modernism,
Internationalism Vs Nationalism – keeps on surfacing from time to time. However,
reality shapes itself, giving us surprises with new fusions of its own and syntheses of its
own kind. “Nationalism itself was such a creation, astonishing to its own originators
and unimaginable by their predecessors. It reforged the world on the crude template
of ethnicity; but only those confusing the process with that primary template can think
that nationality politics will be overcomed or drowned in globalisation”. However,
what it had accomplished by now was that it had too deeply changed human nature,
where re-enhancement of its cultural domain had gone too far…3
4.4 ETHNIC AND CIVIC NATIONALISM
Regarded as one of the most famous contributions to enquiries into the nation is the
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60 Material

The major point of contention or argument with regards to the distinction between NOTES
ethnic and civic nationalism revolves around the issue concerning the basis for inclusion
and exclusion into a community (a political community). While proponents of the ethnic
nationalism prescribes for an objective criteria – language or descent as the basis for
recognition or membership into a political community, in this context the nation. The
ethnic nationalism school of thought subscribes to the argument – that the individual
does not have any role to play in the choice of nation to which they wish to belong, that
their choice of membership is pre-decided at the time of birth itself. This type of
nationalism views the nation as a natural and self-regulating social system and portrays
it as an organic whole. It considers the relationship of culture to politics to be a matter
of primary importance. It views culture as a matter that would provide surface material
for homogenising, which would ultimately lead to the creation of culturally homogeneous
states, whereas the civic nationalism school does not consider cultural homogeneity as
the basis for formation of nationhood. This school does not strategize on cultural markers
to form a nation rather insists on the territorial and legal dimension. It considers the
nation as a community of laws. Further, this civic nationalism school recognises the
agency of the individual to make choice and commitment and suggests the voluntarist
nature of this type of nationalism and regards that, the individual’s commitment to legal
and political framework as the only requirement for membership.
Taking these parameters into consideration, it projects ethnic nationalism as an
embryonic, inefficient or corrupt state and associates it to the conditions during a pre-
or early industrial economy. It draws out an intricate relationship between value systems,
especially Western values and the two types of nationalism. In the absence of influence
of Western values and ideas such as – liberalism, representative democracy and
secularism, the nationalism that emerges is considered as the nationalism of the
unenlightened. Meanwhile, civic nationalism is observed to be accompanied with the
process of industrialisation, alongside with liberal and democratic values and
governments and considers this form of nationalism as the enlightened version of
nationalism. The parameter of testing the nature of nationalism is basically placed in
relativity to Western value system.
Further, the first remark and assessment on the relationship between socio-
economic structures and the type of nationalism was first stressed by historian Hans
Kohn in 1944. Kohn highlighted the need to observe and examine the distinction
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between nationalism that emerged in the West and nationalism emerging in the East. Material 61

NOTES Kohn believed that both nationalisms were composed under different circumstances
and under different material, hence different. While Kohn understands, Western
Nationalism as being rational and based on the universal concept of political liberty,
rights of man, in search of the city of the future… and Eastern Nationalism as founded
on the ruins of history, harking back to mysteries of ancient times and tribal solidarity.
Kohn asserts that the primary cause of difference between Nationalism in the West
and Nationalism in the East is due to the different social structures that existed in the
two regions (East and West, figurative), during the time of emergence of its nationalism.
While developments in seventeenth and eighteenth century Western Europe
and USA, with prevalence of liberal values and structures, it was able to produce a
pluralist and progressive nationalism, the nationalism that followed in nineteenth century
Central-Eastern Europe and Asia which was brewed under very different circumstances
and absence of liberal values and structures developed a more ethnocentric type of
nationalism.
However, such speculations assert a necessary correlation between development
and types of nationalism is observed to undermine the heuristic value of the ‘civic’ and
‘ethnic’ concepts”. Moreover, this suggestion is not to be taken otherwise and that the
distinction should not be rejected altogether, instead necessary adjustments need to
made to improve it as an analytical device, by adding to its theoretical grounding and
linking up the political factors – related to goals as well as macro socio-economic
conditions,which would consequently boost their explanatory power. 4
4.5 NATIONALISM IN AFRICAN CONTEXT
The Africans in large part, the problem of building nations was related to the problem
of amalgamating and eventually superseding tribes. The tribe is a group based on
kinship, which typically includes several clans. It generally consists of a common language
along with a magical common ancestor and may be constituted with only a few hundred
members. A consciousness of common origin may also be seen as persisting. Moreover,
during times of crisis, these tribes with a common language and tradition are often seen
to be joining hands for a joint action, to meet up against such emergencies.
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Such formation of federation of tribes, making a case of Nigeria where three NOTES
large super tribal groups came together, J.S. Coleman has coined the term “nationality”,
which is also borrowed sometimes to describe the situation in East Europe for a linguistic
group that is not constituted as a nation-state, however, although there may be points
of similarity between the two, the African tribal federation and European nationality
remain starkly different at the same time. Likewise, the French anthropologists, referring
to these federations have given another term ethnie, which is also descriptive of an
ethnic group.
With the entry of Europeans in the African scenario. It brought about
establishment of coastal trading posts, along with it came the system of slavery which
introduced elements of inequality into the African society which was previously regarded
as a classless society. Further, with the gradual emergence of urban centers, followed
by the advent of free enterprise leading to the nascent development of social classes.
At the same time, ethnic groups began forming their own class structures.
Contrary to the European experience, the African economy did not evolve a
feudal system in the European sense. As Europeans pursued to exploit Africa for
resources, mainly raw materials, and food, they introduced various forms of forced
labour in the process of mobilising the workforce from the mines and plantations. As a
result of which, these labourers were not serfs, hence not tied to the land as such…
thus the forced labour arrangements acted to detach them from the soil, which made
them align to the interest of capitalist exploitation.
It is imperative for Marxists and others to refrain from an attempt to force
Africa into the rigid frame of European development and an approach should be
encouraged whereby study of African history can be done on its own terms. The
problem has arisen partly due to the external inference of Europeans, whose
developmental trajectory is often presented as the blueprint or hallmark of the
“backward” Africans.
The proponent of imperialism asserts that imperialism essentially brings substantial
benefits to the inhabitants of colonial territories. In the context of nation-building, Martin
L. Kilson is of the view that colonialism played a preparatory role in three key aspects:
the imposition of defined political boundaries by colonial powers, the provision of a
common language and cultivation of a shared culture.
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NOTES However, this Kilsonian claim has been objected to and it is seen that the argument
which portrays colonialism as preparing the way for the emergence of nations is
misleading. It has argued that the Europeans ambitions into African affairs had caused
the postponement of the development of modern, integrated nations. They make
strong claims stating that, prior to the influence of Europeans, several places in Africa
had already reached a highly advanced state and that the development of African
peoples was rudely and abruptly cut short, and that their civilization had been declared
savage and pagan designating them as an inferior race, destined by Christian Gods to
be slaves, and thus enforcing the concept of superior Europeans.
James O’ Connell making serious allegations against colonialism states that
instability in countries emerging from colonialism, was a natural condition. Since he is
of the view that colonialism transmits an authoritarian tradition. He suggests that
colonialism shifts the institution of power in such a manner that it allows the continuation
of privileges and interests of the colonial power and its nationals. It has no regard for
the power relations which would emerge among the groups after independence was
sought. Although exploitation of one tribe by another was not a new phenomenon, and
had been there for quite some time, it continued with a renewed force specially after
the coming of the independence. The imperialist policy resulted in elevation of inter-
tribal hostility, and often they created it. They have also claimed that imperialism delayed
and impeded the integration which is an essential component to nation-building. While
the imperial powers did develop a system of trade, the economy remained mostly
integrated to the “mother country” and other advanced countries at the cost of
compromise of the domestic economy. Thus, in most of the new states of Africa the
process of integration has been delayed and has only just begun.5
4.6 FRANTZ FANON’S ON NATIONALISM
It is believed that Marx and Lenin both assumed that the social revolution would first
take place in Europe and that the European proletariat would lead the rest of the
world on the path to socialism. They were of the view that a revolutionary proletariat
and an anti-imperialist colonial bourgeoisie would help the cause of social revolution.
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A subject very dear to the Marxist school of thought. However, Fanon discarded such
64 Material

a proposition, thought otherwise and made efforts to study the psychological impact NOTES
of imperialism on both the colonised and the colonisers.
Fanon’s specialisation in the field of psychiatryhelped him contemplate the
problem of dominance and dominator. He was interested in making observations about
how this relationship would impact the individual psyches of both sides. Fanon, from
his examination, asserts that the overcoming of the feeling of inferiority instilled by the
white man was for the dominated colonials a matter of great significance. However,
Fanon claims that there is positive value in individual acts of violence against the
oppressor, as seen in national liberation movements. In doing so, Fanon expresses the
necessary role of violence to make it possible for the masses to understand certain
social truths, which also remains consistent with the Marxist principle of the need for
mass violence in the social revolution if anything serious was to be accomplished.
Moreover, Fanon assumes that the social group that would take the lead in this
revolution would be the peasants and (in the cities) the lumpenproletariat, not the
proletariat nor the intellectuals. The lumpenproletariat was also a term brought into
practice by Marx himself, by “lumpenproletariat”, he referred to the pimps, the
prostitutes, the gangsters, the drug pushers and the addicts, who were considered to
be the demoralised elements of society. However, Fanon was also at the same time
critical of placing big hopes on the lumpenproletariat due to their high potential for
volatility. Fanon did realize the danger of it and had a sense or understanding of how
they could be utilised against the nationalist movement.
Fanon is particularly important for our purpose because of his critique of
bourgeois nationalism as it develops in the colonies and ex-colonial countries. Fanon
makes a particular observation regarding the middle class; he highlights that the middle
class in the colonies wasnot bourgeoise in the classical sense. He asserts that they are
neither industrialists nor financiers, are not engaged in production (in the technical
Marxist sense) and are not engaged in the activity of invention or building; they usually
come from the fields of trade, agriculture, and the liberal professions. They are primarily
concerned with the process of nationalism, for the sake of their own interests, i.e., the
transfer of the unfair advantages fostered by the colonial regime into the native hands.
Fanon vehemently asserted that the bourgeois nationalists were literally good for
nothing, because Fanon thought that the native bourgeoisie would not engage themselves
in the activities related to building their respective countries and would not be concerned Self-Instructional
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NOTES with industrialising them or launching them on the path to progress and prosperity. And
no fundamental change in power would take place; power would continue to be
exercised by the metropolitan countries, operating through their chosen instruments,
the new “bourgeoisie” and through the police forces and army, which they built up and
would eventually train.
One of Fanon’s important assessments remains on the subject of alienation.
Fanon contributes by stating that, alienation derived was not only national but also
from class oppression, which is not necessarily ended by national liberation. Fanon
believed that the complexity of inferiority developed by the Negroes (black people)
had economic origins which they had internalised. Fanon is of the view that alienation
was brought into effect on a world scale through the imperialist division of the world
into poor and rich countries, exploiters and exploited, rulers and ruled. However,
Fanon asserts that the beginning of self-respect did not need to wait for either class or
national oppression. Somewhere, we find preachings of humanist nationalism in Fanon’s
argument. Fanon also spoke about why he despised the western culture, because of
their attitude towards the black and the colonial people in general. Fanon further,
highlighted the capacity of the colonial system through its mechanisms and institutions
at work, to make the native culture hostage by stagnating a culture that was once
thriving and living, open to future, to becoming closed and fixed in the colonial status.
Moreover, for the natives an important aspect of the nationalist movement was to
revive their culture and reacquire their history, which was degraded and perverted by
the colonialists, after they had got hold of it.
4.7 AMILCAR CABRAL’S VIEW ON NATIONALISM
Cabral while in Libson in 1948, along with a small group of students from the Portuguese
colonies in Africa organised a study group, and named it the Center for African studies.
The objective of this group was – to bring modern civilizations to their native country
and as a necessary means to this end, get rid of the Portuguese dominion over these
countries. In 1956, Cabral contributed to the formation of the Patrido Africano da
Independencia da Guine e Cabo-Vedre (PAIGC). Initially this group petitioned
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peacefully for social and political changes, but was however ignored. As a result, they NOTES
resolved to resort to all sorts of means, including war.
Cabral’s analysis of class structure of Guine is considered to be of great
significance, he made distinction between only two classes in the towns proper: the
white (Portuguese) and the Africans. The whites included the administrators, and besides
them a small group of workers, more bitterly opposed to the demands of the Africans
than were some of the officials.
As for the Africans, Cabral classifies the town dwellers as “petty bourgeoisie.”
This categorisation was however, derived out of their attitude to the independence
movement, rather than on the basis of their relation to the productive process as insisted
by the Marxist. Cabral had observed that most of Guine’s population was rural, and
was aware that they had resisted the Portuguese for hundreds of years, and did not
expect the peasants to take leadership in the national liberation struggle. The workers
and the PAIGC were more determined to organise and train for the revolution. The
PAIGC had systematically set out to organise the peasants, however, they had to
reflect on how to attract the peasants. While doing so, they found out that there was
no problem with regards to matters related to land, since land was not privately
owned… After some thought and reflection it was decided that cooperatives would
be the best basis for the organisation of economic life.
A group which would engage with the practice of organising the peasants, was
to be decided. They had initially in mind the urban wage earners and intellectuals but
the constraint was that they were considerably limited in number. It was at this moment,
Cabral and his friends discovered the neo-urbanites. Later, Cabral titled this group as,
“Nameless Group ‘’ that was composed of people living on the outskirts of the town,
but not demoralised. Working irregularly while living with relatives in the town, also
equally in accord with the longstanding tribal customs. A literate group very receptive
to new ideas with sufficient contact with the countryside to foster talks with the peasants.
Simultaneously also in healthy contact with the city to be aware of its advantages, to
materialise the life of modern civilisation having considerable knowledge about the
constraints in achieving the way of native advancements posed by imperialist practices
of discrimination and their scorn of native Africans. Cabral proposed the use of the
Nameless Group to spearhead the attack. Following the proposal, approximately
close to a thousand young party workers were indoctrinated in the social philosophy Self-Instructional
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NOTES of the PAIGC. They were made to realise the necessity of not only overthrowing the
Portuguese but also to reorganise the society by launching a social revolution. They
spearheaded by clubbing both the class struggle and the national struggle into one
cause, however, they sought to prioritise the national struggle, at the initial stage.
Much similar to Fanon, Cabral saw the process of national liberation as the
restoration of native people’s history – with the broader objective of putting the native
people back on the road to independent development, to which the colonialists had
constantly made efforts to divert the cause by all means and might. Cabral strongly
objected to the idea that peoples have no history before they become differentiated
into classes. Cabral drawing example of the Balante tribe asserted that before they
were overtaken by imperialism, they had no class but claimed that they had a history.
Cabral observed that once the anti-colonial struggle was successful, a class
struggle would arise. And the only class having the capacity of seizing power and
establishing an independent government was “petty bourgeoisie.” The term referred to
as the intelligentsia, included those belonging to liberal professions, government service,
teachers, writers, and post-liberation, some workers and peasants sharing a national
mission. Cabral argued that if this class was to pursue its “natural” interests, it would
without doubt compromise with imperialism, leading to a state of neo-colonialism
similar to other African nations. He predicted that they had a high chance of collaborating
with the foreign imperialists, betraying the revolution, transforming into a pseudo
bourgeoisie—essentially becoming agents of foreign imperialists, serving as compradors
and exploiters.
Cabral pointed out that the revolutionary vanguard, designated with the
responsibility to safeguard humanity’s conscience, should not depend only on a few
courageous individuals. Instead, these vanguards are presented with a duty to educate
the propertyless, urging them to advocate for socialism. The vanguard must ensure
that later “petty-bourgeois” intellectuals remain true to the original commitments,
preventing any shift from socialism to a personal dictatorship or oligarchy. Cabral
citing Cuba as an example, stated that the “petty-bourgeois” leaders should embrace
socialism and this decision should be based on moral leadership rather than narrowly
economic reasons, aligning with his approach to Marxism.
Cabral opines that some members of the petty bourgeoisie could be motivated
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Patriotism, according to Cabral, becomes significant and possibly the highest motive. NOTES
This intertwining of nationalist, socialist, and moral elements in his thinking is unique in
the context of Marxism, offering new and thought-provoking perspectives.
Although Cabral and Fanon both had very low hope on the proletariat in
imperialist countries. They diverged in their views, regarding the role of native colonial
workers in the national liberation struggle. This contrast stemmed primarily due to the
differing levels of development in Guinea and Algeria. In Algeria, workers had achieved
some organisation and protective labour laws, leading Fanon to describe them as
nonrevolutionary. On the other hand, in Guinea, workers had not gained any
concessions, making them true proletarians with nothing to lose but their chains. They
were seen as potentially militant and open to socialist ideas, aligning more closely with
Marx’s concept of the proletariat.
Regarding the peasants, Cabral recognised the diverse character of different
tribes. For instance, The Fulas, had a semi-feudal structure with chiefs, nobles, and
religious figures at the top, supported by the Portuguese. In contrast, the Balantes,
who were more numerous, had no class divisions, and women owned what they
produced. The Balantes were crucial to the revolutionary forces. The PAIGC’s
approach to the Fulas eventually involved collaboration with itinerant traders (people
who travel from place to place for business or selling goods).
Moreover, The PAIGC succeeded as a nationalist movement, however, the
focus on nationalist goals were sometimes overshadowed by the socialist aims, as
Cabral had highlighted. The challenge remained in carrying out a socialist revolution in
a preindustrial country, and achieving it would involve achieving the nationalist goal
foremost, without which the idea of a socialist objective wouldn’t even be possible.
Examples of the importance of the relationship between socialist objectives and the
nationalist movement is also evident from Mozambique and Angola, both larger than
Guinea-Bissau. It is observed that, during the prolonged liberation war, guerrillas were
required to move freely across regions and to find support, fostering a sense of national
consciousness was considered essential and necessary. According to Cabral, peasants
and workers were required to feel aroused in the operation; and had to be made to
feel that it was their war of liberation. Mass peasant participation required a grassroots
popular movement, and for that people needed to believe that power was shifting to
them, avoiding a mere exchange of foreign exploiters for a domestic elite. This was Self-Instructional
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NOTES especially important where the Portuguese had taken severe reprisals, and establishing
new, popularly controlled institutions on a democratic basis was to turn the war into a
people’s war.
In countries outside of Algeria and the Portuguese colonies, most national
liberation movement leaders were not socialist, although there wasn’t the same aversion
to socialism (communism) as in the United States. Some leaders, like Kwame Nkrumah
in Ghana, talked about socialism but didn’t practise it. These movements were led by
political parties in urban areas, organised through various voluntary associations—
some social (often based on tribal origin), some economic (including unions where
allowed, burial societies, and immigrant aid societies), and some political, addressing
specific grievances. *The members of these parties developed national consciousness
during the struggle, without much class consciousness before or after independence.6
4.8 MAO ON CHINESE NATIONALISM
The success of the Chinese Revolution was significantly attached to nationalism. The
Chinese Revolution had two major objectives:
1) to overthrow the Foreign Imperialists
2) to unify China, divided into independent provinces ruled by warlords, establishing
an all-inclusive socialist republic.
Mao Tse-Tung was initially identified as a nationalist before embracing socialism.
Some issues related to China have broader relevance in exploring the complete
relationship between nationalism and socialism in China, which would contribute in the
development of a comprehensive theory of nationalism.
Social categories developed in the West may not perfectly fit with the conditions
in developing countries. And the way people think and define groups may also be
different from the European models. China’s experience may not apply to colonial and
semicolonial countries, primarily because what worked in China may not work in
colonial or semicolonial countries because the relevant group is different or might not
even exist there. This is a crucial point to remember when studying Mao Tse-tung’s
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align with the conditions warned about by the Communist International in 1920. A NOTES
critical question emerges here: “Why did Mao, whose judgement of the political
capabilities of the various social elements was in general so sound, favour working
with the national bourgeoisie?”
Mao included the national bourgeoisie in the coalition during the national liberation
period. In Communist-controlled areas, there was a policy of limiting Communist
representation in governing bodies to one-third. The political risk in this approach was
not high. When revolutionary workers and peasants held power, the bourgeoisie, a
declining group, couldn’t cause significant harm even in leadership positions. The
revolution’s direction and momentum wouldn’t be hindered, and the transition might
be smoother.
Mao was willing to collaborate with:
1. Businessmen who were victims of imperialism and opposed it.
2. Businessmen and others willing to unite against foreign invaders for patriotic
reasons.
However, Mao didn’t fully trust the national bourgeoisie. When the big
bourgeoisie turned counter-revolutionary, the national bourgeoisie did the same. Mao
noted that the Chinese national bourgeoisie tends to be politically and economically
weak, often compromising with the enemies of the revolution.7
4.9 GANDHI ON INDIAN NATIONALISM
Indian nationalism, prior to 1947, often emphasised on viewing India as an extensive

