GGG

# 2002 University of South Africa
All rights reserved
Printed and published by the

University of South Africa
Muckleneuk, Pretoria
PLC102-S/1/2003±2006
97251372
3B2
PCS STYLE
CONTENTS
PREFACE: GETTING STARTED v

GENERAL INTRODUCTION xv
THEME 1
AUTHORITIES IN THE MODERN STATE 1
STUDY UNIT 1: Authorities: power and
authority in the state 2
THEME 2
THE MODERN STATE: GEOGRAPHY AND POPULATION 25
STUDY UNIT 2: The state: territory 26
STUDY UNIT 3: The state: population 33
THEME 3
THE MODERN STATE AND SOVEREIGNTY 59
STUDY UNIT 4: The state and sovereignty 60
THEME 4
THE MODERN STATE: CONSTITUTIONS AND
CONSTITUTIONALISM 87
STUDY UNIT 5: The state and
constitutionalism 89
STUDY UNIT 6: The state and
constitutions 110
PLC102-S/1/2003^2006 iii
THEME 5
HEADS OF STATE AND HEADS OF GOVERNMENT 139
STUDY UNIT 7: Types of heads of state
and heads of government 140
THEME 6
THE BRANCHES AND LEVELS (TIERS) OF AUTHORITY 157
STUDY UNIT 8: The branches of authority:
the legislative authority 159
STUDY UNIT 9: The branches of
government: the 189
executive
the judicial authority
(judiciary) 200
the separation of powers 207
STUDY UNIT 12: Levels (tiers) of
authority: unions and
federations 213
STUDY UNIT 13: The regional and local
tiers of government 224
THEME 7
GOVERNMENT INSTITUTIONS: THE BUREAUCRACY 242
STUDY UNIT 14: The state and the bureau- 243
cracy
THEME 8
POLITICAL DYNAMICS 254
STUDY UNIT 15: Political dynamics: actors
and processes 255
IN CONCLUSION 267
Addendum A: Mock examination 284
iv
PREFACE:
GETTING STARTED
Welcome to Unisa and to the Department of Political Sciences in
particular. We trust that you will find the contents of this module
interesting and enriching. Because we come into contact with
politics almost every day of our lives, we hope that this module will
help to equip you with the necessary knowledge and skills to put
the theory into practice.
Since a student's first introduction to a new course is sometimes

difficult, at this point we shall provide a few hints on the approach
that we shall be adopting in this course.
POLITICS AS A SUBJECT
The focus of this module is on the structures and functions of the

state, but the state is studied as a particular manifestation of the
political organisation of humans. Therefore, the state is studied
from the perspectives of a political scientist. It is important to
remember that when we study politics we study a particular aspect
of the life of humans, where decisions, within a social context, are
made for and enforced on a whole society. This necessarily includes a
number of fields of study within the discipline of politics. Some of
the fields within politics are: institutions, political dynamics
(including political behaviour and public policy), political values
and philosophy, political change and epistemology (the acquisition
of knowledge).
As you progress in the course (especially if you are taking it as a

major subject), you will be introduced to the various fields and to
most of the key elements relevant to a study of politics. You will
also realise that the study of politics overlaps to some extent with
most other fields of study, even the natural sciences Ð consider, for
PLC102-S/1 v
example, green politics in terms of which people are concerned
about the effects of pollution.
STRUCTURE OF THE MODULE
The study material and tuition in this module comprise the

following:
this study guide, which forms the nucleus of the module

prescribed and recommended books, which supplement the
study guide. The aim of these books is to teach students to
handle academic books and to assess them critically. Thus,
tasks on the prescribed and recommended books will be
given in this study guide. The titles of the relevant prescribed
and other books will be provided in a tutorial letter
tutorial letters, which contain general information on the
University, the module, prescribed books, assessment and
examination. Please ensure that you read all tutorial letters
and keep all of them until you have completed the module
activities, which are found in the various study units. These
are very important and you should set aside enough time for
them. These activities afford you the opportunity of
developing and/or refining your academic skills. They also
test your understanding of the course contents, which, in
turn, will prepare you for the examination
brochures, such as Unisa: services and procedures, which you
should study carefully in order to acquaint you with library
procedures, for example
You are also advised to make use of a few good dictionaries.
POLITICAL MAPS
The study guide repeatedly mentions geographical areas and states

in particular. However, the number of states has drastically
increased in the last few years, and not all atlases contain all the
new states. Thus, for your convenience, the study guide contains
a political map indicates
different political political maps of the world indicating regions and states. Use them
boundaries to orientate yourself towards the world of politics.
vi
KEY TERMS AND CONCEPTS
concept A concept is a an idea which refers to a particular phenomenon and
what it entails Ð think, for example, of the concepts of husband,
term wife, love and hate. A term is a word or phrase (set of words) used to
definition identify a particular concept. A definition is a sentence explaining
what a certain concept entails, or how a specific term is used. You
will be introduced to specific concepts, terms and their definition in
any subject Ð hence the importance of understanding what a
specific concept entails and how a specific term is used.
In this module you will be introduced to certain concepts and terms

for the first time. Make sure you master them. To make it easier for
you a list is provided at the beginning of each theme. To enable you
to easily look up these concepts and terms in the study guide, make
yourself a list at the back of the study guide where you can write
down their definitions and the page numbers where you
encountered them.
DISCUSSIONS
In this course you are encouraged to develop your own views on
politics but at the same time to be aware of others' views. We
therefore recommend that you discuss the contents of the module
with friends and family members and, if possible, with other
students. It is also important to read different newspapers Ð these
you can swop with others. If you have access to the internet, make
use of it for there is indeed a wealth of information available on it.
HYPOTHETICAL EXAMPLES
To explain certain facts to you, we often used hypothetical examples
(ie imaginary examples). Although these examples are often linked
to certain offices, such as that of a particular minister, bear in mind
that the example is only imaginary and that we are not stating that
a certain person acts or has acted in this way.
We trust that you will find the module interesting and that you will
consider taking other modules offered by the Department.
We wish you every success in Politics at Unisa.
The presenters of the module
PLC102-S/1 vii
viii
PLC102-S/1 ix
x
PLC102-S/1 xi
xii
PLC102-S/1 xiii
xiv
Western Cape
Northern Cape
Eastern Cape
Free State
North West Limpopo
Limpopo (Northern Province) (Northern Province)
Mpumalanga
KwaZulu-Natal
Gauteng
Mpumalanga
Gauteng
North West
Free State
KwaZulu-Natal
Northern Cape
Eastern Cape
Western Cape
GENERAL
INTRODUCTION
an institution is a well- In the preface it was indicated that the focus of this module is the
established set of roles state, its institutions, how they are structured, as well as their
and interactions of the purpose and functions. The state is currently the most important
members of that
institution Ð eg
political entity of humankind. We are all within reach of the power
parliament sphere of some or other state. It is simply not possible to escape the
state and there are rules of states that affect each one of us from the
cradle to the grave. The state also has a monopoly on coercive force
in the sense that only the state may legitimately make use of
violence. Imagine what would happen to you if you were to
respond to an injustice committed against you in the same way that
states do Ð for example, using bombs as a form of retaliation. You
may not kill yet the state has licence to kill under certain
circumstances.
Unfortunately the concept of state is one of the most difficult