geo-political space, with a high degree of influence over a significant part of Asia,
claiming its existence as a broader Indian subcontinent. In this view, Nationalism in
India is seen as developing an awareness of the socio-cultural unity in the past, deriving
its value not just from its spiritual roots but also observed as rather functioning as a
means to express the aspirations and hopes of the educated middle class. Further, the
development of Indian nationalism was not a straightforward activity, having a singular
trajectory and, not always consistently coherent. Meaning to suggest, it consisted of
alternative means to shape up the trajectory of nationalism which were sometimes Self-Instructional
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NOTES aligned with secular values and liberal principles and often, it was aligned with extremism,
which intertwined religion and politics. Both Hindu and Muslim extremists seemed to
associate religion closely with nationalism. Meanwhile, Gandhi arriving at the crossroads
of such a development, had a degree of influence of extremism but remained to lean
more towards the liberal side. Gandhi intentionally pursued to develop his own kind of
nationalism with a mix of both the liberal and extremist elements. He remained successful
in creating his own unique path, acknowledging Gokhale as his political mentor while
describing himself as a true disciple of Tilak. From Tilak, Gandhi adopted a love for
the country and a steadfast pursuit of swaraj.
Developing a sense of nationalism for such a context, Gandhi desired a nationalism
in which he envisioned India’s freedom without hatred. His perspective emphasised
selfless service over power or wealth. It was while Gandhi was in South Africa, he had
developed his unique vision of Indian nationalism, subsequently diverse from other
nationalists. His political philosophy and techniques, to a large extent, had taken shape
in the politics of the Transvaal. Moreover, Gandhi’s views on nationalism are not
transparently available; instead, it emerges from diverse readings and personal
experiences, and developments surrounding him.
It is observed, to define Gandhi’s nationalism into an academic framework, was
challenging, especially because of his non-theoretical approach. He emphasised on
action over academic writings, his political thought was integral to his evolving
philosophy, which was shaped by his experiences and experiments with truth over five
decades.
Gandhi in his seminal work published in 1909, “Hind Swaraj or Indian Home
rule” explored the idea of nationalism, in which he rarely used the term “nation” as
such, however he discussed certain concepts which were relatable to the idea of
nation, with phrases such as swaraj, swadeshi, and Indian civilization.
We can claim that, in Gandhi’s discourse, the term “praja” was equivalent to the
category “nation”. In Gandhi’s understanding, praja provided the substance for a
foundational framework for the construction of a modern, unified Indian nation-state.
Grounded in this concept of praja, from within “Hind Swaraj”, he advocated the
development of a moderate and liberal form of nationalism. Gandhi emphasised as he
understood, that India was not a mere collective of disparate groups but India was a
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cohesive entity, with individuals sharing common aspirations and interests. He asserted NOTES
the existence of a vague but authentic commitment to a spiritual civilization.
Bhikhu Parekh notes that, when Gandhi used the term “nationalism,” he meant
only the love for one’s country. Gandhi addressed and advocated ideas such as collective
pride, ancestral loyalty and mutual responsibility over the concept of nationalism. Gandhi
believed that despite India having diversification in terms of castes, religions, and cultures,
he regarded it as a nation. Even though the West failed to recognise and often claimed
that it was their arrival and their rule and institutionalisation that had created the bedrock
for formation of the nation. Gandhi disputed this Western view. Further, Gandhi strongly
highlighted that, before their arrival, India had always functioned as a single unified
nation along with a shared way of life. In “Hind Swaraj’’ Gandhi makes a case for a
comprehensive view of the Indian nation, providing historical reference with mentions
of India under Emperor Bharata and Akhand Bharat, Also he draws references from
the Mauryan, Gupta, Rashtrakuta, Pala, Mughal, and Indian Empire. These projects
and highlights continuity of the Indian nation, along with it, gives a sense of India
remaining historically unified at different periods in history as a geographical and political
region, helping in forming the basis for forming the broader concept of the Indian
nation, which the West seems to have a denial about. Moreover, Gandhi notes that, it
was this very unity that provided the British to establish one kingdom, after which for
consolidation of their rule, they had devised a divisive policy to rule, while subsequently
dividing the nation.
Making assessments on Gandhi’s version of nationalism, we find three key
elements: swaraj, communal harmony, and non-violence.
For Gandhi swaraj, or self-rule, meant self-control as well as self-governance.
Gandhi clarified that he did not simply mean mere change of rulers, instead he sought
to establish a system of justice, liberty, and equality for everyone in the country. For
him, justice and slavery could not exist simultaneously. In his conception, swaraj was
to ensure that authority was regulated and controlled by the people, which would lead
towards a healthy and dignified independence.
The second important aspect to Gandhi’s nationalism is communal harmony.
Gandhi believed in composite nationalism, in which unity was derived from active
participation of diverse communities for the fundamental cause of freedom struggle, as
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NOTES opposed to a nationalism derived on the basis of religion, which carried the potential
to artificially divide the people. Therefore, communal harmony is given high importance
in the success and achievement of swaraj and strong self-government.
The third element in Gandhi’s nationalism is non-violence.
For Gandhi, the principle of non-violence was at the core of his philosophy and
remained adamantly committed to this ideal, primarily because he observed that such
practice held the capacity to prevent violent revolution, which would nip at the bud
any chance of chaos in the country. Accordingly, he understood that non-violence as a
principle would serve as a powerful force in establishing democratic values while
segregating elements of despotism. He observed that practising non-violence would
not mean weakness, but rather would act as a module of strength, involving the ability
to act, exerting a positive influence through love and goodwill.
Gandhi’s nationalism, as derived from his thoughts and writings, exhibited several
key features:
1. Gandhi’s nationalism focused on establishing harmony among diverse groups
in India, not only across religious lines but also along caste and communities.
2. Gandhi was strongly against the exercise of violent means in achieving freedom
from colonial rule, instead he advocated use of non-violent means based on
the philosophy of ahimsa in thought, action, and deed.
3. His nationalism supported the idea of collective participation of all
communities, with a thought for inclusion of those marginalised in society, to
work towards building a nation reflecting its diversity as a population.
4. Gandhi, despite having a personal attachment to religion, Gandhi’s nationalism
sought to prescribe secular values and principles, promoting the principle of
equality and respect for all religions.
5. Gandhi was of the view that a true internationalism would only emerge when
nationalism became a reality, in which different countries agreed to organise
themselves for the collective benefit of humanity.
6. Gandhi rejected a communitarian approach, viewing India not as a nation
but as a civilization, enriched by people belonging to various races and
religions. He emphasised the fostering of diversity and tolerance within this
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7. Gandhi’s nationalism called for active involvement of the masses, which NOTES
marked a significant shift in the Indian freedom movement, bringing about
qualitative change in the emergence of nationalism.8
4.10 SUMMARY
From the above reading, we may find that the emergence of nationalism in India,
Africa and China had its own unique characteristics, which was shaped and marked
by its distinct development and historical-socio-cultural-economic-political context,
thus differing from the stages seen in European nationalism.
Unlike the European concept of a nation with specific characteristics like a
common language and culture, nationalism in India, Africa and China had evolved in a
complex socio-economic and political background, separate from the classical
European tradition.
It was produced as a dialect in the process of the struggle for freedom, with
changing strategies to achieve independence altering the nature and scope of nationalism.
Moreover, there is some critical variation which in observed in nationalism emerging in
Africa and China, and the one that emerges in India, while African (Fanon and Cabral’s
view) and Chinese model of nationalism (specifically Mao) is rooted in revolutionary
ideology or distinct social transformations, having its basis on experiences linked to
the anti-imperialist movement. In Indian nationalism (as promoted by Gandhi), we find
a vision of nationalism inspired by inclusiveness, non-aggressiveness, and humanitarian
concerns. Most importantly, Gandhi was of the view that the achievement of a status
of a nation-state should not come at the expense and compromise of the other nations.
Gandhi emphasised, “My idea of nationalism is that my country may become free, that
if need be the whole of the country may die, so that the human race may live. There is
no room for racial hatred there. Let that be our nationalism.”
Thus, in the concept of nationhood emerging from Africa (Fanon and Cabral’s
view), Chinese (specifically Mao) and India (as promoted by Gandhi), we observe
that the idea of nationalism extends beyond territorial sovereignty, while incorporating
historical, racial and cultural elements into its puzzled discourse.
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NOTES
1. Write a brief note on the development and definition of the term nationalism.
2. Write a brief note on the development of nationalism in the context of Gandhi,
Mao and Cabral.
3. How is European nationalism different from the one that emerged in Algeria,
Guinea, China and India?
4. Are there any similarities between the discourse of nationalism emerging in Algeria,
Guinea, China and India? If we consider them as different, highlight a few of the
points of contention.
5. What makes the Gandhian notion of nationalism stand out, from the other
discourses of nationalism?
6. Whose idea of nationalism addresses the issue of racial discrimination? How is
Cabral’s take on nationalism different from that of Fanon?
 Davis, Horace B. “Nationalism and the Chinese Revolution.” Essay. In Towards

A Marxist Theory of Nationalism, 165–66. New York, USA: Monthly Review
Press, 1978.
 Davis, Horace B. “Social Classes and the Formation of Nations: Fanon, Cabral,
and the African Liberation Struggle.” Essay. In Towards A Marxist Theory of
Nationalism, 202–8. New York, USA: Monthly Review Press, 1978.
 Davis, Horace B. Introduction. In Towards A Marxist Theory of Nationalism,
3–5. New York, USA: Monthly Review Press, 1978.
 Hall, Stuart. “The Work of Representation.” Essay. In Representation,
Seconded., 26–31. New Delhi, India: SAGE, 2013.
 Lecours, André. “Ethnic and Civic Nationalism: Towards a New Dimension.”
Space and Polity 4, no. 02 (August 25, 2010): 153–56. https://doi.org/10.1080/
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76 Material 13562570020013672.

 Mishra, Anil Dutta. “Gandhi and Nationalism.” Essay. In Reading Gandhi, NOTES
200–205. Noida, India: Dorling Kindersley (India) Pvt. Ltd., 2012.
 Nairn, Tom. “The Modern Janus.” Essay. In Faces of Nationalism: Janus
Revisited, 71–72. London, UK: Verso, 1997.
 Özkýrýmlý, Umut. “Discourses and Debates on Nationalism.” Essay. In Theories
of Nationalism: A Critical Introduction, Thirded., 11–17. London, UK:
PALGRAVE, 2017.
Endnotes
1.
Perfect competition refers to a market system which is free and open, consumers
have perfect knowledge and no producer is large enough to affect the price of
goods.
2.
4. Horace B Davis, introduction, in Towards A Marxist Theory of Nationalism
(New York, USA: Monthly Review Press, 1978), 3–5.
3.
5. Tom Nairn, “The Modern Janus,” essay, in Faces of Nationalism: Janus
Revisited (London, UK: Verso, 1997), 71–72.
4.
6. André Lecours, “Ethnic and Civic Nationalism: Towards a New Dimension,”
Space and Polity 4, no. 02 (August 25, 2010): 153–56, https://doi.org/10.1080/
13562570020013672.
5.
7. Horace B Davis, “Social Classes and the Formation of Nations: Fanon,
Cabral, and the African Liberation Struggle,” essay, in Towards A Marxist Theory
of Nationalism (New York, USA: Monthly Review Press, 1978), 202–208.
6.
8. Horace B Davis, “Social Classes and the Formation of Nations: Fanon,
Cabral, and the African Liberation Struggle,” essay, in Towards A Marxist Theory
of Nationalism (New York, USA: Monthly Review Press, 1978), 209–228.
7.
10. Horace B Davis, “Nationalism and the Chinese Revolution,” essay, in
Towards A Marxist Theory of Nationalism (New York, USA: Monthly Review
Press, 1978), 172–174.
8.
11. Anil Dutta Mishra, “Gandhi and Nationalism,” essay, in Reading Gandhi
(Noida, India: Dorling Kindersley (India) Pvt. Ltd., 2012), 200–205.
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UNIT III: CONSTITUTIONALISM
LESSON 5 EVOLUTION OF THE IDEA OF

CONSTITUTIONALISM, POST-COLONIAL
CONSTITUTIONALISM
Evolution of the Idea of Constitutionalism, Post-Colonial Constitutionalism
LESSON 5 NOTES
EVOLUTION OF THE IDEA OF

CONSTITUTIONALISM, POST-COLONIAL
CONSTITUTIONALISM
Dilip Kumar Verma
Structure
5.2 Introduction
5.3 Historical Background
5.4 Definitions
5.5 History Development
5.5.3 Enlightenment and the Social Contract
5.6 Key Principles of Constitutionalism
5.7 Post-Colonial Constitutionalism
5.7.2 The Impact of Colonialism on Legal System
5.8 Key Principles of Post-Colonial Constitutionalism
5.9 Challenges and Issues
5.10 Summary

 Understand the meaning of constitutionalism. Self-Instructional
Material 81

NOTES  Explore how this idea of having rules and rule-bound government developed
over time.
 Understand the relationship of colonialism to Constitutionalism and the
emergence of post-colonial constitutions.
 Understand the influence of colonialism in the development of Constitutionalism
 Explore how post-colonial countries grapple with historical legacies, considering
how past influences impact present decisions.
5.2 INTRODUCTION
Constitutionalism, a fundamental principle in political theory, serves as the bedrock for

the organisation and operation of modern states. Its essence lies in restraining
governmental authority, safeguarding individual rights, and establishing a framework
for the rule of law. When approached through comparative political analysis,
constitutionalism becomes a lens through which we can discern the varied ways nation’s
structure and interpret their foundational laws, providing a nuanced understanding of
global political systems. Comparative political analysis of Constitutionalism involves
the examination of similarities and differences in how nations design and implement
their constitutional frameworks. This scrutiny encompasses the separation of powers,
a cornerstone concept emphasising the division between executive, legislative, and
judicial branches. The analysis also delves into the protection of individual rights,
showcasing how constitutional provisions differ in their commitment to safeguarding
citizens liberties.
Additionally, constitutional interpretation and the role of courts become focal
points in comparative studies. Understanding how different legal authorities interpret
constitutional provisions sheds light on the adaptability and resilience of constitutional
governance. The exploration of federalism within constitutional structures further enriches
this analysis, as nations adopt diverse approaches to balance central authority with
regional autonomy. In essence, a comparative perspective on constitutionalism allows
for a comprehensive exploration of the intricate variations in governance structures
worldwide. By examining the separation of powers, protection of rights, constitutional
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interpretation, and federalist dynamics, one gains valuable insights into the adaptive NOTES
nature of constitutional frameworks. This approach contributes to a deeper
comprehension of the diverse trajectories nations follow in shaping their political systems,
fostering a nuanced appreciation for the complexities inherent in constitutional
governance.
5.3 HISTORICAL BACKGROUND
Constitutionalism has deep historical roots, evolving over centuries to become a pivotal
concept in modern political theory. Its historical background can be traced through
key milestones that reflect humanity’s ongoing quest for effective and just governance.
The origins of constitutionalism can be found in ancient civilizations, such as
Mesopotamia and Ancient Greece. In Greece, the city-state of Athens developed
early democratic principles, laying the groundwork for the idea that political power
should be accountable and subject to certain principles. The Roman Republic also
contributed to constitutional thought with its establishment of a mixed government and
the concept of the rule of law.
The Magna Carta, signed in 1215, is a landmark document in the development
of constitutionalism issued by King John of England. It aimed to limit the arbitrary
powers of the monarch and established the principle that even rulers are subject to the
law. This foundational ideal gained momentum during the Enlightenment, as thinkers
like John Locke and Montesquieu articulated theories emphasising the protection of
individual rights, separation of powers, and the social contract. The American and
French Revolutions in the late 18th century further solidified constitutional principles.
The United States Constitution, ratified in 1787, became a model for balancing powers
among branches of government and enshrining fundamental rights. Meanwhile, the
French Revolution saw the Declaration of the Rights of Man and of the Citizen,
emphasising principles of equality and individual liberties.
In the 19th and 20th centuries, constitutionalism continued to evolve globally.
Many countries adopted written constitutions, outlining the structure of government
and protecting citizens’ rights. The post-World War II era witnessed the establishment
of international organisations promoting constitutional principles, such as the Universal Self-Instructional
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NOTES Declaration of Human Rights. Today, constitutionalism is a guiding principle in

democracies worldwide, emphasising the rule of law, protection of individual rights,
and the limitations on government power. While its historical-roots are diverse,
constitutionalism’s essence lies in the ongoing pursuit of creating just and accountable
governance structures.
5.4 CONSTITUTIONALISM: MEANING & DEBATES
Constitutionalism refers to a political philosophy or approach that emphasises the

importance of a constitution in governing a nation. Here are brief definitions by notable
authors:
1. John Locke: Constitutionalism, according to Locke, entails a government that
operates within the bounds of a constitution, protecting natural rights and
promoting the common good.
2. Montesquieu: Montesquieu’s constitutionalism stresses the separation of
powers as a fundamental principle, ensuring a system of checks and balances to
prevent tyranny.
3. James Madison: Madison, a key architect of the U.S. Constitution, saw
constitutionalism as a means to control the abuses of power, emphasising the
need for a well-constructed system of government.
4. John Marshall: Marshall, Chief Justice of the U.S. Supreme Court, interpreted
constitutionalism as judicial review, empowering the courts to assess the
constitutionality of government actions.
5. Dicey: AV. Dicey, a British jurist, highlighted the rule of law as a core element of
constitutionalism, emphasising equality before the law and the supremacy of
legal principles.
6. Upendra Baxi: Constitutionalism, as articulated by Baxi, extends beyond the
legal text and structures. Baxi emphasises the transformative and emancipatory
potential of constitutionalism, viewing it as a tool for social justice, human dignity,
and the protection of fundamental rights.
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Baxi’s perspective incorporates the idea that constitutionalism is not merely a NOTES
set of rules but a dynamic force that can address social inequalities and promote
inclusive governance. His work often explores the intersection of law, human rights,
and social change within the framework of constitutionalism.
5.5 HISTORICAL DEVELOPMENT
Constitutionalism, as a concept in comparative political analysis, has undergone a rich

historical development marked by significant milestones and transformations. The roots
of constitutionalism can be traced back to ancient civilizations, but its modern evolution
began to take shape during the Enlightenment era.
The ancient origins of constitutionalism can be traced to early civilizations that laid the
groundwork for organised governance and the rule of law. While not explicitly articulated
as constitutionalism in the modern sense, these ancient societies demonstrated key
principles that would later contribute to the development of constitutional thought.
One of the earliest manifestations of constitutional ideas can be found in
Mesopotamia, particularly in the Code of Hammurabi (circa 1754 BCE). Hammurabi,
the sixth king of the First Babylonian Dynasty, established a set of laws inscribed on a
stone. These laws were intended to govern Babylonian society and were based on
principles of justice and equity. The Code addressed various aspects of daily life,
including commerce, family matters, and criminal justice. While not a constitution in
the modern sense, the Code reflected a desire for legal consistency and fairness,
laying the groundwork for later constitutional developments.
In ancient Greece, the city-state of Athens played a pivotal role in shaping early
constitutional ideas: The concept of the constitution (politeia) was central to the political
Organization of Athens. The Athenian constitution, attributed to the legendary figure
Solon in the 6th century BCE, introduced reforms that aimed to address social and
economic inequalities. Additionally, the system of democracy that emerged in Athens
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NOTES during the 5th century BCE reflected a form of constitutional governance, emphasising
citizen participation and the rule of law.
The mediaeval and Renaissance periods witnessed significant developments in

constitutionalism, marking a transition from feudal structures to a more organised system
of governance. Key events and ideas during this time contributed to the evolution of
constitutional thought.
One of the foundational documents in the development of constitutionalism is
the Magna Carta, signed in 1215 during the reign of King John of England. The Magna
Carta was a response to the oppressive rule of the monarch and aimed to limit royal
authority. It established the principle that even the king was subject to the law and
outlined certain legal rights and procedures. While initially focused on the rights of the
nobility, the Magna Carta laid the groundwork for broader principles of legal limitations
on governmental power.
In 1295, King Edward I of England convened what came to be known as the
Model Parliament. This assembly included not only nobility but also commoners,
representing a broader segment of society. The Model Parliament contributed to the
idea that governance should involve consultation with various societal groups, setting a
precedent for representative institutions.
During the Renaissance, political philosophers such as Niccolo Machiavelli and
John Locke contributed to constitutional thought. Machiavelli’s work, particularly “The
Prince” (1513), explored the dynamics of political power and the importance of effective
governance. Meanwhile, John Locke’s “Two Treatises of Government” (1689)
articulated the social contract theory, emphasising the consent of the governed and the
protection of natural rights.
The Glorious Revolution in England marked a crucial moment in constitutional
development. The overthrow of King James II and the accession of William III and
Mary II to the throne were accompanied by the Bill of Rights (1689). This legislation
affirmed parliamentary supremacy, limited the powers of the monarchy, and laid the
foundation for a constitutional monarchy. It set a precedent for the rule of law and the
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5.5.3 Enlightenment and the Social Contract NOTES
The Enlightenment era, characterised by intellectual ferment in the 17th and 18th
centuries, and the idea of the social contract had profound influences on the development
of constitutionalism. Enlightenment thinkers challenged traditional notions of governance,
advocating for principles that would shape modern Constitutional thought.
Charles-Louis de Secondat, Baron de Montesquieu, a prominent Enlightenment
philosopher, significantly impacted constitutional thinking with his work “The Spirit of
the Laws” (1748). Montesquieu argued for the separation of powers within a
government-executive, legislative, and judicial system as a safeguard against tyranny.
This concept became integral to constitutional designs, emphasising checks and balances
to prevent the concentration of power.
John Locke’s “Two Treatises of Government” (1689) laid the groundwork for
the social contract theory, a cornerstone of constitutional thinking. Locke posited that
individuals enter into a social contract to form a government, relinquishing certain
powers in exchange for protection of natural rights. This idea profoundly influenced
the framing of constitutions, emphasising the legitimacy of government through the
consent of the governed.
Jean-Jacques Rousseau’s work, particularly “The Social Contract” (1762),
introduced the concept of the general will. Rousseau argued that legitimate political
authority arises from the collective will of the people, promoting the idea of popular
sovereignty. While challenging traditional monarchies, Rousseau’s ideas inspired
democratic principles and influenced constitutional formulations.
The Enlightenment ideals played a pivotal role in the American Revolution (1775-
1783) and the subsequent drafting of the United States Constitution (1787). Influenced
by thinkers like Locke and Montesquieu, the framers of the U.S. Constitution
incorporated principles such as the separation of powers, checks and balances, and
the protection of individual rights. The Bill of Rights, added in 1791, further solidified
the constitutional commitment to individual liberties.
The French Revolution (1789) was also deeply influenced by Enlightenment
principles, leading to the adoption of the Declaration of the Rights of Man and of the
Citizen in 1789. This declaration, inspired by ideas of equality, liberty, and fraternity,
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NOTES articulated foundational rights and liberties and reflected the impact of Enlightenment
thought on constitutionalism.
In conclusion, the Enlightenment era, with its emphasis on reason, individual
rights, and the social contract, significantly influenced the development of
constitutionalism. The ideas of Montesquieu, Locke, and Rousseau found expression
in the constitutional designs of nations, setting the stage for the principles that underpin
modern governance structures.
Constitutional ideas gained momentum across Europe during the 19th century. Many
nations adopted written constitutions reflecting democratic principles and limitations
on governmental power: Countries like Britain and Belgium served as models for
constitutional monarchies, where legal frameworks restrained monarchical authority.
Constitutional reforms in various European states aimed at establishing representative
systems.
Latin American nations, after gaining independence, formulated constitutions
influenced by Enlightenment ideals. These constitutions often emphasised democratic
governance and the protection of individual rights. The unification of Germany in 1871
brought about the adoption of a constitution under Otto von Bismarck. Bismarck’s
constitution created a federal system with a strong executive, influenced by conservative
principles. Japan adopted the Meiji Constitution, blending traditional Japanese elements
with Western constitutional ideas. The Meiji Constitution established a constitutional
monarchy with an imperial diet. ( not very clear)
The United Nations was established in 1945, and the Universal Human Rights
(1948) emphasised global human rights standards. The aftermath of World War II led
to the drafting of new constitutions in many countries, with an emphasis on democratic
governance and human rights.
Civil rights movements began in the mid-20th century, such as in the US. The
Civil Rights Movement influenced constitutional changes. These movements aimed to
address issues of racial and gender inequality, contributing to expanded constitutional
rights. The late 20th century and beyond saw challenges to constitutionalism, including
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issues of terrorism, surveillance, and the balance between security and individual rights. NOTES
In summary, the 19th century witnessed the spread of constitutionalism across Europe
and Latin America, while the 20th century saw significant developments after World
War I, the rise of authoritarian regimes, post-World War II constitutional reforms,
European integration, and challenges to constitutional principles in the contemporary
era. (though this is an important piece of information but doesn’t justify the heading of
Formation of Modern Constitutionalism. Modern Constitutionalism I guess encompass
both the 19th and 20th century developments and even the 18th century developments
of French and US declaration of Independence)
5.6 KEY PRINCIPLES OF CONSTITUTIONALISM
The evolution of the concept of Constitutionalism emphasising the importance of

government/governing according to established principles and rules, has a long history
of many important developments as explained in the earlier sections of the lesson.
Deriving from this history, some of the key principles of constitutionalism are briefly
explained below:
A. Rule of Law: Constitutionalism upholds the principle of the rule of law, meaning
that all individuals, including government officials, are subject to and accountable
under the law. This ensures fairness and equality before the law, preventing
arbitrary use of power.
B. Limited Government: Constitutionalism promotes the idea of limited
government, restraining the authority of the state. It seeks to prevent the tyranny
of government which in most democracies can be seen to represent a majority.
The powers of government are defined and limited by the constitution, protecting
individual rights, minority voice and preventing the concentration of power.
C. Separation of Powers: This principle advocates the division of governmental
functions among different branches, typically the legislative, executive, and judicial
- to prevent the abuse of power and concentration of power in any one organ of
the state. Each branch has distinct responsibilities, creating a system of checks
and balances.
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NOTES D. Checks and Balances: Constitutionalism incorporates mechanisms for each

branch of government to monitor and limit the actions of the others, preventing
any single branch from becoming too powerful. This mutual oversight ensures a
balance of power. So, the principle of Separation of Powers and Checks and
Balances are interrelated. They ensure that the executive does not become all
too powerful.
E. Individual Rights: Protecting individual rights is a fundamental aspect of
constitutionalism. The constitution outlines and safeguards the rights and freedoms
of citizens, establishing a framework that guards against arbitrary government
actions that might infringe upon these rights.
F. Popular Sovereignty: Constitutionalism often embraces the idea of popular
sovereignty, asserting that the ultimate authority lies with the people. Governments
derive their legitimacy from the consent of the governed, and citizens have the
right to participate in decision-making processes.
G. Constitutional Supremacy: Constitutionalism emphasises the supremacy of
the constitution over ordinary legislation. Laws and government actions must
conform to the constitution, and any law inconsistent with the constitution is
deemed invalid.
H. Judicial Review: Following from the principle of Constitutional supremacy,
Judicial Review has emerged as an important feature of Constitutionalism. It
aims to interpret the laws according to the letter and spirit of the Constitution
and can overrule a legislation if it is found to be violative of the constitutional
provisions, mainly Rights of citizens enshrined in the Constitution. The role of
judicial review is to clarify the meaning of the Constitution over time and adapt
it to changing circumstances.
I. Democratic Governance: While not synonymous with democracy,
constitutionalism often aligns with democratic principles, ensuring that the
government is accountable to the people through free and fair elections.
Democratic governance complements constitutionalism by providing a mechanism
for expressing popular will.
It can therefore be said that Constitutionalism is a framework that seeks to
establish a just and balanced political order by enshrining key principles, protection of
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individual rights, popular sovereignty, constitutional supremacy, democratic governance, NOTES

judicial review, and responsive government. These principles collectively contribute to
a system that safeguards individual liberties, prevents the abuse of power, and promotes
a stable and accountable government.
5.7 POST-COLONIAL CONSTITUTIONALISM
Post-colonial constitutionalism refers to the development and evolution of constitutional

frameworks in countries that have gained independence from colonial rule. It involves
the creation or modification of a legal and political system, often in response to the
historical legacies of colonialism. Post-colonial constitutions aim to address issues
such as national identity, governance structures, human rights, and the distribution of
power in a way that reflects the aspirations and values of the newly independent nation.
These constitutions may draw on indigenous legal traditions while also incorporating
modern principles of democracy and rule of law.
Upendra Baxi, a prominent legal scholar, has significantly contributed to the
discourse on post-colonial constitutionalism. His work underscores the transformative
nature of post-colonial constitutions, emphasising the need to transcend colonial legacies
and foster inclusive, rights-based frameworks. Baxi critiques the impact of colonialism
on legal systems and advocates a contextualised approach that acknowledges the
social, economic, and cultural dimensions of newly independent nations. He highlights
the role of constitutions in addressing historical injustices, promoting human rights, and
cultivating participatory democracy. Baxi’s insights enrich the understanding of how
postcolonial constitutionalism serves as a tool for justice, equality, and the assertion of
national identity in a changing global legal landscape.
Colonial rule was a historical era marked by the expansion of European powers across
Africa, Asia, the Americas, and Oceania, beginning in the late 15th Century and lasting
into the mid-20th century. Motivated by economic interests, the desire for new trade
routes, and a quest for global dominance, colonial powers established empires that
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NOTES had profound and lasting effects on the colonised regions. The Age of Exploration saw
European nations such as Portugal, Spain, England, France, and the Netherlands embark
on maritime journeys to discover new territories. Initially focused on trade, these
explorations evolved into colonisation as European powers sought to exploit the vast
resources and establish dominance over indigenous populations.
Colonial rule was characterised by the imposition of European political,
economic, and social systems on indigenous societies. European powers utilised military
force, and advanced technologies to establish control, often exploiting existing divisions
within local communities. The economic exploitation of colonies through the extraction
of valuable resources, such as minerals, spices, raw textile materials, and agricultural
products, fueled the growth of colonial empires. The impact of colonialism on indigenous
cultures was profound, leading to cultural assimilation, loss of traditional practices,
and the imposition of European languages and religions. The introduction of new crops
and animals, known as the Columbian Exchange, had far-reaching consequences on
global ecosystems and diets.
The scramble for Africa in the late 19th and early 20th centuries intensified colonial
competition. The Berlin Conference of 1884-1885 formalised the division of Africa
among European powers, leading to arbitrary borders that did not consider existing
ethnic, linguistic, or cultural divisions. This division left a legacy of conflict and instability
in many post-colonial African nations. Resistance against colonial rule was a common
theme, as indigenous populations sought to reclaim their autonomy and cultural identity.
Movements for independence gained momentum in the 20th century, fueled by global
shifts in attitudes towards colonialism, the aftermath of World War II, and the rise of
nationalist sentiments.
The mid-20th century witnessed the decolonization movement, as former colonies
gained independence through diplomatic negotiations, armed struggle, or a combination
of both. They established stable governance structures, addressed economic disparities,
and reconciled the legacies of colonialism. In summary, colonial rule was a complex
historical period marked by the expansion of European empires, economic exploitation,
cultural transformation, and resistance movements. Its consequences continue to shape
the geopolitical landscape and social dynamics of many regions today.
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5.7.2 The Impact of Colonialism on the Legal System NOTES
Colonialism left an indelible mark on legal systems globally, particularly in the context
of constitutionalism. The imposition of colonial rule often involved the introduction of
legal frameworks that reflected the values, norms, and interests of the colonising powers.
One notable impact was the transplanting of European-style constitutions into colonies,
establishing a foundation for governance that mirrored the political structures of the
colonial masters. These constitutions frequently marginalised indigenous legal traditions
and failed to address the diverse socio-cultural landscapes of the colonised regions.
The result was often a legal system that inadequately represented the needs and
aspirations of the local populations.
Furthermore, colonial legal legacies contributed to persistent challenges in
achieving constitutional justice. The inherited legal structures entrenched inequalities,
favouring the interests of the colonisers and perpetuating social hierarchies. Indigenous
customary laws were often marginalised or subordinated, leading to a disconnect
between the formal legal system and the lived experiences of the people. Post-colonial
states grapple with the task of decolonizing their legal systems, striving to create inclusive
and representative constitutions. This process involves recognizing and incorporating
indigenous legal traditions, ensuring a more pluralistic and culturally sensitive approach
to constitutionalism. However, this transition is complex, as it requires navigating the
tensions between traditional norms and the demands of modern governance.
The impact of colonialism on legal systems, specifically in the realm of
constitutionalism, is profound. It has shaped the legal landscapes of former colonies
creating challenges that persist in the quest for a more just and inclusive legal order.
Decolonizing these systems remains an ongoing process, crucial for fostering genuine
constitutional justice and reflecting the diverse identities within post-colonial nations.
The emergence of post-colonial nations marked a pivotal shift in constitutionalism, as

these newly independent states grappled with forging their own governance structures.
In the mid-20th century, former colonies sought to establish constitutions reflecting
indigenous values while addressing the legacies of colonial rule. Striking a balance
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NOTES between continuity and change, these constitutions often incorporated elements of
traditional legal systems alongside modern principles. Challenges included reconciling
diverse ethnic and cultural identities, ensuring democratic participation, and addressing
socio-economic disparities inherited from colonialism. The post-colonial constitutional
experience reflects a dynamic process of nation-building legal adaptation, and the
pursuit of inclusive governance within the complex tapestry of global constitutionalism.
5.8 KEY PRINCIPLES OF POST-COLONIAL

CONSTITUTIONALISM
Post-colonial constitutionalism is guided by several key principles. These are:

1. Sovereignty and Independence: It emphasises the sovereignty and
independence of post-colonial states, reflecting a break from colonial rule.
2. Inclusivity and Diversity: Strives for inclusivity, recognizing and
accommodating diverse ethnic, cultural, and linguistic identities within the
constitutional framework.
3. Human Rights: Prioritises the protection of human rights, seeking to rectify
historical injustices and ensure fundamental rights for all citizens.
4. Rule of Law: Establishes the supremacy of the rule of law, ensuring that legal
frameworks are just, transparent, and applicable to all citizens.
5. Democratic Governance: Encourages democratic governance structures,
promoting participation, representation, and accountability in decision-making
processes.
6. Land and Resource Rights: Addresses issues related to land and resource
rights, often seeking to rectify historical dispossession and promote equitable
distribution.
7. Cultural Recognition: Acknowledges and protects indigenous cultures,
languages, and traditions, fostering a constitutional environment that values cultural
diversity.
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8. Reparations and Transitional Justice: May incorporate mechanisms for NOTES

reparations and transitional justice to address historical wrongs and promote
reconciliation.
9. Decolonization of Legal Systems: Strives to decolonize legal systems, revisiting
and reforming laws inherited from colonial powers to better reflect local realities
and values.
10. International Solidarity: Recognizes the importance of international
cooperation and solidarity, fostering respect in the post-colonial era.
5.9 CHALLENGES AND ISSUES
Constitutionalism, the adherence to a set of fundamental principles and rules outlined

in a constitution, serves as the bedrock for stable governance and the protection of
individual rights. However, challenges and issues persist, reflecting the evolving nature
of societies and the need for constitutional frameworks to adapt. In examining these
challenges, key areas such as constitutional interpretation, erosion of democratic norms,
and global interconnectedness come to the forefront.
One fundamental challenge is the interpretation of constitutional provisions. The
ambiguity inherent in legal language often leads to differing interpretations, sparking
debates over the intent of the framers. This issue is particularly pronounced in matters
such as individual rights, where the application of constitutional principles to modern
contexts can be contentious. Striking a balance between adaptability and fidelity to
original intent poses a perpetual challenge to constitutional systems worldwide.
Another pressing concern is the erosion of democratic norms within constitutional
frameworks. In some instances, leaders exploit constitutional provisions to consolidate
power, undermine checks and balances, and suppress dissent. This erosion is evident
in the rise of illiberal democracies, where formal democratic structures exist, but the
substance of democracy is compromised. Safeguarding constitutionalism requires
vigilance against such abuses and a commitment to reinforcing democratic values.
Global interconnectedness poses additional challenges to constitutionalism. In
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NOTES pandemics, constitutional frameworks must navigate complexities that extend beyond
national borders, Collaborative efforts and the development of international legal norms
become essential, challenging the traditional conception of sovereignty and prompting
a re-evaluation of constitutional structures to address global challenges effectively.
Constitutionalism also faces challenges in ensuring inclusivity and representing
diverse voices within society. Historically marginalised groups may find their rights
inadequately protected or may face systemic barriers. Striving for a more inclusive
constitutional framework requires ongoing efforts to address historical injustices,
promote diversity and ensure that constitutional protections are extended equitably to
all citizens.
Furthermore, technological advancements present novel challenges to
constitutionalism. Issues related to privacy, surveillance, and the impact of digital
platforms on political discourse demand thoughtful constitutional responses. Balancing
the need for security with the protection of individual liberties in the digital age is an
evolving challenge that constitutional systems must confront.
Economic inequality and social justice pose inherent challenges to constitutionalism
as well. Ensuring that constitutional principles promote fairness, equal opportunity,
and the well-being of all citizens requires continuous attention and adaptation. Striking
the right balance between individual rights and collective responsibilities becomes crucial
in addressing these socio-economic challenges within a constitutional framework.
In the realm of comparative political analysis, examining challenges and issues
related to constitutionalism as a concept offers valuable insights into the functioning
and adaptability of diverse political systems. This analysis often involves comparing
different countries and their constitutional frameworks, shedding light on common
struggles and unique challenges faced by each. Here are key challenges in
constitutionalism from a comparative perspective:
1. Cultural Variations and Legal Traditions: Constitutionalism encounters
challenges due to cultural variations and diverse legal traditions across nations.
Different societies may have contrasting perspectives on individual rights,
the role of government, and the importance of constitutional principles.
Bridging these cultural gaps while maintaining the integrity of constitutional
values, poses a significant challenge in comparative political analysis.
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2. Enforcement and Rule of Law: The effectiveness of constitutionalism relies NOTES