concepts that political scientists have to deal with. This is especially
true of the handling of the concept in the English literature on the
subject. It is therefore important that any analysis of the state
should pay attention to the problems with definition, the reasons
therefor and related concepts. Also important to any analysis of the
state is the complex nature thereof and the various interpretations
of the purpose and functions of the state. It is these aspects that we
will briefly consider in the introductory notes on the state.
Do not be concerned if there are things that you do not understand

in this introduction. Most of what is being said will only become
clearer to you as you go through the rest of the study units. Should
you still be unsure about some of these ideas towards the end of
your study of this guide, please contact us. This introduction,
therefore, merely tries to provide you with a context in which we
can understand the state.
PLC102-S/1 xv
THE CONCEPT OF STATE
There are several reasons for the problematic nature of this concept.
One reason is the lack of attention that British and American

political scientists have often paid to the state as a political entity.
Mainland European political scientists such as those in Germany
were, for example, more concerned with the state than their British
and American counterparts. The state as an entity often played
second fiddle to other fields of politics such as political behaviour
and elections. An important consequence of this neglect is the
confusion resulting from the inconsistent and interchangeable use
of terms (names of concepts) associated with the state. Terms like
state, nation, society, government, administration and authority are
often used inconsistently and even interchangeably.
Another reason for the confusion often experienced when dealing

with the concept of the state, is the fact that the state is an invisible
and abstract entity, yet it has the capacity to affect our daily lives
both in a negative and a positive way.
The state is not like a tree, a car or a building that we can see. We
cannot see it, yet we experience it. It is an abstract concept that
becomes visible to us in the actions of those that act on behalf of the
state and may therefore be called agents of the state. It is like wind
that becomes visible only through its actions, for example in the
rustling of leaves. Therefore it is easy to confuse the state with those
that act as its agents (such as presidents, ministers and officials). In
this sense it is an even more difficult concept than many other
abstract concepts such as love and hate. When we refer to the actions
of the agents, we are often inclined to personify the state by
claiming that the ``state did/or did not do this or that'', or that ``the
state must/or must not do this or that''. The state by itself cannot do
anything; only through its agents can the state become an extremely
powerful entity. Yet the state is far more than the sum total of its
agents. Unfortunately scholars often limit their understanding of
the concept of state to these agents. Therefore the concepts of state,
authorities and government are often confused with one another.
What then are the key elements of a state? A state requires the
existence of (firstly) authorities (usually referred to as the govern-
ment) which exercise power and/or authority over (secondly) a
permanent population within (thirdly) a specific geographic area or
territory and (fourthly) the authorities should be sovereign Ð
meaning that they are the highest or final authority. The authorities
xvi
should also preferably be recognised as such by other states
forming the international community of states. Therefore, the
agents of the state usually only include the first characteristic of
the state. We will be paying attention to all of these characteristics
of the state in the following study units.
It is important to remember that the state is far more than the sum
total of either its agents or of the above characteristics. The state is
also the embodiment of a set of values (deeply held principles that
guide our thinking and actions) that not only determine the
structures and the functioning of the state, but also shape the lives
of the population and their expectations within the context of the
state. In the United States with its emphasis on individual freedom,
liberty is probably the most important value. On the other hand, in
the former Soviet Union (USSR), equality was probably the most
important value. In states governed by a religious political order for
example, values are derived from the prescriptions of that
particular religion.
In this module, the complex entity that complies with the four
above criteria and embodies a particular set of values is called a
state. As you progress through the study units you will probably get
a clearer picture of what we are trying to convey to you. In the first
study unit we will discuss power and authority; in the second,
geography; in the third, population; and in the fourth, sovereignty.
The study units dealing with constitutions and constitutionalism
provide an indication of the set of values embodied in a state. The
rest of the study units mostly focus on the structures and functions
of the state and the relevant agents of the state.
THE STATE AND OTHER RELATED CONCEPTS
There are several other concepts that are of importance whenever

we deal with the state as a political entity. Some of the more
important concepts are:
society
community
nation
fatherland
authorities
government
administration
PLC102-S/1 xvii
Society
The term society is also often used rather vaguely. However, in the
context of politics it refers to humans within a particular group
context. A society is an abstract group of people that is constituted
by a particular loosely knit network of interpersonal relations,
division of roles, shared interests and values, as well as some form
of discipline within this network. As such, the state is one
manifestation of society and the state as a society may also be
composed of various sub-societies. However, society refers more to
the human component of a state The set of relations that exists
between society and state is therefore complex. Scholars often differ
in their understanding of the nature of this relationship. For this
reason the terms state and society should not be used interchange-
ably.
Community
The term community is another vague term in the sense that it is

often used interchangeably with the term society. However, the
concept community for our purposes is a relatively closely knit
group of people that in practice share a common interest, usually
within a particular geographic area.
Nation
Like the concepts of society and community, the concept nation also
has to do with humans within a group context. A nation is a group
that results from the psychological identification of various
members of that group with one another and who then consciously
strive for some form of political self-determination. The population
of a state may Ð but do not necessarily Ð constitute a nation in
this sense. There are many states whose populations are not nations
and likewise there are many nations without states. If the nation
and the state coincide, it is referred to as a nation-state. It is
therefore incorrect to use the terms state and nation interchangeably,
as is often the case in journalism.
xviii
Fatherland
The term fatherland refers to that geographic area or patria which a

person regards as his homeland. Patriotism therefore refers to the
psychological identification with the fatherland. The population of
a state may share a common patriotism without sharing a common
nationalism.
Authorities
The term authorities refers to an abstract collection of agents and