heavily on the enforcement of laws and the strength of the rule of law.
Disparities in the implementation of constitutional provisions across countries
can lead to challenges in ensuring equal protection and justice. Comparative
analysis allows for the examination of how legal institutions function and the
extent to which they uphold constitutional principles.
3. Political Instability and Constitutional Erosion: Some nations face
recurring political instability, which can result in the erosion of constitutional
norms. Comparative analysis helps identify patterns where constitutional
frameworks are manipulated or disregarded during times of political
turbulence. Understanding how different political contexts impact
constitutional resilience is essential in comparative studies.
4. Executive Power and Checks and Balances: Comparative political
analysis allows for the examination of how different countries structure their
systems of checks and balances. Challenges arise when there is an imbalance
of power, and understanding these dynamics helps in assessing the health of
constitutional systems.
5. Transitioning Democracies: Countries undergoing transitions towards
democracy may grapple with constitutional challenges. Ensuring a smooth
transition while establishing a robust constitutional order requires careful
navigation. Comparative analysis helps identify best practices and pitfalls,
offering valuable lessons for nations in transition.
6. Globalisation and Constitutional Adaptation: Globalisation has led to
increased interdependence among nations. Constitutional frameworks must
adapt to address transnational issues. Comparative analysis enables the
assessment of how countries integrate global considerations into their
constitutional principles and navigate the tension between national sovereignty
and international cooperation.
7. Social Movements and Constitutional Change: Social movements play
a pivotal role in shaping constitutional change. Comparative analysis allows
for the examination of how grassroots movements influence constitutional
amendments or reforms. Understanding the dynamics of social mobilisation
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NOTES helps in assessing the responsiveness of Constitutional systems to societal

demands.
8. Technological Challenges: The impact of technology on constitutionalism
varies across countries. Comparative political analysis helps identify how
different nations address challenges related to privacy, free speech, and
digital rights within their constitutional frameworks. Technological
advancements introduce new dimensions to constitutional considerations
that require ongoing scrutiny.
In conclusion, the concept of constitutionalism faces dynamic challenges in
comparative political analysis. Understanding the nuances and variations in how different
countries grapple with these challenges contributes to a more comprehensive and
nuanced appreciation of constitutional governance on a global scale. It allows scholars
and policymakers to learn from diverse experiences and develop strategies to strengthen
constitutional principles across different political contexts.
5.10 SUMMARY
Constitutionalism, a foundational concept in political theory, emphasises the importance

of a constitution as the supreme law of the land limiting governmental power and
protecting individual rights. In comparative political analysis, scholars examine the
evolution and variations of constitutionalism across different contexts. One significant
area of study within this framework is post-colonial constitutionalism, where the impact
of colonial legacies on the development of constitutional systems is scrutinised.
Traditional constitutionalism, rooted in principles such as the rule of law and separation
of powers, has been a cornerstone in Western political thought. It seeks to establish a
framework that constrains government safeguarding citizens’ liberties. Comparative,
political analysis involves assessing how various countries implement and adapt these
principles in their constitutions.
Post-colonial constitutionalism, on the other hand, explores the unique challenges
faced by nations emerging from colonial rule. Many post-colonial states inherit legal
structures imposed by colonial powers, influencing the design of their Constitutions.
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Analysing post-colonial constitutionalism involves understanding how these inherited NOTES

structures either facilitate or impede the establishment of effective governance and
protection of individual rights.
In comparative terms, scholars examine diverse constitutional designs and their
outcomes across different regions. African, Asian, and Latin American nations, for
instance, may exhibit distinct approaches to constitutionalism influenced by their historical
and cultural contexts. Comparative analysis sheds light on how these variations impact
state institutions, legal systems, and the overall democratic governance within each
region. Furthermore, the comparative study of constitutionalism extends beyond the
textual aspects of constitutions to encompass their actual implementation and
effectiveness. The dynamics of constitutional courts, the role of the judiciary, and the
relationship between the state and civil society are crucial aspects explored in this
analysis.
Post-colonial constitutionalism underscores the need to address historical
injustices and ensure inclusive governance. Countries grappling with a legacy of
colonialism often face challenges in reconciling diverse cultural, ethnic, and linguistic
identities within their constitutional frameworks. Comparative political analysis enables
scholars to discern patterns, successes, and failures in navigating these complexities.
In conclusion, constitutionalism in comparative political analysis delves into the
principles and practices of constitution-making and governance across different nations.
Post-colonial constitutionalism adds a layer of complexity, highlighting the enduring
impact of colonial history on contemporary political structures. Through systematic
comparison, scholars gain insights into the strengths and weaknesses of constitutional
designs, contributing to a broader understanding of the complexities inherent in diverse
political systems.
1. Define constitutionalism and provide an example of a country that embraces

Constitutional principles in its governance. Additionally, explain one key feature
or benefit of constitutionalism.
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NOTES 2. Examine the challenges and opportunities associated with the development of
post- colonial constitutions. Provide an example of a post-colonial country and
discuss how its constitution reflects or grapples with historical legacies and
contemporary aspirations.
3. Explore the relationship between constitutionalism and human rights. How do
constitutional frameworks safeguard individual liberties, and can you provide
an example of a constitutional provision emphasising human rights?
4. Evaluate the impact of technological advancements on constitutionalism. How
might digital technologies influence constitutional governance and the protection
of rights?
 C. Mcllwain (1940 [2007]), Constitutionalism: Ancient and Modern, Cornell

University Press.
 Kim Lane Schepple, The Agendas of Comparative Constitutionalism,’ Law
and Courts, Spring, 2003, pp. 5-22
 U. Baxi (2000) ‘Postcolonial Legality’, in Henry and Sangeeta Ray eds., A
Companion to Postcolonial Studies, Blackwell, pp. 540-555.
 Jeremy Waldron, ‘Constitutionalism: A Skeptical View,’ Public Law and Legal
Theory Research Paper Series
 Carl J. Friedrich, Constitutional Government and Democracy, Theory and
Practice in Europe and America
 Mark Tushnet, Advanced Introduction to Comparative Constitutional Law,
Edward Elgar, Cheltenham, 2014.
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UNIT IV: FEDERALISM
LESSON 6 HISTORICAL CONTEXT: FEDERATION

AND CONFEDERATION: DEBATES
AROUND TERRITORIAL DIVISION
OF POWER
Historical Context: Federation and Confederation: Debates ...
LESSON 6 NOTES
HISTORICAL CONTEXT: FEDERATION AND

CONFEDERATION: DEBATES AROUND
TERRITORIAL DIVISION OF POWER
Dr. Santosh Kumar Singh
Structure
6.2 Introduction
6.3 What is Government?
6.4 Major Forms of Government
6.5 An Analysis
6.6 Summary

 Understand the meaning and nature of federalism
 Evaluate the difference between unitary and federal government.
6.2 INTRODUCTION
Government is one of the important components to run the state and its constituent
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NOTES laws and policies to conduct various affairs of the state and daily life of the people. The
government has many forms as mentioned by Plato, Aristotle, Cicero, Leacock etc.
Plato has mentioned three folds of classification—perfect state, imperfect state and
state of ignorance, whereas Aristotle has classified the forms of government based on
numbers with sovereign power and the aim of government. According to him, the best
government is one that works for the interest of people. It becomes perverted when
the government works for their interest. Polybius classified the government into three
forms: monarchy, aristocracy and democracy.
Leacock’s classification of government is generally accepted. He said that there
are two major forms of government: despotic and democratic. A despotic or dictatorship
government means where the will of one person prevails, whereas a democratic
government means the will of the people prevails and sovereignty lies in the hands of
people rather than one person. If we try to classify the modern form of government, it
can be formed based on social, economic, philosophical and historical factors. We
can observe that democracy in the contemporary era has different shades—Britain,
the USA, France, India, Canada, Germany, and South Africa.
6.3 WHAT IS GOVERNMENT?
The term Government comes from the term govern, which stands for ‘to rule, guide,
govern and direct. The term has historical roots. It is commonly described by the
government as monarchy, oligarchy and democracy. All these terms have roots in the
Greek. There is no universal definition of government. According to the Merriam-
Webster dictionary, government stands for ‘the body of persons that constitutes the
governing authority of a political unit or organisation: such as officials comprising the
governing body of a political unit and constituting the organisation as an active agency.
The Britannica dictionary has defined the government as ‘the political system by
which a country or community is administered and regulated. On the other hand,
according to Blackwell dictionary, ‘The government’ usually refers to the rulers, that
group of people who oversee the state at a particular time.
Based on various meanings, it can be said that the term government represents
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same time, it can be a way of exercising power. Government exists to operate the NOTES
various elements of state. As it has been mentioned by the Soltau that government
means ‘all those individuals, institutions, and means which help in expressing the will of
the state and give it concrete shape’. In other words, Garner has said that ‘government
is a collective name for agency or organization through which the will of the state is
formulated, expressed and realized’. C.F Strong has mentioned, ‘if we want to make
and enforce the law the state must have sovereignty, without this, state couldn’t exist.’
The term government is mostly used in four ways. The way the body is charged
with a sense of responsibility to govern. Another way is machinery, or the engine of the
state. It is a state’s machinery; without this, state could not exist. Thus, the government
is an important organ of the state, and it is vested with the right to exercise sovereign
power over the people of the state. To perform these functions, the government can
be divided into three organs—Legislature, Executive and Judiciary. The primary function
of the legislature is to perform the function of law-making for the state and people. The
main function of the executive is to enforce the laws and run the state, make decisions
and formulate policies, and the major function of the judiciary is to interpret the application
of laws to specific cases.
6.4 MAJOR FORMS OF GOVERNMENT
In the contemporary era, there are majorly two forms of government i.e., unitary and
federal. The formation of these two forms of government is based on the model of
division and concentration of power and the relationship between the Union State or
local bodies, and government. The countries like India, USA, South Africa, Canada,
and Australia have federal system, whereas the countries like Britain, Japan, Italy, and
France has adopted unitary structure of government.
A unitary government is a form of government under which all the powers lie in the
hands of one central government. The major power is concentrated in the hands of the
central government and local or state governments have given required powers to
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NOTES perform the basic activities. The local or state government performs the functions as
per the directions of the central government. It can be said that the local government
operates only in the way which is directed by the central government. The power and
the role of local government depend on the wishes of the central government. As it has
been mentioned by Dicey under a unitary form of government, ‘the habitual exercise
of supreme legislative authorities by one central power’. The central government has
exclusive power to make the law for the entire state and enforce the law either by itself
or by transfer to the local authorities. The main features of the unitary government are-
(a) Power in the hands of Central Government: In the unitary form of government,
all the power is concentrated in the hands of the central government. The
provincial or local units draw their power and authority from the central
government and are responsible to it for the exercise of that authority. As it can
be seen in the case of Britain, the power lies in the hands of the central government
i.e., the Prime Minister, same as the case of France, all the powers are kept in
the hands of the president. The law-making authority is not available to any
other body or institution, except that the power is transferred and delegated by
the central government to the state or local government. In France, according
to the 1958 constitution, the central government has all the powers and
responsibilities to define and implement the nation’s policy. The parliament has
the sole responsibility to make laws. The President of France was also head of
the state and head of the executive, supreme commander of the military and
determined the policy after the consultation with the council of ministers.
(b) Flexible Constitution: The constitution of a country with a unitary government
can be written or unwritten. In most of the unitary governments, it has been
found that it possesses a flexible constitution. The flexible constitution is
appropriate for a country which is developing as it gives great chances to update
and change according to the needs of the people. With flexibility, the constitution
led to greater adaptability. The United Kingdom has an unwritten constitution
and thus has a scope of flexibility and scope for change. Furthermore, it has
been noticed that in a unitary system, the units do not possess a separate entity.
(c) Centralized Rules and regulations: In the unitary government, the power is
centralized in the hands of the central government. Thus, it is not required to
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written rules and constitution are also not required to divide the powers and NOTES
allocate the functioning. Britain has a unitary form of government, hence, both
houses of Parliament—the House of Commons and the House of Lords have
the power to make laws for the whole country.
(d) Local or state government follows the guidelines of central government:
As all the powers are in the hands of the central government, it can do all the
things as per its own choice and interest. There is no interference from the local
government, whose duty is only to follow the instructions of the center. The
administrative and other departmental works are done by the local government
as per the direction made by the central government, for example, in Britain, the
Prime Minister and Council of Ministers give directions to the local body to do
the work more efficiently.
(e) Flexible and easy-to-adapt environment: In a unitary government, the power
stays in the hands of the central government. It helps the government and
administration to make decisions according to changing times and needs of the
people. The central government is not dependent on the assent of the local
government, for example, at the time of COVID-19, France, and Britain
government and administration has taken extraordinary decisions. In a unitary
government, the central government has the power to amend the constitution
according to needs and requirement. As it has been mentioned by E.B. Schulz,
‘the principal advantage of unitary government is its flexibility and the matter of
distributing powers on the territorial basis.’
(f) Uniform Administration: According to C.F. Strong, under the unitary system
the supremacy lies in the central parliament. The central parliament governs all
the people like the British House of Commons passes all the laws and govern
the local bodies too. Moreover, centralization of power is also the core idea in
unitary government. In such a system, the local governments are dependent on
the central government. It is subordinate to the central government in all the
aspects.
In contemporary era, China is the best example of unitary government. The
Constitution of China (1982) has introduced the unitary form of government. The
nation’s highest authority is the National People’s Congress (NPC). It is the house that
controls the government in addition to enacting laws for the entire nation. The primary Self-Instructional
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NOTES work is done by the NPC, which also has substantial formal authority over the judicial
and executive branches in addition to creating and interpreting the law.
A federal state is made up of several independent states that are combined to form one
large state, or alternatively, when a large state divides itself into multiple states under
one roof. As Dicey has said ‘A federal state is intended to reconcile national unity and
power with the maintenance of state rights.’A federal state is a union of states as it has
been mentioned in Article 1 of the Indian Constitution that India is a union of states. It
was the USA which initiated the federal form of government in the late 18th century,
which was drafted in 1789 constitution. Canada has adopted the federal model of
United States of America (USA). Later, many other countries followed and adopted
the federal system. In India, the roots of federal system evolved through the Government
of India Act, 1935. Under this act, the devolution of power between union and states
or provinces has been introduced. Hence, during the formation of Indian Constitution,
the constitution makers have identified the ethnic and cultural diversity to adopt the
federal system. After the independence, India was divided into 565 princely states and
most of the states were organized on linguistic and ethnicity background. It is quite
clear that various kinds of federal government have different degrees of power
distribution and sharing.
The federal states and governments are a product of two kinds of forces—
centripetal and centrifugal. Centripetal means when independent states agree to join
hands to create a new state, Australia and USA are the best examples of such federal
states. On the other hand, centrifugal means when unitary government transforms into
a federal government. The unit requires a high degree of autonomy under this
arrangement, which is only possible in federal states. India is an appropriate example
of centrifugal federal state. The federal structure is a kind of demand from different
regional units to put balance between national unity and regional autonomy.
In a federal system, the constitution performs a major role. In a federal state,
the relationship between center and unit are defined in the constitution. In such a
situation, it plays a pivotal role in defining the power and functions of center and the
state, i.e., unit. The distinct feature of the federal government is the division of power
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in its constitution. Every new law that is enacted by the federal government or a state NOTES
attempts to comply with the constitution. It shouldn’t go against the fundamental tenets
of the constitution. In a unitary state, the central government can enact laws to safeguard
and advance the interests of people, but in a federal state, the laws are designed to
consider the interests of the states as well as the people. The main features of a federal
government are:
(a) Delegation and distribution of power: In a federal state, the government
comprises of at least two or more levels in each territory. All of them
perform activity through some common institutions and the power is given
to them on a shared basis. It can be said that in a federal government, the
powers are distributed and delegated between the center and state (units)
and many other local governments too. It is one of the most essential
features of the federal government. In a federal state, the constitution works
as a sovereign over both central and state government. For instance, in
the United States, the federal government possesses certain powers that
are distinct from those of the 50 states. The state and the center each
focus on their own designated domains of expertise. The state and local
governments deal with matters pertaining to state affairs, such as issues
pertaining to education, health, sanitation, roads, and other matters, while
the federal government works on matters of national significance, which
are matters pertaining to both the country and its citizens. Examples of
these areas include foreign affairs, diplomacy, trade, international
negotiations, and treaties. As it has been mentioned in the Canada’s
Constitutional Acts, 1867 to 1982 about the direct taxation within province,
property and civil rights, administration of civil/criminal justice, education
and natural resources.
(b) Written and Rigid constitution: In federal government, the power is
distributed between the central and state government. Thus, in this situation
it becomes essential and binding to define the powers in a written and
enacted constitution. A written document can only give the effective
distribution and division of power. An unwritten constitution may generate
and bring some misunderstandings, confusion and disagreements between
the central and state governments. As it can be observed in the case of
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USA, India and Canada have written constitution. Material 109