institutions in which power and authority are located within a state.
This may refer to the sum total of all such agents and institutions
within the state or to those on a particular level only, such as a local
authority.
Government
The terms state, authorities and government are often used inter-
changeably within the English language. However, in most main-
land European languages a clear distinction is made between these
concepts. The term government is therefore used to refer to those
who are in practice responsible for the day-to-day handling of the
affairs of the state and this is usually the executive in the narrow
sense of the term Ð for example the cabinet in South Africa.
Administration
The term administration refers to those institutions and officials who

are responsible for the execution of the policies adopted within that
state.
THEORIES OF THE STATE
The state, as a political entity that claims a monopoly on coercive

force, is seldom neutral and its relations with its population and
other states have often resulted in very painful experiences for
humans in general. For this reason the state has become the focus of
both normative (ethical) and empirical (factual) theoretical studies.
To a large extent these studies are driven by the search for the magic
formula that would make the exercise of political power imperso-
PLC102-S/1 xix
nal. Numerous theories have been developed that address the
relationship between those that rule and those that are ruled within
the context of the state. Some of these deal with the individualistic
nature (the state is a collection of individuals) versus the collective
nature (human beings only exist within a group context) of the
state. Other theories focus on the divine purpose of the state. Apart
from all these theories, there are others that have played an
important role in the contemporary political history of people
within a state context. Andrew Vincent, in his book Theories of the
state, highlights the following theories in this regard:
Absolutist theory of the state

Constitutional theory of the state
Ethical theory of the state
Class theory of the state
Pluralist theory of the state
These theories have a Western origin but are important because

they were exported through colonialism to all the corners of the
world where they interacted with local theories (for example
Chinese and Muslim) about power and politics, and in doing so,
have laid some of the foundations for the global interaction of
states. Some of these theories share similarities with non-Western
schools of political thought. Chinese, Buddhist and Muslim thought
all pay attention to the nature of human political organisation.
Absolutist theory of the state
Absolutist theory was to a large extent influenced by ideas on

sovereignty (the idea that the highest and final authority lies in the
state) and by religious principles. Absolutist theorists advocated
centralised and territorially unified political power in the sense that
power should be concentrated in the hands of a monarch who is the
final authority (sovereign) and who does not require the consent of
any other person. However, it should not be confused with tyranny
nor with despotism. To a large extent the latter two are
characterised by arbitrary rule which is not necessarily the case
with absolutism. The emphasis is on the centralisation of political
power to obtain order and hierarchy. Vincent (1994:47) puts it as
follows:
As the monistic God ruled the universe, so the earthly States
xx
were to be ruled by single fatherly rulers. The king was the
head of the body and the shepherd of the flock. In the same
manner as God does not ask advice or seek the consent of
``lower'' order creation, so genuine monarchs should not seek
consent of their subjects.
There were several factors that gave rise to the theory of absolutism.
It was a reaction to the feudal systems that operated in Western
Europe as well as the practical need for a strong central ruler in the
face of war, disorder and civil strife. It rested on the idea that
somewhere in the state there must be a supreme and absolute
authority (Vincent 1994:52), the one who holds everything together.
The public power is the absolute sovereign. The sovereign's
interests are the state's interests and the absolute sovereign
embodies a divine right (see Vincent 1994:222). However, these
ideas were impractical and most of the work in the state was done
by advisers and administrators who often became the power
behind the throne. In this way, the power of the monarch
diminished.
Constitutional theory of the state
The theoretical roots of constitutional theory predate those of

absolutism, however, the latter provided the environment in which
the ideas of constitutionalism flourished. Constitutionalism will be
discussed in more detail in some of the study units, but it is
important to emphasise here that constitutionalism, as opposed to
absolutism, is about limitations on and diversification of political
power and authority Ð in effect the ``taming'' of political power.
The public power is embodied in a complex hierarchy of rules and
norms that both institutionalise power and regulate the relations
between political institutions and the citizens (see Vincent
1994:222). It is also in this sense that you should study the study
units that deal with constitutions and constitutionalism. Though
constitutionalism developed side by side with liberalism, popular
sovereignty, individual rights and universal suffrage, it should not
be confused with any of them; however, it is also true that most
constitutional states are indeed liberal democratic.
PLC102-S/1 xxi
Ethical theory of the state
In ethical theory the state has a higher and moral purpose. The state
developed out of the very nature of human beings and state-living
was therefore inevitable for humans within advanced societies
(Vincent 1994:118). It is not possible to separate the individual from
society; as Vincent (1994:140) states:
The individual's consciousness, despite what individualist

writers might argue, cannot be separated from the social
whole to which they belong ... In this sense the customs and
rules not only exist within the institutional structures but are
also self-consciously willed by individual citizens. The ethical
life is the operative mode of human conduct ... rules become
internalized [the individuals own rules].
The various individuals within the state therefore identify

themselves with common moral codes and the state represents
the highest stage of an individual's development. The public power
is the way in which maximal self-development and freedom of the
citizen body is obtained (see Vincent 1994:222).
Due to ethical theory's implied consensus on values and even

culture in the state, it is often regarded as the theoretical framework
for extreme nationalism. Ethical theory remains largely idealistic
and it is doubtful whether it can be realised in practice.
Class theory of the state
Class theory has its origins with Karl Marx and Friedrich Engels
(known for their work on communism). However, Marx was not in
favour of the state and wished to change political life into a stateless
condition. According to class theory, society is stratified into a
hierarchy of classes. A class is regarded as a group of individuals
that is conscious of their shared rewards, power and status as a
result of certain economic relations and usually within the context
of their position in the production process. Relations between
classes are as a consequence exploitive. Subsequently the state exists
to safeguard the interests of the ruling class and the state does not
represent any common good. The public power is the institutional
form of dominant class interests, which promote the accumulation
of capital and defend private property (see Vincent 1994:223). It is
only by changing this that the proletariat (the true universal class
xxii
that stands for the whole society and not only for the dominant
class) can arise. To a large extent class theory then provides a
critique of the state in particular and of individualism in general Ð
this is an important criticism levelled against class theory.
The pluralist theory of the state
The term pluralism is used in a number of senses usually to refer to

some or other form of diversity, whether in ideas or of cultures.
When the term is used to refer to a particular theory of the state,
political pluralism views social and political life in terms of groups
(diverse groups). According to pluralists, all individuals pay
allegiance to groups in the first instance. Groups defend their
rights, freedom and power against other groups and even the state.
The state is often regarded as a mere referee of the interactions
among groups. Power is therefore dispersed within society and not
concentrated in a single locus (place) such as a central authority.
Groups would communicate via negotiation, not delegation from

some higher authority. Central power, would not be ... a dominating
sovereign authority ... the government would be involved in a process
of bargaining and negotiation ... The pluralist wanted to bring
together maximal diffusion of power with some notion of centralized
control. (Vincent 1994:187)
To conclude
The concept of state is a complex political entity that has become the
dominant form of political organisation worldwide. However, the
term is also often inconsistently used and may overlap with a
number of other terms that are related to the state.
Through its agents the state has the potential to become an

extremely powerful entity that human beings do not always
experience positively. For this reason the state has become the
focus of a number of scholars who have developed theories (of
which the above are only a few) that either describe the nature of
the state and public power and/or try to set certain standards for
the conduct of political transactions in the state.
In the following study units we will provide descriptive analyses of

various features of the state. It is important to note that states differ
but that there are certain important commonalities that states share.
PLC102-S/1 xxiii
To a large extent the analyses are empirical (ie factual). For the
purposes of this module, we are not concerned with normative
(value laden) judgements which debate what the moral features of a
state should be.
SOURCES
Heywood, A. 1994. Political ideas and concepts: an introduction. New York: St
Martins.
Heywood, A. 1997. Politics. Houndmills, Basingstoke, Hampshire and London:
Macmillan.
Jackson R & Jackson, D. 1997. A comparative introduction to political science. Upper
Saddle River, NJ: Prentice Hall.
Vincent, A. 1994. Theories of the state. Oxford (UK): Blackwell.
xxiv
T H E M E 1
AUTHORITIES IN THE
MODERN STATE
OVERVIEW
In this study unit we are looking for an answer to the question ``What are the
characteristics of authorities in the modern state?'' To answer this question you will need
to explain
what power and authority entail
how power and authority are exercised in the state
Here is a list of the key terms and concepts for this theme. Make sure that you can clarify
each one. It would be useful to write down the page number whenever you encounter one
of these terms in the text.
KEY TERMS atomistic view of the state legitimacy

AND authoritarianism lump-of-power fallacy
CONCEPTS authorities manipulation
authority organic view of the state
definition persuasion
democracy physical force
force power
inducements totalitarianism
influence
PLC102-S/1 1
STUDY
UNIT 1
AUTHORITIES: POWER
AND AUTHORITY IN THE STATE
INTRODUCTION
As mentioned in the general introduction, one important aspect of the state is the presence
of authorities that exercise power and authority over a population within a particular
territory.
In this study unit we will try to answer the question ``What is the nature of political power
and authority as exercised by the authorities in a state?'' In order to answer this question
you need to answer the following focus questions first:
FOCUS Who are the authorities in a state?

QUESTIONS What is the nature of political power and authority?
What is the nature of the relationship between the authorities
and society?
1.1 WHO ARE THE AUTHORITIES IN A STATE?
You have already come across the concept of authorities in the

general introduction. There we mentioned that an authority consists
of the sum total of institutions and individuals who are responsible
for making authoritative decisions, implementing and adjudicating
them. In Afrikaans only one term is used for this concept, namely,
2
owerheid. However, in English, as mentioned in the general
introduction, we use various terms to describe this concept. The
most important of these are authorities, regime, government and state.
Of course, these words also relate to other concepts. When you
come across them in books you should always make quite sure that
you know what that particular writer meant by them and to do this
you need to look carefully at the context in which these terms are
used. In this study unit preference is given to the term authorities.
basic activities of The authorities perform the following three basic activities in a
authorities
politically organised society:
legislation Ð that is, making authoritative decisions

executing decisions
administering justice
Depending on the circumstances in a particular society it might

happen that the same individuals and institutions perform all three
of these activities. One of the ideas behind the modern state is in fact
that these activities should be separated from each other. As a result
branches of authorities we distinguish between the different branches of the authorities as
follows:
legislative authority
executive authority
judicial authority (judiciary)
note the difference You will learn more about these branches of the authorities in
between the concept of
authority and the
other study units. In this study unit it is important to realise that the
concept of authorities authorities must have the necessary capacity to perform these
activities. This implies that the authorities must have both the
necessary power and/or authority. We therefore define the concept
of authorities as the sum total of individuals and institutions that
have the necessary power and/or authority to make, execute and
adjudicate authoritative decisions for a whole society.
1.2 WHAT IS THE NATURE OF POLITICAL POWER AND

AUTHORITY?
Several concepts emerge when we try to clarify the concepts of

power and authority. These concepts are often interwoven and can
therefore easily be confused with each other. The following activity
familiarises you with this problem as it is discussed in the literature.
PLC102-S/1 3
ACTIVIT Y 1.1
Read this quotation and then carry out the instructions that appear
below.
A major difficulty with the analysis of authority and power is that
though they appear to describe different phenomena, and social
theorists have been at pains to stress that they indeed do so, they
can often be used interchangeably in ways that mask the differ-
ences. Normally people want to describe authority relationships
in terms of `legitimacy' and `rightfulness', and power relationships
in terms of the causal factors that enable one person, or group of
persons, to determine the actions of others. When social scien-
tists research ... power they are clearly not studying the kind of
power exercised by the Mafia. It is, perhaps, this permissive as-
pect of ordinary language which has led to the frequent identifica-
tion of power with authority so that they both appear as types of
causal influence, albeit operating rather differently, and seem to
be a threat to rationality and liberty. It is important, though, to
keep the conceptual distinction clearly to mind ö not only for
analytical rigour, but also in order to appreciate the differing ex-
planatory concepts in social science (Barry 1995:86).
(1) Study the following comments on this extract from Barry and
mark the right statements with a C and the wrong statements
with an B:
(a) The concepts of power and authority are concerned with
different phenomena, but it is not always easy to distin-
guish between them.
(b) The concept of authority is concerned with legitimacy and
lawfulness.
(c) Power relates to the ability to regulate the activities of
others.
(d) The confusion between the two concepts is the result of
careless use of ordinary language.
(e) The distinction between the two concepts is unimportant.
(2) According to Barry, are all forms of the exercise of power impor-
tant for this course? Give a reason for your answer.
(3) What, according to Barry, is usually the distinction between
power and authority?
The following questions relate to the practical implications of this dis-