NOTES In the federal system of government, it has been said that the written
constitution is rigid. It is due to protecting the nature of the federal structure.
The central and state governments together have the power to amend the
written constitution. Moreover, it is due to maintaining the stability and
nature of federal state. Under this mutual consent between centre and
state, the method follows to amend the any part of constitution related to
federal structure require special majority i.e., 2/3rd majority. For example,
in America, if there is any amendment in the constitution required by the
government related to the federal structure, the amendment follows two
stages, at the first stage it requires 2/3rd majority of both the houses (Senate
and House of representative) and the convention called by the congress
on the demand made by 2/3rd members of the state assembly and at the
second stage, the passed amendment was either approved by the 3/4th
state legislatures or by special convention in 3/4th of the state. It is only
after passing through both the stages that the amendment is incorporated
in the constitution.
(c) Anchoring role of Judiciary: Judiciary plays a pioneering role to protect
and promote the federal nature of state. It is the judiciary which protects
and interprets the constitution. In India and USA, the judiciary utilizes the
power of judicial review over the laws of center and state government.
The judiciary not only interprets or protects the constitution but also solves
disputes between the centre and state or state affairs, like in India, where
the Supreme Court has solved the issues related to rivers.
In a federal state, various issues evolve like, the boundary, resources,
powers, actions etc. In such a situation, the role of judiciary is very important
to solve the disputes between centre and state. As it has been mentioned
by the J. S. Mill, ‘the constitutional authority of central and regional
government alike should be precisely and clearly defined but the power to
decide between them in any case of dispute should not reside in either of
the government, or in any functionary subject to it, but in an umpire
independent in both.’ In this regard, it can be found that the Judiciary
performs key role in USA, Canada, and India.
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(d) Dual Administration and Citizenship: A federal state with two levels of NOTES
government: one at the state level and the other at the federal level serving
the people of the federation. The nature of the functioning of administration
at the center and state level government is totally independent but it also
works as a mutual support basis about national interest.
Moreover, in the federal government, each person gets individual citizenship
of state and center. In other words, it can be said that people of federal
state get double citizenship—one is common union citizenship of whole
nation, and another is the state as unit of which the person is resident. For
example, in Australia, America and Canada, the dual citizenship can be
found. In the USA, the people enjoy the citizenship of USA as well as the
state.
(e) Bicameral legislature: In a federal state, the powers are allocated in its
constituent parts or units. The constituent parts are empowered by the
sharing of power. Thus, to decentralize the power, most of the federal
countries witness dual legislature. In one house—the people of central
government are represented, while the other house is represented by the
units. The USA, Canada and India, have bicameral legislature. In the USA,
the Senate i.e., Upper House represents the states whereas the house of
representative represents center. In the USA, the people of the state have
been given equal representation in the house of representation and the 50
states have been given equal representation.
(f) Equality to all the unit states: Treating every state or unit as equal is a
fundamental tenet of the federal form of governance. It never gives special
or extra preference to any state based on its size, population, resources
etc. It is due to this requirement all the states given equal seats in one or
two houses of the central legislature, for example, in American Senate, all
states are represented by two members whether the state is large in size
or has a large population. As K. C. Wheare mentioned that the framers of
federation must ensure that all the units can maintain their independence
within the sphere allotted to them and work for the federation. Principally,
it can be said that the federal government takes the neutral or middle path
between the centre and the unit affairs. The system is supported by the
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NOTES America’s political system has witnessed many changes in its federal character.
The initial nature of America’s federalism was based on the model of dual federalism
i.e., based on the principles of equality between the center and state. It was only till the
start of the Second World War in 1939 and 1940s. After some time, the nature of
America’s federalism changed into the model of cooperative federalism. In this
federalism, America has started regulating the economy in the model of give and take.
In the contemporary era, the nature of American federalism is mixed with dual and
cooperative federalism i.e., the center and state government are neither fully free nor
subordinate. It is quite clear that the larger geographical areas and cosmopolitan cultures
have mostly adopted the federal form of government. It is basically to represent the
entire region and community people. But, some states like India have adopted the
federal system to adopt both the larger geographical area and the voices of diversity.
The world has been adopting more federal systems in recent years; this is because
doing so gives the region autonomy and promotes rapid development and security.
Moreover, in the contemporary world, the nature of federal states has been changed
from dual federalism to cooperative federalism. In cooperative federalism, both the
centre and unit governments try to complement each other and work on mutual support
basis. It is visible in terms of America and India.
6.5 AN ANALYSIS
In the contemporary world, almost all countries have adopted the democratic form of
government, in which most of the states have followed either the unitary or the federal
form of government. If we can analyze both forms of government, we may find some
merits and demerits. It can be understood under different points, these are:
(a) Centralization versus Decentralization: When we see both the unitary and
federal forms of government, it can be easily noticed that the major difference
between these two forms of government is the distribution of power i.e.,
centralized and decentralized power systems. The unitary form of government
follows the principle of delegation of power from top to bottom. For example,
Spain or Britain have delegated the power to different autonomous agencies to
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112 Material

lower units are used as delegated authority and remain subordinate to the central NOTES
government.
(b) However, in the federal form of government the power is decentralized. It means
the decision-making process is not dependent on one centralized authority or
institution, but the power lies in the hands of multiple political actors. The subunits
are capable enough to make the decisions by themselves rather than getting
permission from the centre like the unitary form of government. This centralized
and decentralized system can be easily understood through Britain, Spain and
France where the decision is taken by one person or the institution. However,
rather than only coming from the centre, decisions are also made at the ends of
several units in federal governments like those in America, Canada, and India.
(c) Stable and powerful government: If we analyze and compare the unitary and
federal forms of government it can noticed that the unitary government is stronger
in comparison to the federal government regarding decision and policy-making.
There are chances that the unitary government can turn into a totalitarian
dictatorship. It is because there is no oversight of government operations and
power remains concentrated in the hands of the central government. The
likelihood of power abuse is high. For instance, it can be noted that the military
government in Pakistan has frequently overthrown the democratic one. The
military has frequently taken control of the government in Pakistan and installed
a military regime.
(d) The division of power between the centre and state is a weakness for both the
central as well as the state government. The central government finds it difficult
to implement the policies, programs and decisions without support from the
state government. On the other hand, state governments also find the difficult to
implement the schemes and policies with support from the central government.
As Gettlell has said, the proper adjustment for the central government is always
the source of problems majorly due to some sectional and local fractions present
in the state.
(e) The nature of the constitution: The Constitution has a very important post in
democracy and the Unitary or the federal form of government. In a unitary form
of government, the constitution is flexible. It is easy to amend by the central
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Material 113

NOTES and not easy to amend which requires the consent of most of the states. It can
be easily noticed that the USA has witnessed only a few constitutional
amendments whereas, Britain has experienced many constitutional amendments.
(f) Administration and governance: The administration plays a very important
role in both the forms—unitary and federal government. In a unitary government,
the administration is flexible. The flexible constitution ensures to fulfilment of the
needs of the people according to changing times. The unitary system also adapts
to the situation according to the social needs and environment. It is because of
the system that enables the establishment of a strong central government with
complete authority to exercise that authority and modify the constitution as needed.
As has been mentioned by Gettell, the unitary system for its uniformity and
freedom from repetition, wastefulness, and extravagance. However, the unitary
government is suitable only for small or homogeneous states for large states
where multicultural systems where multiple languages, religions, and regional
diversity, the federal government will be the suitable government. In the unitary
system, the existence of a single executive and legislature for the whole state
makes dominance of administration of administration by the bureaucracy.
(g) Conflict and Stability in the State: A strong desire for unity among the people
is the first and prior condition for the formation and success of the federal
government. Thus, the idea of ‘unity in diversity’ has become the hallmark of the
successful federal government. The diverse interests of the federal units create
conflict with the unit and national interests. Many times, it creates conflict and
unhealthy competition between the regions. For example, regional loyalties,
racial, linguistic, and religious become major issues in federations.
6.6 SUMMARY
After the American and French revolutions, the one-man rule was replaced by the
democratic form of government. This democratic form of government has seen two
kinds of system, one is more centralized as the unitary system, and another is
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decentralized as the federal system. Now, both the forms of government —unitary or NOTES
federal are trying to protect and promote the voices of individuals with the model of
good governance. Both forms of government have their own positive and negative
points. It’s the nature of the state which decides the best form of government—unitary
or federal. In the modern world, most countries are trying the mixed model like the
unitary feature with the federal government—unitarian federalism. For example,
according to Article 1 of the Indian Constitution, India is a ‘union of states’ but in
practice, it is more quasi-federal—the centre is more powerful than the states. It is due
to the power provided to the central government to make the national decision whereas
autonomy to the states to solve the local issues. Along with this, it has been found that
most federal forms of government evolved in large geographical areas along with cultural,
linguistic and ethnic diversity.
The principle of ‘unity in diversity’ or the ‘union with autonomy’ in actual practice
is always the source of individual identity and protection to units in the system of
federal government. The federal system is the most suitable system for a large state in
terms of size, population and diversity—it protects and promotes the interests of people
in terms of language, culture, religion, race and class. The centre cannot be powerful
without cooperation and support from local or state governments. Thus, most of the
modern states are trying the cooperative and centralized federal system for providing
goods and services to people and the federation as a whole.
1. Examine unitary system. Elaborate on how the unitary system works in the UK.
2 What do you understand by the federal system? Examine the significance of
federation in the context of territorial division of power.
3. What is federalism? Explain the division of power system in India in comparison
to Canada.
4. Compare and contrast various aspects of federalism in India and USA.
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Material 115

NOTES
 Merriam-Webster, 2021 accessed from Government

 Brogan, Hugh (2021), Government, accessed from https://www.britannica.com/
topic/government.
 Bealey, Frank (1999) Government, The Blackwell Dictionary of Political
Science: A User’s Guide to Its Terms, Blackwell Publishing: Oxford, P-147
 Strong C F (1972), Modern Political Constitutions; An Introduction to the
Comparative Study of Their History and Existing Form, New York: Macmillan
Company.
 Schulz, E.B (1961), The Essentials of Governments”, Prentice Hall: London
 Dicey, A. V (1915), Introduction to the study of the law of the constitution,
Macmillan Publication: London.
 Mill, J. S (2008), Considerations on Representative Government, Ingram short
title: London
 Gettell (2015), Readings in Political Science, Arkose Press: Warsaw
 Jackson, Robert J (2006), Politics in Canada, Longman Pub Group: Toronto.
 Friedrich J Carl. (1968), Trends of Federalism in Theory and Practice, Praeger:
New York.
 Baldi, Brunetta (1999), ‘Beyond the Federal-Unitary Dichotomy, University of
California: Barkely
 G. Sawer (1976), Modern Federalism, Pitman Publication: London
 A. Stepan (2001), Arguing Comparative Politics, Oxford University Press:
Oxford
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UNIT V: STATE AND REGIME TYPES
LESSON 7 CAPITALIST, WELFARE, POPULIST

AND SECURITY STATE
Capitalist, Welfare, Populist and Security State
LESSON 7 NOTES
CAPITALIST, WELFARE, POPULIST

AND SECURITY STATE
Dr. Junjun Sharma Pathak
Structure
7.2 Introduction
7.3 Understanding the Nature of Political Regimes: Its Challenges and Objectives
7.4 Basis of Classification: From Number of Rulers and Nature of Authority
Exercised
7.5 Democratic Regimes: Nature and Characteristics
7.6 Authoritarian Regimes: Nature and Characteristics
7.7 Totalitarian Regimes: Nature and Characteristics
7.8 Populism: Nature and Characteristics
7.9 Summary

 Understand the meaning of Capitalism, the Welfare state, and Populism.
 Know about the classification of numbers of rulers and the nature of authority
exercised in democratic and authoritarian regimes.
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NOTES
7.2 INTRODUCTION
Understanding the nature of regimes has been a great challenge not only due to the
changing nature of parameters to characterize a regime but also due to the presence of
multiple and overlapping variables. Nevertheless, understanding the nature of regimes
is crucial since it guides us in our understanding of how government functions and
facilitate better governance and ensure a good life.
This lesson will investigate the nature of different regime types followed by a
discussion on the challenges of the classification of regimes. We will also study the
basis of classification that has been used to characterize political regimes. For this
purpose, this lesson will focus on the number of people ruling and the nature of power
the state holds concerning its subjects and political institutions as the two broad
parameters.
The next section will highlight the characteristics and the nature of democratic,
authoritarian, populism, and totalitarian regimes. It would enable us to understand the
differences and the overlapping characteristics between these regime types. So, by
the end of this lesson, we would be able to get a glimpse of the basis of the classification
of regime types and understand in detail the nature of their various kinds.
As we proceed to explore the nature of various kinds of regimes, it is necessary
to briefly discuss what we understand by terms such as the state, government, and
political regimes or political systems. We often use these terms interchangeably,
especially terms such as the state and the government. However, let us discuss the
meaning of these terms briefly for a better understanding. The state could be defined
as an organized political community, with a definite territory, sovereignty, and a
government. While the government is the agency that acts on behalf of the state. Political
regimes can be defined as “the formal and informal structure of state and governmental
roles and processes” (Siaroff 2013:2). It represents a set of processes, norms and
culture that determines how the government functions. It refers to the pattern of
interactions between various institutions, structures, the government, and the civil society
of the state.
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NOTES
7.3 UNDERSTANDING THE NATURE OF POLITICAL
REGIMES: ITS CHALLENGES AND OBJECTIVES
The earliest tradition of investigating regimes could be traced to the 4th Century B.C.
Thinkers like Plato and Aristotle have contributed greatly to the tradition of studying
regimes. The modern state and the rise of the Westphalian state have introduced several
changes in how we look at a modern state. The emergence of liberal democratic
states, the constitution, and factors such as freedom of expression and speech, the
spectrum of political and social rights have greatly shaped the nature of regimes a
country may have. However, with the process of decolonization and Cold War politics
in the nineteenth and twentieth centuries, the classification of regime types become
much complex. However, the process of classification has not been bereft of criticisms,
since many of these classificatory schemes have been considered Eurocentric privileging
from the West, with oversimplified realities of many Asian and post-colonial states.
7.4 BASIS OF CLASSIFICATION: FROM NUMBER

OF RULERS AND NATURE OF AUTHORITY
EXERCISED
Two major variables which have been employed to understand the nature of regimes
have been: the number of people ruling (who is ruling) and secondly how the ruling
body exercises power over the governed. In the case of the second criterion, power
has been a major basis of classification and a yardstick to investigate the nature of the
relationship the state may hold concerning its political institutions. The nature of the
relationship shared between the centre and the units determines whether the state is a
unitary or a federal state. Also, regimes may be classified based on the relationship
between the executive and the legislative therefore it could be a parliamentary or a
presidential form of government.
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Material 121

NOTES Before we proceed to understand the contemporary nature of regime types let
us look at how regimes may be classified based on the number of people who execute
political power.
Type of Regime The number of people who rule and the nature of the rule
Monarchy It is a rule by one person. In such a kind of regime, the monarch is the head of
the state. The nature of such regimes could vary from constitutional, to symbolic
to an absolute monarchy (examples may include Nepal, Jordan or medieval
Europe, Britain)
Dictatorship One (examples may include Germany under Hitler and Italy under Mussolini, or
in the current times North Korea)
Oligarchy Rule by a few, often by the wealthy class. It is a kind of rule where a certain class
of people assumes rule over several aspects of a regime (for instance South
Africa under the apartheid regime)
Aristocracy Rule by few, such regimes are characterised by a rule by the small ruling class.
(examples of such regime types could be ancient Greece)
Democracy Many (Examples of Democracy may include the United States and India)
We have seen how we can classify regimes based on the number of people who
rule, we can classify regimes based on the government executes power and holds
power as mentioned below:
Type of Regime Its relationship with power and its execution
Totalitarian Absolute control over every aspect of life and governance (examples may
include the Union of Soviet Socialist Republics and Greater German Reich)
Autocratic Such a regime is also very controlling; however, it is less controlling than a
totalitarian regime (French Empire under Napoleon Bonaparte, Chile under
Pinochet)
Authoritarian Such a regime is also very controlling; however, it is less controlling than a
totalitarian regime.
Constitutional Under such regimes the amount of power exercised by the state is controlled
by rules that are laid out in the constitution and any abuse of power is ensured
by a system of checks and balances.
Democracies Under such a regime the source of power lies with the people. The elected
representatives of the people are responsible for exercising power on behalf
of the people. Democracies may be direct or indirect.
Populism Such political movements/ regimes claim to represent the will of the people
and demonstrate opposition to the elites
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After we have understood the various existing kinds of regimes based on the NOTES
number of people ruling and their relationship with power, this section will specifically
deal in detail, with the nature of democratic, authoritarian, totalitarian and populist
regimes.
7.5 DEMOCRATIC REGIMES: NATURE AND

CHARACTERISTICS
It refers to a political system characterized by the rule of the people. Democracy is

represented as a form of the regime in which people elect their representatives. The
word democracy comes from the Greek Word Demos, meaning the people. It refers
to a kind of political rule, where the supreme power is vested with the people. Some
of the earliest references for democracy are traced to ancient Greece. For instance,
many of these ancient Greek city-states, had certain institutions in place which was
democratic. In Athens, a few could elect their representatives or officials, thereby
having an element of election and a system where rule by the majority was an acceptable
form of political process and it is considered due to the level of mass participation by
the masses (Heywood 2019:183). Both examples demonstrate traces of democratic
processes. However, the nature of democracy at that time was not like democracy.
The thing we need to understand is the position of the individual in the community.
The prevalence of democratic practices can be traced to the Indian subcontinent
as well as early social and political formations. Some of the prominent institutions can
be traced to the 6th B.C. when a few people could exercise their participation through
the Sanga’s and panchayats during the era of the Mahajanapads. However, the nature
of democracy then and the modern notion of democracy varies.
As we begin to move away from the ancient period, we see that as the political,
cultural and economic changes began to take place, so did the nature of the state and
the nature of political regimes. For instance, the nature of political regimes in the medieval
period was greatly influenced by events such as the Renaissance in Europe and eventually
the Treaty of Westphalia 1648 formalized the notion of a modern state with territorial
sovereignty as one of the fundamental aspects of a state (Heywood 2019: 124).
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NOTES Eventually, significant events in the United States such as the passage of the Bill of
Rights 1789 were landmark developments for the growth of democratic ideals. The
French Revolution in 1798 too played a significant role, which led to the establishment
of the constitutional monarchy after abolishing the ancient regime, which is considered
to have laid some of the most fundamental aspects of modern liberal democracy.
The 20th century was one of the most eventful periods in the context of the rise
of democratic regimes. The impact of the First World War with the victory of the Allies
was a period when democratic regimes received more legitimacy. However, the peace
between the interwar period and the victory of the allies was short-lived, due to the
rise and popularity of authoritarian regimes. For instance, the rise of Nazism in Germany
and Fascism in Italy, are some of the most striking examples of authoritarian regimes in
the 20th century. The Cold War period too saw a period when the struggle between
the communist and the capitalist blocs influenced the nature of political regimes in
many countries. Also, other political developments such as the prominence of Stalinism
in the Communist USSR, demonstrate how authoritarian states turned totalitarian.
Having mentioned that the upcoming sections would provide a comparative analysis
of how the nature of authoritarian regimes may differ from totalitarian regimes.
However, the post-Cold War period, the dissolution of the USSR, the
decolonization process and civil rights movements, had impacted the gradual demise
of non-democratic regimes. Many former colonies of the imperial powers were to
grant political autonomy/ sovereignty instead of cooperating with the war efforts of the
imperial powers. For instance, India was promised independence if India were to
cooperate with Britain in their war efforts against the Axis powers. Representative
governments started becoming more popular. Even today, many countries are making
transitions concerning the nature of the political regimes they have. However, one of
the greatest challenges of democracy remains, that true democracy is a distant possibility.
The appropriation of democracy by vested interests and populist regimes has taken
away the real essence of the objective of a democratic political system.
The next section will discuss some of the major characteristics of a democratic
regime. The nature of a democratic regime is usually determined by the position of an
individual concerning the community and civic and political rights.
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When we speak of democracy in everyday language, we refer to the rule of the NOTES
majority as one of the basic principles of democracy, which implies the rule of the
people.
1. Universal Adult Franchise and voting rights do constitute the core of any
democratic regime. However, majority rule does not naturally imply that a
state may be democratic. A true democracy, especially in countries with
diverse ethnic and religious composition, must ensure the concerns of the
ethnic and religious minorities.
2. Political Pluralism is one of the most important aspects of a democratic
regime. In modern-day democracies and especially in states with a complex
societal composition and multiple institutions, political pluralism becomes a
crucial characteristic of a well-functioning democracy. One of the basic
features of a democratic regime is the free formulation of preferences through
freedom of association, information, and communication (Linz 2000:58).
3. Democracies usually guarantee certain inalienable rights to their citizens.
Freedom of speech and expression, religious and cultural freedom are some
of the rights.
4. Political freedom is another major characteristic of a democracy, which is
marked by the presence of civil liberties, mass participation, and freedom of
media and press. The election of leaders either directly or indirectly is one of
the core features of a democratic regime.
5. Equality before the law and equal opportunities irrespective of caste, gender,
or religion are fundamental features of modern democracies. For democracies
to be real, there must be equality of opportunities in not just political, but
social, educational, and economic sense (Gillin 1919: 704)
6. Economic freedom, the right to practice a profession of choice and the
absence of absolute state control over economic activities have also been a
part of liberal democracies.
7. Mass political mobilization is a fundamental aspect of modern democracies
since representatives compete in elections to govern (Boix and Stokes
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NOTES 2011:9). Since political participation and freedom of expression may form a
crucial feature of democracies, therefore it is often marked by the presence
of civil society groups.
However, it should also be noted that no democratic regime offers absolute
rights or political freedom. Often, and in many instances, rights as qualified and not
absolute. For instance, one cannot hurt the sentiments of other communities in the
name of freedom of speech or make derogatory remarks against women. However, it
is also true that many times a lot of these provisions in a democracy are misappropriated.
Alan Siaroff (2013: 117), identifies a few factors which make some countries more
democratic than others and they are political pluralism, level of economic development,
nature of development, the role of the military, population, homogeneity, socio-cultural
and regional factors.
Democracies could be of two types, direct and indirect democracy. In a direct
democracy, people elect their representatives directly and govern directly, for example,
in Switzerland. On the other hand, in indirect democracy people elect their
representatives, often called representative democracy. In representative democracies,
people elect their leaders indirectly and it is effective if the relationship between the
governed and the government is fulfilling and reliable (Heywood 2019:181).
Representative democracies could be parliamentary, presidential, liberal, and illiberal
too. Democracies may be characterized by a dominant one-party system and a multi-
party system. India has a representative form of democracy, characterized by a phase
with a one-dominant party system in the immediate post-independence days, and with
time saw an emergence of regional parties and coalition politics. The American system
has the feature of a two-party system with the Republicans and the Democrats. Britain
can be characterized as having a multi-party system, however, since 1920 there have
been two major parties, the Labour Party, and the Conservative Party. However, the
dominant one-party system is not the same as a pure one-party system, which exists in
countries like the People’s Republic of China. In a one-party dominant system, one
party predominates over the rest, whereas a pure one-party system is characterized
by a single party, which is non-democratic (Siaroff 2013:202)
We have discussed how different regimes differ from each other based on the
number of people who rule and the nature of power they wield over the political,
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evident that there is no strict categorization of any regime as such, but only an identification NOTES
of some more prominent characteristics of these political systems. However,
democracies are also not without their pitfalls, often democracies have assumed
oligopolistic characteristics and rivalries between political parties and opposition create
disharmony too (Heywood 2019:184). Also, there are different theories of democratic
thought which explore various forms of democracies such as pluralist, liberal, substantive,
and deliberative (Hilmer 2011: 605-607).
A critical analysis of each of these regime types, as in when we look at the
actual functioning of these political systems, we may see that certain countries with a
democratic set-up may not be as democratic as it may seem to be as enshrined in the
constitution. For instance, one of the major criticisms around democracy, apart from
Aristotle’s understanding of democracy as mobocracy is that it is a form of oligopolistic
government, in which a few rules over the entire situation in the name of the people.
7.6 AUTHORITARIAN REGIMES: NATURE AND

CHARACTERISTICS
Authoritarian regimes are characterized by governments which have a strong command

over power, often a centralized power structure. Such regimes are characterized by
limited political freedom. Under such regimes, political rights, freedom of religion and
political pluralism are very limited. Also, there may be overlapping of judicial, executive,
and legislative functions of the state. Even today, many authoritarian regimes may have
features of a democratic system and a democratic system may have features of an
authoritarian regime. As discussed earlier, each of these regimes may have variations
and may often overlap with the characteristics of other regimes, however, political
scientists have classified authoritarian regimes as oligarchic or autocratic, or ruled by a
one-party or the military.
Alan Siaroff (2013:243-245), lists different kinds of authoritarian regimes which
may range from traditional, military, theocratic, to electoral authoritarianism. The
traditional authoritarian regimes are the ones that are based on a patron-client
relationship. Bureaucratic military apparatus is those which sustain themselves through
and within the bureaucratic structure. Competitive authoritarian regimes are those Self-Instructional
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NOTES regimes that have democratic structures but are authoritarian in their functioning. Also,
as discussed in the previous sections, authoritarianism in its extreme form takes the
shape of a totalitarian state. Some of the fundamental characteristics of authoritarian
regimes are discussed in the section below:
1. Authoritarian regimes have a very controlled power structure; they usually
have a centralized power structure. It is not just political power that is
centralized, even economic power may be highly centralised. In authoritarian
regimes or non-democratic setups, a lot of the rules are left to the rulers to
decide and not independent bodies (Linz 2000: 59).
2. One of the core aspects of an authoritarian regime is that it lacks political
pluralism. Such regimes lack the spirit to accommodate any opposition or
presence of alternate institutions. Authoritarian regimes are less tolerant of
diverse ethnic and religious composition.
3. Most often, such regimes sustain the use of violence or coercion. Any non-
adherence to the dictates of the state may invite very harsh punishments.
Secret killings and arrests become a common feature, for instance, Nazi
Germany during Hitler’s reign was based on an extensive spy and surveillance
system and often resorted to force to suppress any opposition or alternative
thinking.
4. It is often marked by an indefinite rule by one political power, often maintaining
its position through abuse of power. Such leaders often come to power not
necessarily because people elect them or grant consent but often occupy
positions of power through coercion and even populist propaganda. Such
leaders remain in power by disseminating fake information, with total control
over mass media and freedom of speech. Therefore, controlled media and
freedom of the press are another feature of such regimes.
5. Authoritarian regimes are characterized by limited civil liberties and attempts
are made to control civil liberties.
6. Lack of mass mobilization and mass participation in political affairs become
a dominant feature of many authoritarian regimes due to the use of severe
coercion and state repression.
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History has examples of many authoritarian regimes, however, with the end of NOTES
the Second World War, many countries moved away from authoritarianism to
democracy. Factors such as the use of force or coercion alone have not been able to
hold such regimes in power although it has been a crucial factor, for instance, Pol Pot
was ousted from power after killing two million Cambodians (Gandhi and Przeworski
2007: 2).
Factors such as the end of decolonization, the end of Cold War, fall of the
Soviet Union acted as catalysts for the shift away from authoritarian regimes. Arab
Spring in 2010 was another event which began in Tunisia and spread to many countries
such as Libya and Egypt challenging the authoritarian regimes. However, even today
we have many authoritarian regimes such as North Korea and the People’s Republic
of China.
7.7 TOTALITARIAN REGIMES: NATURE AND

CHARACTERISTICS
Totalitarian regimes are characterized by extreme state control over both the private
and public life of the people. R Fine (2001) states that it is a form of modern dictatorship
in which state power is concentrated in a single party; the state exercises its control
over almost every aspect of the life of the people, there is the use of terror which is
often exercised by a secret police service and most importantly use of an official
ideology which is often irrefutable.
Historically, the concept of a totalitarian state may be traced back to the writings
of several political thinkers who mentioned the idea of an absolute state. However,
totalitarianism is believed to be modern which type can be traced to the rise of Germany
under Adolf Hitler, Italy under Mussolini and the Soviet under Stalin is also an example
of the same. One of the recent examples of such a regime is North Korea under Kim
Jong-Un.
Some of the major characteristics of the totalitarian regimes are as follows:
 Absolute control over every aspect of life: Totalitarian regimes are
marked by the state’s presence in determining most aspects of the life of the
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NOTES citizens. For instance, such regimes determine not only the nature of political
rule and political rights but also exercise complete control over the economy,
educational, cultural life, morals, and attitudes.
 The concentration of power in a single party: Totalitarian states are
characterised by the concentration of political power in a single party. In
such a system one party rules the political system with a strong ideological
base which is indisputable. It does not show tolerance towards the presence
of opposition and the existence of any alternative political party. Therefore,
the use of state repression and violence becomes a distinct characteristic of
such regimes.
 Complete control over the economy: Control over the economy is one
of the most fundamental features of a totalitarian regime. Totalitarian regimes
are marked by absolute control and command over the economy of the
state concerned. The state decides all the major economic decisions, the
planning, the distribution and the nature of economic competition. The model
of economic planning in the erstwhile Soviet Union is one such example that
was characterised by a very rigid system.
 Mass Surveillance: Since, totalitarian states attempt to control the political,
economic, and cultural aspects of life it relies heavily on the use of mass
surveillance. Such regimes are characterised by the presence of a secret
police service, the use of technology for surveillance and even concentration
camps. Nazi Germany is considered one of the greatest examples in history
which embarked on a very massive surveillance programme to control the
population.
 Repression of freedom of speech and criticism: Another feature of a
totalitarian regime is the absence of freedom of speech and opinion. In such
regimes, criticisms against the government are responded to with heavy
repression. The state has control over the media, and newspapers and it
also controls the circulation of any knowledge. Most sources of information
are often state-controlled and act as a mode of propaganda. Censorship of
the press is a common feature of such regimes.
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 Use of force and violence: The use of violence and force to suppress any NOTES
opinion that may criticise the action of the state is another fundamental feature
of such a regime. Force is often used to crush dissent, suppress opposition,
and garner the obedience of the masses.
The distinction between totalitarian and authoritarian regimes
As we can see in the preceding sections above factors such as the use of force, lack of
political freedom, the concentration of political power, and the use of force are
overlapping characteristics for both totalitarian regimes and as well as authoritarian
regimes. The question here that arises is then, what is the difference between a totalitarian
and an authoritarian regime?
One of the fundamental features and a difference between a totalitarian and an
authoritarian regime is that a totalitarian regime attempts to control every aspect of life,
both public and private. It attempts not only to control the economic and cultural life of
the state but also to shape or even manufacture certain attitudes, beliefs, and a particular
ideology as desired by the state. On the other hand, authoritarian regimes, although
characterized by a strong concentration of power, use of force or lack of freedom, do
not attempt to control every aspect of life as it does under a totalitarian regime. There
is some degree of freedom although marked by an absence of any accountability.
7.8 POPULISM: NATURE AND CHARACTERISTICS
What do we understand by the term Populism or Populist regimes? We can notice in

recent times that this term has begun to be widely used to characterize a certain type of
politicians and leaders, who are identified as figures with a wide mass appeal and
influence. These public figures are often charismatic and have been able to demonstrate
their influence over the masses. But as we all know, most leaders are powerful and
appealing to a wide audience. So, are being populist and being popular the same thing,
or are they different? Let us examine the concept and idea of populism from a
comparative perspective.
This term is widely contested as it was represented completely, since it may
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NOTES and social context. Cristóbal and Kaltwasser (2017:4-5), mention four kinds of
approaches that explain what populism could mean; the popular agency approach
speaks of populism as a positive force for the mobilisation of people in a democracy.
Then the Laclauan approach, which is rooted in critical studies considers populism as
an emancipatory force. It is based on the notion that liberal democracies need to
change into radical democracies, and it is populism which can induce mobilisation for
change to include the neglected segment of society. Another approach speaks of
populism as a political strategy, characterised by the emergence of strong charismatic
leaders who have a connection with the masses. The last approach states that populism
is a ‘folkloric’ that parties and leaders use to garner the attention of the masses and the
media. These scholars argue that each of these approaches has its merits and demerits.
Despite contradictions in assigning a single definition of the term, populism can
be said to have the following characteristics:
Firstly, populism has been identified as a political movement or those leaders
who highlight or claim to represent the common people and the will of the common
people. They claim to represent real needs of the people.
Secondly, one of the most fundamental characteristics of populist regimes or
movements is that the claim of the leaders to represent the will of the people is majorly
juxtaposed against the elites or even the ruling establishment in case of those trying to
capture power.
Most importantly, we realise that being popular is not identical to being a populist.
As discussed, populism is not a single movement or one set of beliefs. It has its
own set of implications in different political, social and economic contexts. Many
movements in Asia, Europe, and America have been termed populist, however, they
may not have similarities, for instance, many right-wing parties can be populist while
even left-wing parties could be populist too. Venezuela’s late President Chávez, Donald
Trump in the United States, and the Bolivian Government of left-wing populist Evo
Morales are a few examples of the same.
Populism is identified with its set of negatives and positives. For instance, many
populist leaders are identified with unfulfilled promises, since such promises are made
in haste to capture the attention and support of the people. However, populism can
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also be identified as a people’s participation in influencing the decision-making in both NOTES

the political and economic sphere, since many of the populist movements are often
mobilisations at the grassroots level as well.
7.9 SUMMARY
In the end, we need to understand that there is no strict mode of classification of

regime types. Political scientists have classified regimes based on the nature of the
relationship between the ruler and the ruled civil and political liberties, and the relationship
between various organs of the government.
We have learned that political regimes could be classified based on the number
of people ruling, such as monarchy, dictatorship, aristocracy, oligarchy to democracy.
We have discussed the characteristics of authoritarian, totalitarian, democratic, and
populist regimes. One of the most important aspects we need to keep in mind is the
nuanced difference between totalitarian and authoritarian regimes, although both may
have similar features as well.
The process of decolonisation, especially after the post-Cold War has introduced
complex changes in many Asian and African countries, therefore new modes of
classification become a necessity for a more meaningful study of the various political
systems across the world.
1. What is democracy? What is the difference between authoritarianism and

democratic forms of government?
2. What do you understand by democratization? Analyse the problems and
prospects of democratic transition in the post-colonial countries.
3. What is populism? Discuss various methods of populism in the contemporary
world.
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NOTES
 Boix Carles and Susan C. Stokes (2011), in Overview of comparative politics,

in Robert E. Goodin(ed.) Oxford Handbook of Political Science.
 Cristóbal and Kaltwasser (2017), Populism: A Very Short Introduction, Great
Britain: Oxford University Press.
 Gandhi, Jennifer and Adam Przeworski. 2007. “Authoritarian Institutions and
the Survival of Autocrats.” Comparative Political Studies 40, no. 11
(November): 1279-1301.
 Gillin, L. J (1919), “Origins of Democracy”, American Journal of Sociology,
24(6):704- 714. Heywood, Andrew (1997), Politics, Macmillan, London.
 Hilmer, D, Jefferey (2011), ‘Modern Democratic Thought’, in Ishiyama, J. T.
and Breuning, M. (eds.) 21st Century Political Science: A Reference Book.
Los Angeles, Sage: 605-614.
 Juan J. Linz. 2000. Totalitarian and Authoritarian Regimes. Boulder: Lynne Reiner,
pp.1- 63.
 R. Fine (2001), ‘Totalitarianism Impact of Social Thought’ in International
Encyclopaedia of the Social and Behavioural Sciences, URL; https://
www.sciencedirect.com/topics/computer- science/totalitarian-regime
 Siaroff, Alan. (2013). Comparing Political Regimes- A Thematic Introduction
to Comparative Politics. Toronto, University of Toronto.
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UNIT VI: ELECTORAL SYSTEM
LESSON 8 DEFINITION AND PROCEDURES:

TYPES OF ELECTORAL SYSTEMS
(FIRST PAST THE POST, PROPORTIONAL
REPRESENTATION, MIXED
REPRESENTATION)
Definition and Procedures: Types of Electoral Systems ...
LESSON 8 NOTES
DEFINITION AND PROCEDURES: TYPES OF

ELECTORAL SYSTEMS (FIRST PAST THE POST,
PROPORTIONAL REPRESENTATION, MIXED
REPRESENTATION)
Dr. Robert Mizo
Structure
8.2 Introduction
8.3 Methods of Representation
8.4 Elections and their Functions
8.5 Electoral Systems
8.5.1 Majoritarian Systems - First Past the Post
8.5.2 Proportional Representation
8.5.3 Mixed Representation
8.6 Theories of Voting
8.7 Women and the Electoral Process
8.8 Summary

 Understand the role and functions of elections in democratic societies
 Compare and contrast different electoral systems
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NOTES  Analyse majoritarian electoral systems and the formation of majority governments
 Investigate the role of women in the electoral process
8.2 INTRODUCTION
Elections are often thought to be at the heart of any political system. Some see them as
nothing short of democracy in practice. They are the means through which people
elect their rulers, control their governments, and replace incompetent leaders. Elections
are based on the foundational concept of representation - a concept with multiple
interpretations. Elections facilitate the process of choosing representatives by the people
to govern them. There are many ways in which elections are conducted known as
electoral systems. There is no consensus on which electoral system is the best as all of
them have their own advantages and weaknesses. The study of electoral systems
constitutes a pertinent part of comparative political analysis.
This lesson begins with discussing the theories of representation to understand
the competing interpretations of the concept. The lesson then examines the concept of
elections and their functions in political systems. The lesson then proceeds to compare
prevalent electoral systems: majoritarian systems or called First Past the Post (FPTP),
proportional representation systems, and mixed representation systems. The lesson
goes on to study the various theories of voting to understand the underlying determinants
of peoples’ voting behaviour. The lesson closes with a brief discussion on the issue of
women and electoral participation.
8.3 METHODS OF REPRESENTATION
The act of formally speaking on behalf of a bigger group of individuals is known as

representation. It is defined as a relationship through which an individual or group
stands for or acts on behalf of a larger body of people (Heywood 2013). As
representation creates an intermediary between the governed and the government, it is
essential to modern democracy. Representatives represent the people’s interests and
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express their opinions. As democratic ideals grew, representation began to refer to the NOTES
direct or indirect articulation of voters’ desires through intermediaries.
In the nineteenth and twentieth centuries, the debate centered largely on the
question of who should be represented? Thinkers argued over whether representation
should be restricted to those having the competence, education, and leisure to vote
and think seriously about politics (propertied men) or if representation should be
extended to all adult citizens. Limited representation gave rise to a plural voting system
in which people had different degrees of enfranchisement based on their social and
economic standing. The widespread acceptance of the principle of political equality in
the 20th century via universal adult franchise established the representation of all adult
citizens. Representation is more than voting and elections; politicians become
representatives not merely because they are elected to office. Representation involves
questions about how one person can be said to represent another, and what it is that
he or she represents. Is it the views of the represented, their best interests, the groups
from which they come, or what? (Heywood, 2013).
There are various theories of representation that throw light on the above
questions. The Trustee model of representation stems from Edmund Burke’s
understanding of a representative as one who acts on behalf of others using his or her
superior knowledge, education, and experience. The meaning of representation is to
serve one’s constituents by the exercise of ‘mature judgment’ and ‘enlightened
conscience’ (Heywood, 2013). Representation is a moral duty which requires the
more fortunate to act in the interest of those who are less so. Once elected, the
representatives should think and decide for themselves what is best for their constituents
because the mass of the voters or peoples are incapable of articulating their best
interests.
The Delegate model of representation sees the representative as a delegate - a
conduit conveying the views and interests of others. Here, the representative does not
have the capacity to act according to his own judgement or preferences. He or she
only behaves in exact accordance with the instructions emanating from their
constituencies. Those supporting the delegate model, such as Thomas Paine, usually
seek mechanisms to ensure that politicians are bound as closely as possible to the
views of the represented. These could be in the form of ‘frequent interchange’ between
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NOTES Additionally, radical democrats have advocated using mechanisms such as initiatives
and recall to keep the politicians under the direct control of the voters.
The Mandate model of representation sees elected representatives and political
parties as having secured the command or consent to govern from their voters. This
model assumes that by winning an election, a party gains a popular will or mandate
that authorizes it to affect policies or programmes in its election manifesto. This model
places the onus of representation on political parties and, therefore, necessitates party
unity and discipline.
The Microcosmic model of representation or descriptive representation is based
on the idea that the government should constitute a microcosm of the larger society by
including members drawn from all groups and sections in society. The government
must have representatives from all social classes, gender, age and so on, and in numbers
proportional to the size of the groups in society at large (Heywood, 2013). The body
of elected representatives must resemble the whole society as much as possible; hence,
this model is also known as the resemblance model. The idea behind this model is that
only a person belonging to a particular class can best represent that class.
‘Division of labour’ representation approach underlines a division of labour
between representatives and the electorate. Representatives are elected to look after
the interest of the voters, redress their grievances, support appropriate legislation,
report on outcomes, and be accountable for their actions. Representatives on the
other hand expect their voters to continue supporting their work through votes and
other means.
8.4 ELECTIONS AND THEIR FUNCTIONS
Election is the action of choosing for an office or position usually by vote. Haroop and
Miller define elections as a ‘formal expression of preferences by the governed which
are then aggregated and transformed into a collective decision about who will govern,
who should stay in office, who should replace those who have been thrown out’ (Bara,
2012). The reason intrinsic connection between the representative process and elections
and voting. Elections are a necessary condition for political representation in modern
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140 Material