tinction between power and authority.
(4) Write down three incidents where your actions were deter-
mined by others. Indicate each time who affected your actions
and how they did so.
(5) For each incident indicate whether you believe that those peo-
ple who affected your actions had the right to do so.
4
(6) Now indicate for each incident whether those individuals who
influenced your actions exercised power or authority over you.
similarities and The above quotation implies that there are both similarities and
differences between
power and authority
differences between the phenomena of power and authority but
that sometimes the terms are used interchangeably, particularly as a
result of arbitrary everyday use. The daily use of these terms makes
it difficult for academics to draw a distinction between them.
In order to understand the nature of power and authority in the

state it is important to take a look at the following concepts:
power
authority
legitimacy
POWER
For some academics, the concept of politics without power is just as

difficult to grasp as the idea of an ocean without water. Power and/
or authority are included in most definitions of the concept of
politics.
When we think of power we think of it as something that is
exercised by someone over someone else, usually in order to
characteristics of achieve a particular goal. The following two important character-
power istics of power are involved here:
Power concerns a particular type of relationship in which

those who possess power determine the actions of those who
have less or no power.
There is therefore a particular type of imbalance in this type
of relationship in that those who have power exercise it over
those who have less or no power.
There are different types of interpersonal relationships where

power in nonpolitical
situations
power is exercised. Think of the power of particular clubs and
churches to discipline and/or expel their members. Employers can
exercise power over their employees and gangs too can exercise
power over others. Obviously power is not a phenomenon that is
limited to politics. Although there are numerous similarities
between the exercise of power in non-political situations and in
PLC102-S/1 5
FIGURE 1.1
politics, here we focus on power that is exercised to ensure that the

political decisions that are taken for the society as a whole can be
enforced.
The imbalance that exists in the relationship implies that if A
exercises power over B, A determines B's actions in such a way that
B does things that he or she would not otherwise have done.
Therefore the concept can be defined as one person's ability to make
someone do something that he or she would not otherwise have
misconceptions about done. Unfortunately this could lead to misconceptions such as the
power following:
There is a misconception that power is something that either

we do possess or we do not possess. In other words, that
power occurs in a 0:1 relationship and therefore cannot be
shared.
It is sometimes claimed that the exercise of power is always
in A's interest and therefore at B's expense. You will find this
argument in Marxist theory, for example. According to this
theory the owners of the means of production promote their
own interests by using political power at the expense of the
interests of those who only have their labour (the workers). It
cannot be denied that political power is sometimes exercised
to certain people's advantage, but this should not be seen as
the rule. Sometimes our freedom is limited in order to make
6
other freedoms possible. Traffic regulations limit our
freedom, but they also create order on the road which
actually gives us liberty to use the roads.
The next activity deals with the misconception that power cannot be
shared.
ACTIVIT Y 1.2
Read the following quotation and then carry out the instructions that
appear below.
The Lump-of-Power Fallacy. Power is thought of often as if it were
a single, solid, unbreakable lump. The lump can be passed from
one actor to another, but cannot be shared. Either one has the
power or one has no power. Presumably this is the notion that
many people ... hold when they ask,``Who has the power around
here?''
In contrast to wealth, income, social status, and other matters of
value, many people do not conceive of power as a variable with a
number of possible values. To them it has only two values: 0 or 1.
Because wealth or income can take on many values ö 10 cents,
$5.00, $35,000, $3 million, and so on ö one can imagine differ-
ent ways in which it might be distributed among members of a
group.When power is thought of as a lump, however, it can be dis-
tributed in only one way: Some have all the power, and the rest
have none.
But in society and politics things rarely fall neatly into two and
only two piles ... . Although the difficulties of measuring power
are great, there is no reason why power, authority, control, or influ-
ence need to be conceived of in this fashion (Dahl 1984:20^21).
(1) What key idea does the author express? Mark the key idea
clearly in the quotation.
(2) What words does the writer use to describe the idea that power
is an indivisible whole?
(3) According to the author, why is power regarded as an indivisible
whole?
(4) Does the writer feel that there is justification for this view of
power?
(5) Do you think there is justification for such a view of power?
Think of the practice in South Africa.

(6) In 1996 the National Party resigned from the government of
PLC102-S/1 7
national unity (after two years). Do you see this as an indication
of their view of power? Give reasons for your answer.
In practice it is possible that power is concentrated in a particular

group and even in a particular person. A characteristic of the
modern and particularly the economically developed state is that
power is distributed among a number of centres. The President of
the USA has power but so too does the Congress (legislative
authority) and a variety of interest groups.
From the discussion thus far it is possible to make the wrong

assumption that the exercise of power concerns the exercise of brute
force. However, this is not the case. Power relations can take a
variety of forms where one person determines others' actions.
Usually these interactions are arranged in a spectrum that ranges
spectrum classification from influence to physical violence (spectrum classification). This
provides a continuum
spectrum of power relations can be represented as follows:
between two extremes:
in this case, influence on
the one end of the
spectrum and physical P O W E R R E L A T I O N S
force on the other
influence ... persuasion ... manipulation ... inducement ... force ... physical force ...
FIGURE 1.2
According to this classification, influence, persuasion, inducement,

manipulation, force and physical violence are manifestations of
different relations of power in which A manages to get B to do
something that he or she would not otherwise have done (See Dahl
1984).
Influence. This can be regarded as a power relationship that is

characterised by the absence of any sanction (either reward
or punishment). People therefore have influence if they can
determine someone's actions without using sanctions. In
business terms this is usually known as ``'networking'' Ð
that is cultivating contacts who can remove obstacles when
necessary.
Persuasion. Here B's actions are determined by A revealing
the ``true facts''. B therefore concludes that a particular action
is in his or her best interest. For example, the minister of
health could emphasise the dangers associated with an
unhealthy life style and in this way influence people's
actions.
8
Manipulation. This refers to the use of facts that A
deliberately distorts and exploits to get B to act in a
particular way. During the apartheid era the authorities
used the idea of a ``total onslaught'' to convince the
electorate to support their policy.
Inducements. This refers to the use of reward and/or
punishment by A to determine B's behaviour. Punishment
usually implies the loss of something that could be
important. The possibility of obtaining amnesty on giving
evidence before the Truth and Reconciliation Commission
and the possibility of prosecution if one did not give
evidence is one such example.
Force. This refers to A's threat to use physical violence to
determine B's actions. If B does not act in a particular way he
or she is threatened with physical violence. Examples of this
are the threat of corporal punishment, assault, solitary
confinement and even murder, or the threat that someone
will be tortured if he or she does not provide certain
information.
Physical force. The use of physical violence could indicate that
other forms of exercising power were unsuccessful. Someone
is then tortured or even killed. In some societies there is a
custom of chopping off people's hands if they are found
guilty of theft. The long-term use of physical violence is often
counter-productive.
As mentioned, this list represents particular types of power

relations. However, some academics see influence and power as
opposites and do not regard influence as a form of power.
According to this view, influence is characterised by the absence
of any sanction (either negative or positive). Therefore they regard
influence, persuasion and manipulation as being different forms of
influence. According to these writers, power relations are char-
acterised by the use of sanctions. Therefore inducements, force and
the use of physical violence are forms of power relations. You
should therefore always note how a particular writer uses the terms
``power'' and `ìnfluence''.
PLC102-S/1 9
ACTIVIT Y 1.3
Study the sketches below and write down the type of power relation
that is depicted in each one.
Research shows that there is a

link bet ween smoking and a
number of diseases such as lung
cancer. It is therefore in every-
one's interest to support the gov-
ernment's p olicy reg ar ding
smoking in public.
Owing to the good relations that

exist between the government
and the trade unions, the govern-
ment will consider the labourers'
suggestions on labour policy.
The total onslaught that has been

launched against South Africa
makes it essential for every re-
gistered voter to support the gov-
ernment.
Compulsory minimum penalties

have been introduced for particu-
lar transgressions to serve as a
deterrent against crime.
10
Cabinet has left the use of vio-
lence in curbing crime to the dis-
cretion of the security forces.
All citizens who have not yet paid

tax will obtain amnesty if they
register as taxpayers before the
end of May.
This activity provides hypothetical examples of the different types of

power relations.
AUTHORITY
note again the Authority is closely related to power, although there are important
difference between
`àuthority'' and ``the
differences between the two concepts. Authority implies that an
authorities'' individual or institution has the right to make a binding decision for
a society, to execute it and adjudicate it. Therefore authority is often
regarded as legitimate power.
authority is legitimate Legitimate power. However, the exercise of power implies that the
power
authorities are assured of compliance without having to use force. If
the authorities repeatedly have to use force to achieve their
objectives, this implies that they do not have adequate authority.
Not all authorities necessarily have the same amount of authority.
acquisition of authority How does a government acquire authority? According to the work
of Max Weber (German philosopher who lived from 1864±1920 and
who was a pioneer of modern sociology) in this connection,
PLC102-S/1 11
authority can be acquired in the following ways (see Barry 1995:94±
95; Danziger 1994:132):
Law. It is generally believed that a state's laws are rational,

effective and applied according to the correct procedures by
the appropriate (legal) political decision makers.
Tradition. Owing to the influence of a long tradition in a
particular society, individuals accept the government.
Religion can play an important role in tradition.
Charisma. A dynamic leader who has exceptional personal
charm evokes trust and support.
Social contract. The idea that the government is established by
way of a social contract and that it therefore acts in the
interest of the community can be an important reason for
accepting that the authorities have the necessary authority.
Socialisation. The process of socialisation helps to involve
individuals in the traditions of the community, thus
influencing their acceptance of government authority.
It is obviously easy for the authorities to perform their functions if

they have authority. However, authority is not always enough.
Sometimes the authorities also need power.
ACTIVIT Y 1.4
Read the following statements, study the table and then answer the
questions:
Since 1980 South Africa's crime figures have increased enormously.
The following table gives some indication of the increase in violence
in South Africa:
Year Vehicle House Robbery Murder Rape

theft breaking
1980 35 000 125 000 43 000 7 000 15 000
1995 100 000 300 000 103 000 19 000 37 000
Source: Institute for Security Studies (1997).
The high incidence of crime makes people feel insecure and they insist
that the authorities do something about crime.
12
(1) According to the table, has there been an increase in crime in
South Africa?
(2) In your opinion, does the occurrence of crime detract from the
government's authority? Give reasons for your answer.
(3) Do you think that it is important to exercise more power to curb
crime in South Africa? Give reasons for your answer.
(4) Would the exercise of more power reduce the degree of author-
ity that the South African government possesses? Give rea-
sons for your answer.
It is not always enough for the authorities to possess authority (ie

the right) alone. If we see authority as legitimate power, this implies
that the authorities not only need to have the right but also need the
ability to enforce their decisions. The exercise of power therefore
does not reduce the degree of authority that the authorities can
have. However, if society does not obey or acknowledge the
decisions that the authorities take, this may well undermine the
degree of authority that the authorities have.
To sum up
Authority is based on the idea that the authorities have the right
and also the ability to make, execute and adjudicate decisions for a
society.
LEGITIMACY
Legitimacy relates to a society's acknowledgment and approval of

the authorities' right to take decisions for that society. Authority
therefore implies legitimacy. It is not only authority that can be
legitimate. Power can also be exercised legitimately under certain
circumstances. During the ``struggle'' in South African, both the
exercise of anti-establishment power and the exercise of power by
the apartheid government were accepted as legitimate by their
respective supporters.
Authority without legitimacy is impossible, but the authorities need

not be legitimate to enforce their decisions. In the long term,
authorities that have legitimacy are more successful than the
authorities that do not.
PLC102-S/1 13
problems with Problems with legitimacy can arise under the following conditions:
legitimacy
When society believes that those who exercise power do not
have the right to do so. This occurs, for example, in the case
of foreign dominance but also when particular groups within
a society dominate other groups. In South Africa, during the
apartheid era, the government experienced problems with
legitimacy.
When the authorities are in conflict with the values of a
particular society. This was one of the reasons for the
revolution in Iran during 1979. (For more detail on Iran read
Jackson & Jackson 1997:186.)
To sum up
It is impossible to have authority without legitimacy. Lack of
legitimacy can cause problems for the authorities in the long term.
1.3 WHAT IS THE NATURE OF THE RELATIONSHIP