1942), democracy is an institutional arrangement to fill public office by a competitive NOTES

struggle for the people’s vote: it is a means for people to accept or refuse those who
are to rule them.
There are different forms in which elections can take place. These forms depend
on the offices, which are subject to the elective principle, the width of the franchise, the
nature of voting, and whether the elections are competitive or not.
Elections serve a number of essential purposes in democracy. The primary
method that new leaders are recruited is through elections. Political parties select
candidates for public office based on their appeal, charisma, oratory prowess, and
likelihood of winning. Therefore, elections serve as venues for the recruitment of
politicians.
In states like the USA and France, where political executives are directly elected,
elections also form governments. In parliamentary systems of government, if one party
clearly wins a legislative majority, elections have an impact on the formation of the
government. Post-election deals make or break governments in proportional
representation systems.
Elections provide representation as the means through which public demands
are channeled to the government. However, elections have limited capacity of ensuring
that mandates are carried out other than the opportunity to not elect the incumbent in
the next election. Of course countries with the use of recall and initiatives are better
able to ensure that the mandate of the people is respected by the elected representatives.
Elections influence policy by deterring governments from pursuing radical and
deeply unpopular policies. Elections can be seen to directly influence policy when a
single issue dominates the election campaign. The extent of influence elections have on
policy however is limited. Other factors such as the state of the economy rather than
electoral considerations have more direct influence of policy.
Elections are also educational for the electorate as the campaigning process
provides abundance of information about parties, candidates, the current government’s
record and policies, the political system and so on. However, this largely depends on
the availability of free and impartial information. Candidates and parties usually seek
to persuade the electorate, rather than educate them, and they may have incentives to
provide incomplete and distorted information.
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NOTES Elections help foster legitimacy for governing party or parties and winning an
election amounts to having mobilized active consent of the masses. This is one of the
reasons why we observe even authoritarian regimes holding elections, albeit non-
competitive. Elections are used to justify a system of rule but those in power.
Elections can also be seen as the vehicle through which elites are strengthened.
They may be used as a mechanism to manipulate and control the masses by utilising
political discontent and opposition. Elections give citizens the impression that they are
exercising the power over the government.
8.5 ELECTORAL SYSTEMS
An electoral system is a set of rules that governs the conduct of elections. It also
includes the methods of converting votes into seats in a political system. These rules
vary in several ways: Voters may choose between candidates or between parties.
Voters may either select a single candidate, or rank candidates in order of their
preference. The electorate may or may not be grouped into electoral units or
constituencies. Constituencies may elect a single member or several members. The
threshold needed to elect a candidate varies from a plurality (maximum votes) to
‘absolute’ majority, or a quota of some kind (Heywood, 2012). Electoral systems are
divided into two broad types namely majoritarian representation or first-past-the-post
system and proportional representation systems. This is primarily based on how votes
are converted into seats.
8.5.1 Majoritarian or First Past the Post Systems
Pure majoritarian systems can be defined as those which require the victorious candidate
to hold at least 50 per cent +1 of the votes cast (Evans 2012). Pure majoritarian
systems might result in undemocratically limiting the number of competing candidates
to two. In majoritarian systems, larger parties typically win a higher proportion of
seats than the proportion of votes they gain in the election. This is particularly true of
the first past the post systems, wherein the victory of a candidate is determined by a
plurality of votes i.e., the largest number out of a collection of numbers, not necessarily
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142 Material an absolute majority. Majoritarian systems are thus usually criticised for their

representative functions. Invariably, majoritarian systems distort popular preferences NOTES

in that party representation is not proportional to electoral gains. The system is largely
unfair to small parties and parties with evenly distributed geographical support and
benefits disproportionately larger parties and those with geographically concentrated
support. There are several kinds of majoritarian electoral systems followed in different
countries as discussed below:
Single-member plurality (SMP) system or ‘first past the post’ are commonly
used in the UK (House of Commons), the USA, Canada and India. In these systems,
the country is divided into single-member constituencies, usually of equal size, and
voters select a single candidate. In order to win the seat, a candidate needs only to
achieve a plurality of votes or poll more votes than any other counterpart. This is
usually referred to as the ‘first past the post’ rule. The advantages of this system is that
the electorate has a clear choice of potential parties of government. It establishes a
direct link between representatives and constituents, ensuring responsibility and
accountability. Governments formed through this system can claim to have a clear
mandate from the electorate, albeit through plurality support. The disadvantages of
this system are plenty, too. The system wastes many votes. Those votes cast for losing
candidates and those cast for winning ones over the plurality mark are effectively
unaccounted for in determining the result of the election. It under-represents small
parties and ones with geographically evenly distributed support (the ‘third-party effect’)
thereby distorting electoral preferences. It offers only limited choice to voters because
of its duopolistic (two-major-parties) tendencies. Further, the system undermines the
legitimacy of government because governments often enjoy only minority support,
producing a system of plurality rule.
The second ballot system is another type of majoritarian electoral system. It is
used in France, Austria, Chile, and Russia. Similar to the single member plurality system,
the country is divided into single-candidate constituencies and voters vote for one
single candidate of choice. To win the seat on the first ballot, a candidate needs an
overall majority of the votes cast i.e., at least 50 +1 per cent. If no candidate gains a
first-ballot majority, a second ballot is held between the leading two candidates. This
system has several advantages. It broadens electoral choice in that voters can vote
with their hearts for their preferred candidate in the first ballot, and with their heads for
their second favourite candidate in the second. In this system, candidates have to
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NOTES majority support. This system engenders a strong and stable government. The
weaknesses of this system are that it still distorts preferences and is unfair to ‘third’
parties. Extra candidates tend to abandon their ideological principles to gain short-
term popularity, or as a result of deals with defeated candidates. Conducting a second
ballot is cumbersome and may strain the electorate’s patience and interest in politics.
Alternative vote (AV) or supplementary vote (SV) systems are yet another
type of pure Majoritarian system. These are used in Australia (House of Representatives
(AV)), and the UK (London mayor (SV)). As in the other majoritarian systems, here,
too, there are single-member constituencies. Votes are cast on the basis of preferential
voting. In AV system, voters rank the candidates in order of preference while in SV,
there is only a single ‘supplementary’ vote. To win, candidates must gain at least 50+1
per cent of all the votes cast. Votes are counted according to the first preferences. If
no candidate reaches absolute majority, the candidate with the least vote is eliminated
and their votes are redistributed according to the second (or subsequent) preferences.
This continues until one candidate has a majority. In SV, all candidates drop out except
the top two. This system has the advantage of being less wasteful of votes. Here, the
outcome of the election cannot be influenced by post-election deals between candidates
as in the second-ballot system. Conversely, the system is still not much more
proportional than the SMP system, and so is still biased in favour of large parties.
Also, the winning candidates may enjoy little first-preference support, and have only
the virtue of being the least unpopular candidate available.
8.5.2 Proportional Representation Systems
Proportional representation systems are defined as those electoral systems which are
designed to ensure as far as possible that the number of legislative seats captured by a
party are in proportion to the votes they receive in an election (Evans 2012). In principle,
this system holds that parties should be represented in an assembly or parliament in
direct proportion to the overall electoral votes cast for them. The percentage of their
legislative seats equals their percentage of votes. For example, in a pure system of
proportional representation, a party that gains 45 per cent of the votes would win
exactly 45 per cent of the seats (Heywood 2013). The probability government
formation by a single party is generally less under proportional representation systems.
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144 Material

However, full proportionality is not always guaranteed under the system as there are NOTES
many hindrances which impede a simple vote-seat ratio despite the fact that it provides
a more proportionate allocation as compared to plurality or majoritarian systems.
There are several types of proportional representation systems as discussed below:
One of the prominent proportional systems is the Single-transferable-vote
(STV) system. This is followed in the Republic of Ireland and the UK (Northern
Ireland Assembly). Here, the country is divided into multi-member constituencies with
each usually returning between three to eight members. Political parties may field as
many candidates as there are seats to fill for each constituency. Electors vote
preferentially as done in the alternative vote system. To win a seat, candidates have to
achieve a quota, which is the minimum number of votes required to be elected. This is
determined by the Droop formula i.e., (the total number of votes cast divided by
number of seats to be filled + 1) +1. For example, if a constituency has 4 seats to be
filled and 1,00,000 votes are cast, the quota required to win a seat will be 1,00,000/
(4 + 1)+1 = 20,001. The votes are counted according to first preferences. If not all
the seats are filled, the bottom candidate is eliminated. His or her votes are redistributed
according to second preferences and so on, until all the seats have been filled (Heywood
2013).
The advantage of this system is that it can ensure highly proportional outcomes.
The system fosters intra party competition which means that they are evaluated based
on their records and their stands on bi-partisan issues. Constituents have the option of
choosing which representative to approach for their grievances. This system is criticised
for making it difficult to ensure a strong and stable government. It is also argued that
intra-party competition may be divisive and may have a negative impact on policy
making. This system also may allow members to evade their constituency responsibilities
because there is no direct link between the candidates and their voters given they are
from multi-member constituencies.
Another proportional system is known as the Party-List System which is
popularly used in Israel, many European countries including Belgium, Luxembourg
and Switzerland, and the European Parliament. In this system, either the entire country
is treated as a single constituency, or, a number of large multi-member Constituencies
in the case of regional party lists. Political Parties compile lists of candidates in the fray
in descending order of preference and place them before the electorate. In this system, Self-Instructional
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NOTES electors vote for parties, not for candidates. Parties win seats in direct proportion to
the votes they gain in the election. They fill the legislative seats from candidates on their
party list in descending order. In some cases, a ‘threshold’ may be imposed to exclude
small, extremist, parties from representation. Germany, for instance, requires a minimum
of 5 per cent vote threshold. (Heywood 2013).
This system has several advantages. It is fair to all parties, large or small, because
it is the only system that is potentially a pure proportional system. It fosters debate,
negotiation and consensus as a large number of smaller parties find representation in
this system. The system encourages a sense of belonging to the nation or the region
rather than just the constituency. Women and minority candidates have better chances
of being elected provided they feature on the party list. Conversely, it is argued that the
existence of many small parties can lead to weak and unstable governments. Further,
this system fosters no link between the representatives and their constituents rendering
accountability difficult to be fixed. Electors have no direct tool in removing corrupt or
unpopular candidates if they are well placed within the party. This system engenders
the heavy centralisation of parties as leaders hold power in drawing up party lists and
members are bound to maintain loyalty to rise up on the list.
8.5.3 Mixed-Member Proportional (MMP) System or

Additional Member System (AMS)
In addition to the above types, there are electoral systems which blend proportionality
and majoritarianism. The Mixed-member proportional system and the additional
member system are examples of the same. Such systems are used in countries such as
Germany, Italy, New Zealand and the UK (Scottish Parliament and Welsh Assembly).
In this system, a proportion of seats are filled by the Single Member Plurality system
using single-member constituencies. This proportion differs from country to country -
50 per cent in Germany, but more in Italy, Scotland and Wales. The remaining seats
are then filled using the party list system as discussed above. Electors cast two votes:
one for a candidate in the constituency election, and the other for a party as in the list
system. Seats are allocated to winning candidates of the constituencies and then by
candidates on party lists in proportion to their vote shares.
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This system presents a balance between the need for constituency representation NOTES
and electoral fairness through the party-list process. The system still retains the possibility
of a single-party government due to its hybrid nature. The system allows the flexibility
to electors to choose a constituency representative from one party and yet support
another party to form a government. There are some disadvantages of the system. The
practice of single-member constituencies as in SMP prevents the achievement of high
levels of proportionality. The system creates two classes of representative; one limited
to constituency duties and accompanying insecurities, the other enjoying higher status
and the prospect of holding ministerial office. Because the size of the constituencies
are much larger than in SMP systems, adequate representation tends to suffer. This
system also presents the problem of party centralisation given their power to decide
not only who has the security of being on the list and who has to fight constituencies,
but also where on the list candidates are placed (Heywood, 2013).
8.6 THEORIES OF VOTING
What factors shape voting behaviour in electorates? There are short-term and long-
term factors influencing voting behaviour. Short-term factors are specific to a particular
election such as the state of the economy, the personality and public standing of party
leaders, the style and effectiveness of the parties’ electoral campaigning, and the nature
of the media’s coverage. All these factors function within the larger more long-term
parameters set by psychological, sociological, economic and ideological influences on
voting. There are several theories of voting which help us understand them better.
Party-identification theory sees voting behaviour as a product of the
psychological attachment voters have with parties. Voters identify with a party, in that
they extend long-term support to regard the party as ‘their’ party. Voting is an exercise
of partisan alignment and, not a result of calculation influenced by factors such as
policies, personalities, campaigning and media coverage (Heywood, 217). Party
identification model stresses on early political socialization, holding the family as the
principal means through which political loyalties are forged which are then reinforced
by group membership and later social experiences. This model sees people’s political
culture and interests shaped by party identification. Self-Instructional
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NOTES The Sociological model holds that voting behaviour reflects the economic and
social position of the groups voters belong to. People vote on the basis of their class
and group interests rather than any psychological attachment to a political party. The
most significant social alignments that determine voting patterns are class, gender,
ethnicity, religion and region. These groupings reflect divisions and tensions within
society. Many analysts see the sociological model is best understood as an ‘interest
plus socialization’ approach to voting (Heywood, 218) because socialisation plays a
limited but significant role in forging party allegiances.
Rational-choice model offers an individualistic explanation to voting behaviour.
This theory sees voting as a rational exercise through which individuals vote for parties
or candidates in accordance with their personal self-interest. Partisan alignment or
class belonging does not influence voting behaviour. Voting is a means to an end; a
commentary on the performance of the party in power. Voters are active participants
and behave like consumers making choices amongst the available policy options
(Heywood 219). It must be pointed out that the rational-choice theories of voting are
criticised because they abstract the individual voter from their social and cultural contexts.
People’s ability to assess their self-interest comes from the broader socio-economic
class they belong to.
The dominant-ideology model underlines the extent to which individual choices
are shaped by a process of ideological manipulation and control (Heywood, 219).
This model argues voters as individuals or groups interpret their political position
depending on how issues have been presented to them - through education, by the
government and, above all, by the mass media. They hold the media capable of distorting
the flow of political communications, both by setting the agenda for debate and by
structuring preferences and sympathies. Consequently, if voters’ attitudes conform to
the tenets of a dominant ideology, parties will be unable to pursue policies that fall
outside that ideology. Thus, far from challenging the existing distribution of power and
resources in society, the electoral process tends to uphold it. The weakness of this
theory lies in the fact that by overstating the process of social conditioning, it takes
individual calculation and personal autonomy out of the picture altogether.
Just as we have seen the major theories which determine the patterns of voting
behaviour, research has also found several reasons why people decide not to vote at
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all. Most common reasons are modernisation, social change, and general dissatisfaction
148 Material

with political parties and governments. Those who see modernisation as a reason for NOTES
voters’ non-participation argue that as countries arrive at sophisticated levels of
economic development, post-industrialism, achieved widespread education and free
media, citizens tend to question the value of voting as they are aware of alternative
ways of influencing decision making. Social change in the form of liberal reforms in
religious or class structures have lessened the social demarcation or cleavages which
earlier determined political participation. The socio-political reasons which pushed
people to vote are being erased due to social change. Declining voters’ turnout is also
linked to people’s disillusionment with political parties and governments. People in
many countries see no value in their vote as they have no faith in any of the parties who
are seeking to represent them. Party dealignment is rife in many countries; people are
no longer attached to parties. People’s faith in governments as their representatives
are also seen to be on the decline which explains partly the non-participation among
voters.
8.7 WOMEN AND ELECTORAL PARTICIPATION
Women’s participation in the electoral process warrants attention in the study of electoral
systems in order to get a holistic picture of the subject. Many feminists contend that
women have been systematically excluded from the electoral processes historically.
Women’s suffrage which is universal today has been achieved as a result of vigorous
movements in the USA, United Kingdom, France and other western liberal countries.
It was only in 1894 in New Zealand when women were enfranchised for the first time.
This was followed closely by Australia. Norway and Finland granted the right to vote
to women in 1914 while the USA and United Kingdom granted franchise to women as
late as 1920 and 1928 respectively. The above timeline of women’s enfranchisement
shows how late and slow the progress of democratisation has been.
Women’s participation in elections and representation in legislatures is yet to be
guaranteed in many political systems, especially in the developing world. While
legislatures across the globe remain highly gendered, voting and participation of women
in politics is yet to be normalised in many countries. The mere presence of franchise
for women has certainly not equalized participation in elections and politics between Self-Instructional
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NOTES men and women. The truth remains that women are underrepresented in elections and
parliaments across the globe and even the little who participate are unable to reach the
top tiers of government machinery. Women’s participation in leadership roles within
political parties are also limited and shadowed by their male counterparts. While gender
parity in political participation seems to have been achieved in Scandinavian countries,
post-colonial societies are yet to close the gap by a big measure.
Financial independence and education are two factors that enhance political
participation of women. Researches show that these factors have helped increase
voter turnout among women on par with that of men in many democracies. Different
countries have adopted strategies to enhance women’s participation in the electoral
processes. More than hundred countries have adopted gender quotas in legislative
assemblies where seats are reserved for women candidates. These include Argentina,
Pakistan, and Rwanda among the developing world to name some. Despite these
efforts, women’s participation in elections and, by extension, in the political processes
still remains limited in many developing countries.
8.8 SUMMARY
Elections are central to democracies; even the most illiberal among them hold on to the
practice. Elections are methods of ensuring representation of which there are many
models as seen above. Electoral systems are also varied in methods and nature. The
major ones are the majoritarian systems, the proportional representation systems, and
the mixed representation systems. Countries choose to use any of the above systems
in accordance to their political philosophy and suitability. The above three systems
also have further variations within them. Electoral systems determine the nature and
extent of representation of the people in their governments. While one would argue
that proportional systems are more democratic and representative than the majoritarian
systems, it was seen that each system has its own set of advantages and disadvantages.
Voting behaviour of people have been theorised into several models. Major factors
that determine citizens’ voting behaviour range from party-identification and class
alignment to rational choice and dominant ideology. While universal voting rights today
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are taken for granted, the fight for the same has been a long and arduous one especially NOTES
when it comes to women’s suffrage movements.
1. What do you understand by Electoral System? Discuss merits and demerits of

first past the post system.
2. Compare merits and demerits of FPTP and proportional representation system.
3. What are the merits and demerits of proportional representation system?
4. Discuss various attributes of mixed electoral representative system.
 Heywood, (2002) ‘Representation, Electoral and Voting’, in Politics. New York:

Palgrave, pp. 223-245.
 Evans, (2009) ‘Elections Systems’, in J. Bara and M. Pennington, (eds.)
Comparative politics. New Delhi: Sage Publications, pp. 93-119.
 J Bara (2009) ‘Voters, Parties and Participation’ in J. Bara and M. Pennington,
(eds.) Comparative politics. New Delhi: Sage Publications, pp. 229-258.
 Pushpa Singh (2019) ‘Political Representation, Voting and Electoral Systems in
Comparative Perspective’ in P. Singh and C. Sharma (eds.) Comparative
Government and Politics, New Delhi: Sage Publications, pp. 239-257.
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UNIT VII: PARTY SYSTEM
LESSON 9 HISTORICAL CONTEXT OF EMERGENCE

OF POLITICAL PARTIES, TYPES OF
PARTIES AND PARTY SYSTEM
Historical Context of Emergence of Political Parties, ...
LESSON 9 NOTES
HISTORICAL CONTEXT OF EMERGENCE OF

POLITICAL PARTIES, TYPES OF PARTIES
AND PARTY SYSTEM
Neha Singh
Research Scholar, JNU
Structure
9.2 Introduction
9.3 Functions of the Political Party
9.4 Types of Political Parties
9.5 One Party System
9.6 Two Party System
9.6.1 Contrast of the Two-Party System with the Multiparty System and
One-Party System:
9.6.3 Disadvantages of the Two-Party System
9.7 Multi-Party System
9.7.1 Advantages of the Multi-Party System
9.8 Summary

 Analyse the functions of the political party Self-Instructional
Material 155

NOTES  Evaluate the advantages and disadvantages of One-party system

 Discuss the advantages and disadvantages of Two-Party System
 Examine the advantages and disadvantages of Multi-party system
9.2 INTRODUCTION
The political party in a system is primarily a group of people who come together to
contest elections so as to hold power through forming government via contesting
elections. This way the people intend to represent the common interests of the people
based on same ideology, issues, and others. The political parties mobilise the voters
too to support common interest, goals, ideology and issues. The parties fix the political
agenda and policies and persuade people by claiming how they are going to meet the
common interests of the people through their policies articulated by their political parties.
The political parties thus define representation of the people.9 The competition between
the political parties in the elections creates a pressure on them to perform better than
the other party. This way the political party in power and the opposition in competition
with each other also have checks and balance system. The concept of party system
was designed by European scholars. Thinkers such as James Bryce, Moisey
Ostrogorsky read how the party system expanded over the democracies in the world.
In broad sense, the political party represents the voice of the people communicated to
the government to make policies. Giovanni Sartori classified number of political parties.
These classifications are based on various components. Broadly, all the political parties
have three components:
 Leaders—Any political party cannot exist without a leader. Leader puts forward
the agenda of the party, ideology of the party system in front of the voters and
tries to connect with them. In several cases, thinkers such as Max Weber have
observed that good and charismatic personalities have led to the formation or
rise of the party system. Narendra Modi of BJP in India is the recent example to
highlight how the charismatic leadership can change the course of the party
system in the state.
 Active Members—The active members of the political party aid in the
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156 Material articulation and stimulation of party’s ideology amongst the common masses.

Many times, it is also observed that these active members irrespective of their NOTES
personal developments prefer to work for the development of the party system.
Communist Party of China, for example has active members who continuously
work hard to keep the ideology of the party active and relevant in the country.
 Followers—The followers of the party system are the biggest supporters of
the party system. They believe in the ideology of the party system and expect its
reflections in the implementation of policies and agendas of the parties.
Without these three components the existence of any political parties is difficult.
These components aid the political parties in carrying out the activities.
9.3 FUNCTIONS OF THE POLITICAL PARTY
 The prime function of the political party is to contest elections by placing the
candidates.
 In USA, the candidates of the political party are selected by the members and
supporters of the party.
 On the other hand, in countries like India, the party leaders choose the candidates.
 Every political party has different policies and programmes. The voters are
given choice to opt in accordance the policies and programmes.
 In a democratic set up, the group of people with the similar ideological beliefs
form a political party. These political parties form a direction to the policies to
be adopted by them when forming the government.
 The political parties that fail to form the government form the opposition who
maintain the checks and balance system on the ruling party and try to make the
public aware about the pros and cons of the policies.
 The political parties form/shape the opinion of the public. This way it even aids
in creating the pressure groups that enforces the government to make the policies
for the advantage of the larger people.
 Since the political parties work for the welfare schemes, the local political parties
serve as a bridge between the citizen and government officer. Self-Instructional
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NOTES
9.4 TYPES OF POLITICAL PARTIES
There are three main types of party systems. In this lesson, we will be discussing these
types of party systems in detail. Such classification or typology of political parties is
not just merely based upon the number of political parties within a particular state but
also highlights a distinctive feature of the three systems. The two-party system and the
multiparty system represent the organised political conflict in a pluralistic society. It
also highlights the democratic apparatus. On the other hand, the single party system
operates in a system where the political conflict is not welcomed. They do not present
the ideology of opposition. The lesson shall now discuss one-party system in detail.
9.5 ONE PARTY SYSTEM
The one-party system is also popularly known as single party system. Under this
system, the single political party that forms the government is usually based upon the
constitution of the state.10 The other parties which come into existence in the system
are either permitted limited participation in electoral processes or the termed as
outlawed. The de facto single party system also expresses the dominance of single
party. It nominally allows the other parties to exist. But very effectively, expresses itself
through various methods and techniques. It claims for the unity of nation as it provides
umbrella shield for the polity of the state. For example, in Soviet Union it is believed
that the multiple parties represent the class struggle. So, the Communist Party of the
Soviet Union represents the people. Similarly, the People’s Republic of China under
the United Front expresses how the opposition parties are allowed to exist as allied
parties with the dominant party. It becomes important to understand the circumstances
wherein the single party system or the one-party system exists:
 An ideology forms the basis of the single party system in a state. Marxism,
Leninism and international solidarity in countries such as Soviet Union is a good
example to show how it forms a circumstance to aid these parties to exist.
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 Extending on the above argument, the nationalist ideology also plays an important NOTES
role in the one-party dominance. The Nazi party in Germany and the fascist
ideology under Mussolini in Italy are vital examples to prove the argument.
 The wake of independence from the yoke of colonial rule also observed dominant
role in the call for liberation and independence.
The one-party system, however is considered to be authoritarian in nature to
such an extent that many times it converts itself into a totalitarian. But one has to keep
in mind that all authoritarian states may not operate under the one-party rule. Examples
of absolute monarchies and the military dictatorships make the existence of any political
party as illegal.
 One-party system is often appreciated for taking the quick decisions.

 Since the single party implements the policies unopposed it leads to stable political
growth.
 It does not allow the wastage of resources, money and time on political
campaigns. But, the one-party system has been criticised on many grounds.
 The one-party system lacks participation of people making it less integrative in

approach.
 People as voters have no choice at the election.
 Very often the minority section of the state is neglected. They remain excluded
from the mainstream welfare policies.
 Since the government is dictatorial in nature, it lacks responsiveness and
accountability to the citizens of the country.
The above disadvantages of the one-party system create a search for an
alternative approach.
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NOTES
9.6 TWO PARTY SYSTEM
Differing from the one-party system, the two-party system observes a shift in the
power from one hand to two dominant major parties. Out of the two parties, the party
that enjoys the majority support forms the governing party while the party with minority
support forms the opposition party. Across the world, the two-party system has been
identified differently. In countries like United States, Malta, Zimbabwe, the two party
defines an arrangement where the elected officials belong to either of the two majority
parties. There is little scope for the third party. The third party in the two-party system
set up rarely wins any seat in the legislature. Thinkers such as Maurice Duverger,
William H Riker, Jeffrey D Sachs establish a strong correlation between voting
arrangements and number of party in a system. As such in this set up, the winner takes
it all factor seems to work/influence the election rules. According to Duverger’s law11,
the two-party system is an organic product of the winner take all voting system.
However, in countries with parliamentary systems such as United Kingdom, Canada,
Australia, the term two party system indicates an arrangement where inspite of the
two-parties, the third party also gets an opportunity to win seats in the elections. Here,
the multitude of lesser or smaller parties influence the electoral system in varying degrees
and even the elect officials belonging to these parties. Many commonwealth countries
based on the Westminster system enjoy the parliamentary democracy. Here, the
majority party forms the government, minority party forms the opposition while the
third parties many times forms the coalitions. In rare circumstances, hung parliament
arises. Thus, there is not a sharp demarcation between a two-party system and a
multi-party system. To understand the difference, the next part of the lesson shall
highlight the difference between the one-party system, two party system and the
multiparty system.
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9.6.1 Contrast of the Two-Party System with the Multiparty System and NOTES
One-Party System
At first the two-party system shall be contrasted with the multiparty system.
Two-Party System with the Multiparty system
 The multiparty system comprises of the effective number of parties that is greater
than two and lesser than five while the two-party system comprises of the two
dominant parties.
 Under the multiparty system, the coalition can control the government while
under the two-party system the coalition government is rarely formed.
The Two-party system shall be now contrasted with the Multi-party system.
Two-Party System with the One-party system
 In the one-party system, only single party is legally recognised. The presence of
other alternate parties is restricted. The single party like that of the Communist
Party of China or Communist Party of Cuba wields power. While under the
two-party system there exists shifts between two dominant parties.
 Many thinkers suggest that the two-party system encourage centrism and find
common goals that appeal to the larger electorate.
 It is a simpler governing system with lesser fractions that focuses on political
stability.
 Unlike the hung parliament in the multi-party system, the two-party system is
more preferred. Also, it provides fewer voting choices it is easier to understand.
 The non-governing party forms a strong opposition that keeps a strict vigilance
on the governing party.
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NOTES 9.6.3 Disadvantages of the Two-Party System
 The two-party system is criticised for being less competitive and giving voters
fewer choice.
 The two-party system is often criticised to encourage partisanship instead of
inter party compromise.
 Ross Perot believe that the two-party system fails to voice the matters addressed
by the two-majority party.
9.7 MULTI-PARTY SYSTEM
The multi-party system forms the basis of politicisation of new issues. It aims at avoiding
of polarisation of issues like that of the two-party system. It also opens up for ideological
innovation for public agendas, inclusive political institutions etc. In the multi-party system,
multiple political parties exist in the political spectrum who compete with each other to
control the government. The multiparty system is often observed in the parliamentary
system over the presidential system. It is far common in countries that have proportional
representation over the first past the post elections. All the political parties under this
system have reasonable chance to form the government. The proportional system has
a range of representatives. Countries like India, Germany, New Zealand have the
multiparty system. It also opens a space to form coalitions while attaching legitimate
mandate.
Unlike the one-party system, the multi-party system encourages multiple, political
identities. “A two-party system requires voters to align themselves in large blocks,
sometimes so large that they cannot agree on any overarching principles. Some theories
argue that this allows centrists to gain control. On the other hand, if there are multiple
major parties, each with less than a majority of the vote, the parties are strongly motivated
to work together to form working governments. This also promotes centrism, as well
as promoting coalition-building skills while discouraging polarization.”12
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162 Material

9.7.1 Advantages of the Multi-Party System NOTES
The Multi-Party system has several benefits.

 It truly represents the various identities in a plural society by giving opportunity
to various ideologies to come up and form the government.
 It gives several options to the voters.
 It is inclusive in nature.
 The multi-party system is very transparent in nature as it is integrative in nature
and responsive to the needs of various spectre of the society.
 Unlike the One-party system and two-party system, the multi-party system
ensures healthy competition and leaves no space for the dictatorship. This way
the multi-party system is democratic in nature.
 The multi-party system is more responsive to bringing the shift in the public
opinion.
However, in spite of the advantages of the multi-party system, there are several
demerits of the system.
 Many times, the multi-party system leads to coalition government that is instable
for the longer run. Often the countries with the multiparty system observes a
hung parliament.
 It is often messy as the presence of multiple identities may lead to difficulty in
formation of the policies. The process of policy implementation may lead to
various deliberations and discussions within the party.
 It may lead to corruption as there are plural identities existing in the system with
various ideologies, as such there lacks transparency.
 The presence of linguistic or regional parties may lead to concentration of the
development of the particular region. As such the larger nation may get ignored.
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NOTES
9.8 SUMMARY
The party system represents the set of choices provided to the voters/electorates.
According to R Michael Alvarez and Jonathan Nagler13, the party system is mostly
defined by the policy design. Also, the historical development of the party system in
the state offers a strong base in defining the kind of party system in the state. However,
according to Rajni Kothari14, the recent occurrences like rise of the civil society
restricting the role of the political parties and giving the common voters more indulgences
in the political arena can call for change in the party system. Secondly, the old models
of the political parties like that based on the Westminster model of parliamentary
democracy is gradually diminishing by the rise of new alliances with rising ideologies
across the globe like that on saving the environment, anti-corruption etc. the new
parties forming are now focusing upon the developmental strategies and demand greater
accountability, responsiveness and people’s participation. These changing dynamics
are calling for the changes in the party systems.
Still one cannot deny the fact the party system represents the voice of the common
man. It is the duty of the political party to convert those needs/demands/voices into
policy. Under the two-party system, the governing party tries to integrate those demands
by implementing policies while one as an opposition party creates a pressure on the
governing party to integrate those demands in the policies. The multiparty system is
often applauded for its integrative nature. Thus, we see that different party systems
hold its own significance. Any change in the type of party system shall definitely represent
the change in demand/voice of the people which at large should be welcoming for the
political stability.
1. What are the main functions of Political Theory?

2. Discuss various types of party system.
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164 Material

3. Examine various difference between one, two and multiple party system. NOTES
4. Critically explain advantages and disadvantages of one party system.
 Boix Carles and Susan C. Stokes (2011), in Overview of comparative politics,

in Robert E. Goodin(ed.) Oxford Handbook of Political Science.
 Gandhi, Jennifer and Adam Przeworski. 2007. “Authoritarian Institutions
and the Survival of Autocrats.” Comparative Political Studies 40, no. 11
(November): 1279-1301.
 Gillin, L. J (1919), “Origins of Democracy”, American Journal of Sociology,
24(6):704- 714.
 Heywood, Andrew (1997), Politics, Macmillan, London.
 Hilmer, D, Jefferey (2011), ‘Modern Democratic Thought’, in Ishiyama, J. T.
and Breuning, M. (eds.) 21st Century Political Science: A Reference Book.
Los Angeles, Sage: 605-614.
 Juan J. Linz. 2000. Totalitarian and Authoritarian Regimes. Boulder: Lynne
Reiner, pp. 1-63.
 Siaroff, Alan. (2013). Comparing Political Regimes- A Thematic Introduction
to Comparative Politics. Toronto, University of Toronto.
Endnotes
9.
Muirhead, Russell & Nancy L.Rosenblum, ‘The Political Theory of Parties and
Partisanship: Catching up,’Annual Review of Political Science, Volume 23,
(2020), pp 95–110.
10.
Please see William Roberts Clark, Matt Golder & Sona Nadenichek Golder,
Principles of Comparative Politics, Sage publications, ((2012), US.
11.
Maurice Duverger, Political parties: their organization and activity in the modern
state. Internet Archive. Methuen, (1964), London, p. 217.
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Material 165

NOTES 12.
https://en.wikipedia.org/wiki/Multi party_system#:~:text=A%20multi%2Dparty
%20system%20is,offices%2C%20separately%20
or%20in%20coalition.&text=In%20these%20countries%2C%20usually
%20no,a%20parliamentary%20majority%20by%20itself. Accessed as on 26th
October, 2020.
13
R Michael Alvarez and Jonathan Nagler, ‘Party System Compactness:
Measurement and Consequences, Political Analysis,’ Winter 2004, Volume
12, Issue No 1, published by Cambridge University Press on behalf of the
Society for Political Methodology, p 47.
14
Rajni Kothari, ‘Elections without Party System,’ Economic and Political
Weekly, April 20-27, (1996), Volume 31, No. 16/17, p. 1004.
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20CUS01306
8 mm
CONCEPTS IN
COMPARATIVE
CONCEPTS IN COMPARATIVE POLITICAL ANALYSIS

POLITICAL ANALYSIS
B.A. (HONS.) POLITICAL SCIENCE
SEMESTER-IV
DISCIPLINE SPECIFIC CORE COURSE
(DSC-11)
FOR LIMITED CIRCULATION ONLY
DISCIPLINE SPECIFIC CORE COURSE (DSC-11)
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CONCEPTS IN COMPARATIVE POLITICAL ANALYSIS

DISCIPLINE SPECIFIC CORE COURSE (DSC-11)

For Limited Circulation Only

Ist edition: 2024

Department of Distance & Continuing Education, Campus of Open Learning,

External Review Committee

Corrections/Modifications/Suggestions proposed by Statutory Body,

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1.1 Learning Objectives

LESSON 2 SOCIALISM 23-39

2.1 Learning Objectives

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2.4 The Rise of Socialism

LESSON 3 COLONIALISM AND NEO-LIBERALISM 41-53

3.1 Learning Objectives

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UNIT II: DISCOURSES ON NATIONALISM

4.1 Learning Objectives

UNIT III: CONSTITUTIONALISM

5.1 Learning Objectives

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UNIT IV: FEDERALISM

6.1 Learning Objectives

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6.4 Major Forms of Government

UNIT V: STATE AND REGIME TYPES

7.1 Learning Objectives

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UNIT VI: ELECTORAL SYSTEM

8.1 Learning Objectives

UNIT VII: PARTY SYSTEM

9.1 Learning Objectives

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9.4 Types of Political Parties

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LESSON 3 COLONIALISM AND NEO-LIBERALISM

1.1 LEARNING OBJECTIVES

After reading this lesson, students should be able to:

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1.3 DEFINITIONS AND MEANINGS

Capitalism is seen as an ideology and as an economic system, depending on its usage.

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 Wage labour in place of bonded labour. NOTES

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Liberal Conception of Capitalism

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Capitalism – A product of Modernity

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From Feudalism to Capitalism: Decline and Transition

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1.5 EXPANSION OF CAPITALISM

Pre-competitive or Mercantile Phase of Expansion (1500—1800)

Colonial Expansion (1800-1950)

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Neo-colonization or Late Monopoly Capitalism (1950-1970)

Globalisation and Neo-Imperialism (1970 onwards)

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Globalisation is the complex web of multi-dimensional interconnectedness that has

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