BETWEEN THE AUTHORITIES AND SOCIETY?
Politics is inter alia concerned with a particular type of relationship

between the authorities and society. This relationship is also
sometimes referred to as the relation between
the authorities and its subjects

those who rule and those who are ruled
the state and the civil society
The nature of this relationship varies from one society to the next.
However, it is possible to point out a few general tendencies that
are important for this course.
In order to answer the question ``What is the nature of the relation

between the authorities and society?'' it is important that you can
briefly explain what is implied by the following:
authoritarianism
totalitarianism
democracy
the organic and atomistic view of the state
14
AUTHORITARIANISM
Authoritarianism relates to the authorities' exercise of power and/

or authority in such a way that society has to obey in spite of the
fact that it plays a minor role in political decision making.
Although authoritarian authorities often use force to enforce

compliance, this is not necessarily the case. Such authorities can
also have authority. This is usually the case in tradition-based
societies that view the pursuit and preservation of particular values
as important.
The following activity deals with the nature of authoritarianism as

discussed in the literature:
ACTIVIT Y 1.5
Read the following quotation and carry out the instructions below it.
Authoritarianism is a form of government in which the ruling
authority imposes its values and policies on society regardless of
the people's wishes. The authority may be one person, such as
Adolph Hitler in Nazi Germany (1933^1945), Joseph Stalin in the
Soviet Union (1922^1953) ... or authority may be a small ruling
clique, often called an oligarchy, such as the Soviet Union's Polit-
buro after Stalin's death or the military juntas that have ruled var-
ious ... nations at various times (Ranney 1996:105^106).
(1) Which two characteristics of authoritarianism does this writer
emphasise?
(2) According to this writer, who could be the authorities in author-
itarianism?
TOTALITARIANISM
Totalitarianism is a form of authoritarian exercise of power and/or

authority. In the case of totalitarianism the input from society is not
only minimal but there is also little room for individual decision
making. The authorities regulate almost every aspect of people's
existence, for example whom they may marry, where they may live
and what they may wear.
PLC102-S/1 15
Carl J Friedrich's and Zbigniew Brzezinski's conditions of totalitar-
ianism can be summarised as follows (see Jackson & Jackson
1997:85):
an official ideology (for example communism) covering all

aspects of human endeavour
a single mass party based on this ideology
a secret police for dominating the population
control of the means of mass communication
a monopoly of coercive mechanisms such as the military and
police
central control of the economy
Other forms of authoritarianism might allow considerable oppor-

tunity for individual decision making. During the Shah's rule, the
authorities in Iran acted in an authoritarian manner, but still
allowed some individual decision making. After the revolution in
Iran, they still acted in an authoritarian manner, but now they also
prescribed values and therefore allowed little individual decision
making (totalitarianism). Since the election of a moderate President
during the presidential election in 1997, there have been attempts to
move away from authoritarianism and totalitarianism
During the apartheid era the South African authorities took up a

totalitarian position toward people who were not white.
The following activity deals with the nature of totalitarianism as

discussed in the literature:
ACTIVIT Y 1.6
Read the following quotation and carry out the instruction that ap-
pears below.
The essence of a totalitarian regime is the government's effort to
control all aspects of all citizens' lives so that they will become the
kind of people the nation needs (hard workers, fierce fighters, fer-
tile and uncomplaining mothers and totally committed, fanatical
patriots). In a totalitarian system the very idea that any part of a
citizen's life is private and therefore not a proper concern of gov-
ernment is morally outrageous and politically subversive (Ranney
1996:77^78).
16
(1) Which two characteristics of totalitarianism does this writer
emphasise?
(2) Why are people's lives controlled in totalitarianism?
DEMOCRACY
The theory on democracy is comprehensive and complex. For this

study unit it is important to note two general characteristics of
democracy that distinguish it from authoritarianism and totalitar-
ianism. These characteristics are as follows:
Democracy provides for comprehensive input from society.

It is unlikely that a democratic government would take a
decision that society did not necessarily agree with.
Democracy provides for individual decision making on a
wide range of occasions. In other words, individual freedom
is a respected value.
liberal democracy A distinction is often made between a liberal democracy and a

social democracy social democracy. In a liberal democracy the emphasis is on the
individual and as few restrictions as possible are placed on the
individual. In the case of a social democracy, although the
individual is regarded as important, the individual's social
responsibility is also emphasised.
THE ATOMISTIC AND ORGANIC VIEW OF THE STATE
In the introduction it was mentioned that some theories of the state

emphasise the individualistic nature of the state, while others
emphasise its group nature. This has to do with the nature of the
relationship of the individual to the state. Two broad views may be
identified in this regard.
On the one hand there are those that are of opinion that the state is
merely a collection of individuals and that the individual exists
prior to society and the state and is therefore above the state. This is
sometimes referred to as the atomistic view of the state.
On the other hand there are those who view society and the state as
existing prior to and above the individual, since individuals do not
PLC102-S/1 17
exist on their own. Individuals can therefore only truly be human as
members of a society. Society and the state are therefore seen as a
particular organ in which all the parts make up the whole Ð organic
view.
To conclude
The nature of the relation between the authorities and the
community can take different forms, depending on the particular
views that dominate in a particular state. This relation is not
necessarily to everyone's benefit. Furthermore, what is acceptable to
a population of one state will not necessarily be acceptable in all
states.
SELF-EVALUATION 1.1
This self-evaluation exercise is based on the content of this study unit.
(1) Give at least two reasons why it is important to study power and
authority if we want to understand politics.
(2) Indicate who the authorities are in a particular state.
(3) Indicate the most important difference between the concepts of
power and authority.
(4) List and explain the different power relations and give your own
example of each one.
(5) On what basis could you distinguish between relations of power
and influence?
(6) List the ways in which a government could acquire authority.
(7) Give reasons why legitimacy could be of importance to authorities.
(8) Briefly discuss the different types of relationships that can exist
between the authorities and their subjects.
SELF-EVALUATION 1.2
This self-evaluation exercise is based on the book by Jackson and Jackson.
Read the following sections in the book and follow the instructions,
Jackson and Jackson (1997:8±14, 68±70, 75±94):
(1) In the authors' opinion, why are the concepts of power, authority
and legitimacy important in a study of politics?
(2) According to these writers, what is the difference between power,
authority and legitimacy?
18
(3) Does this description coincide with the description that appears in
this study unit?
(4) According to these writers, what are the problems involved in
legitimacy?
(5) According to these writers, in what ways can authorities acquire
authority?
(6) On page 77, what is indicated as the most important
characteristic of democracy?
(7) According to the pluralists, where is the seat of power in society?
(8) On page 81, what is indicated as the most important distinction
between democracy and authoritarianism?
(9) Write down five sentences in which you discuss the most
important characteristics of totalitarianism as discussed on
pages 84 to 85.
(10) According to these writers (pp 90±94) what is the difference
between the First, Second and Third Worlds?
SELF-EVALUATION 1.3
This self-evaluation exercise is based on the book by Hague and Harrop
(2001: 1±2; 10±15; 16±20; 31±35; 43±46). After reading the relevant
sections, answer the following questions:
(1) In the authors' opinion, why are the concepts of power, authority
and legitimacy important in a study of politics?
(2) According to these writers, what is the difference between power,
authority and legitimacy?
(3) Does this description coincide with the description in this study
unit?
(4) How can authority be validated according to these writers?
(5) Write five sentences in which you discuss the most important
distinction between democracy and authoritarianism.
TEST 1
QUESTION
Which one is not a basic activity of authorities in a politically organised

society?
1 legislation
2 co-optation
3 executing decisions
4 administering justice
PLC102-S/1 19
QUESTION 2
Indicate which statement on power and authority is the most correct

statement.
1 There are few similarities between the phenomena of power and
authority.
2 Power is a phenomenon that is associated with politics only.
3 Power should be regarded as a single, solid, unbreakable lump.
4 The exercise of power does not necessarily imply the use of force.
5 A government acquires authority by force.
QUESTION 3
Indicate which statement regarding the relationship between the

authorities and society is the most correct.
correct
1 In totalitarianism, the input from society is minimal but there is
room for individual decision making.
2 In authoritarianism, the input from society is minimal and there is
no room for individual decision making.
3 In a totalitarian regime, no part of a citizen's life is regarded as
being private.
4 Democracy provides for comprehensive input from society, but
makes only limited provision for individual decision making.
QUESTION 4
Indicate whether the following statement is true or false.

false.
According to Jackson and Jackson (1997), the ideologies of authoritarian
regimes may differ greatly.
1 True
2 False
QUESTION 5
How many components of totalitarianism did Carl J Friedrich and Zbigniew

Brzezinski identify? (See Jackson & Jackson, 1997, in this regard.)
1 Six
2 Ten
3 Five
4 Four
5 Eight
20
QUESTION 6
Indicate which one of the following statements on power and authority is

incorrect.
incorrect.
1 The terms power and authority are often used interchangeably by
academics and journalists.
2 There are definite similarities between the concepts of power and
authority.
3 To some academics, power is the defining characteristic of the
concept of politics.
4 Power is an indivisible whole.
5 Power as a phenomenon is not limited to politics.
QUESTION 7
Indicate which of the following statements on power relations is incorrect.

incorrect.
1 The exercise of influence is characterised by the absence of rewards
and punishment.
2 Persuasion relies on human reason.
3 The use of sanctions (rewards and punishment) is important in
inducement and coercion.
4 The use of physical force could be an indication that the exercise of
other forms of power has been unsuccessful.
5 Influence is generally regarded as a form of power.
QUESTION 8

false.
According to Jackson and Jackson, 1997, authority and legitimacy are
requirements for the exercising of power by democratic authorities.
1 True
2 False
COMMENTS
The correct answers appear below. Determine, however, under what
circumstances a particular option will be correct, or incorrect.
QUESTION 1
The appropriate option is no 2. Co-optation is not a basic activity of the

authorities in a politically organised society. The legislative, executive and
judicial function are all basic activities of the authorities. Authorities may
PLC102-S/1 21
from time to time, if circumstances demand, co-opt people for a
particular purpose.
QUESTION 2
The appropriate option is no 4. The exercise of power may sometimes be

characterised by the use of force, but not necessarily. Even though power
may be regarded by some academics as the opposite of authority, it may
still be characterised by the use of positive inducements. All the other
options are therefore more incorrect. For more detail, revise study unit 1.
QUESTION 3
The appropriate option is no. 3. Totalitarianism is characterised by the

fact that the authorities may intervene in nearly every aspect of a
person's life. Therefore, privacy of the individual is not a characteristic of
totalitarianism. Therefore there is also limited room for individual decision
making (option 1 is therefore incorrect). Provision for individual decision
making is, however, one of the characteristics of democracy (therefore
option 4 is incorrect). Authoritarianism is usually characterised by the
fact that inputs from society are limited Ð even though there may be
room for individual decision making (option 2 is therefore incorrect). Note
also what Jackson and Jackson (1997) have to say in this regard (p 81):
`` ... even though the economy, educational institutions, churches ... may be
free, they too are often subordinated to the authoritarian machine''.
QUESTION 4
This statement is correct. Please study page 81 of Jackson and Jackson

(1997). Authoritarian regimes may eg. follow religious fundamentalism,
nationalism and communism.
QUESTION 5
The appropriate option is no. 1. Jackson and Jackson summarises these

components on page 85:
an official ideology covering all aspects of human endeavor
a single mass party based on this ideology
a secret police for dominating the population
control of the means of mass communication
a monopoly of coercive mechanisms such as the military and police
central control of the economy
Study again the appropriate section in this study unit.
22
QUESTION 6
The appropriate option is no 4. Power is not an indivisible whole. Even

though power may be regarded by some academics as the opposite of
authority, these two terms are often used interchangeably. All the other
options are therefore more correct. For more detail, study again the
contents of this study unit.
QUESTION 7
The appropriate option is no 5. As explained not all academics regard

influence as a form of power. Study again the relevant sections in this
study unit.
QUESTION 8
This statement is correct. Study pages 10-14 of Jackson & Jackson, as

well as the contents of this study unit.
BIBLIOGRAPHY
Ball, AR. 1988. Modern politics and government. 4th edition. London: Macmillan.
Barry, NP. 1995. An introduction to modern political theory. 3rd edition. Hound-
mills: Macmillan.
Dahl, RA. 1984. Modern political analysis. 4th edition. Englewood Cliffs, NJ:
Prentice-Hall.
Danziger, JN. 1994. Understanding the political world: a comparative introduction to
political science. 2nd edition. New York: Longman.
Gamble, JK, Irwin, ZT, Redenius, CM & Weber, JW. 1992. Introduction to political
science. 2nd edition. Englewood Cliffs, NJ: Prentice Hall.
Guess, R. 2001. History and illusion in politics. Cambridge: Cambridge University
Press.
Hague, R & Harrop, M. 2001. Comparative government and politics: an introduction.
5th edition. Hampshire: Palgrave.
Martins.
Institute for Security Studies. 1997. Nedcor ISS crime index 1.
Jackson, R & Jackson, D. 1997. A comparative introduction to political science. Upper
Saddle River, NJ: Prentice Hall.
Lawson, K. 1994. The human polity: an introduction to political science. 3rd edition.
Boston: Houghton Mifflin.
Ponton, G & Gill, P. 1993. Introduction to politics. 3rd edition. Oxford, UK:
Blackwell.
PLC102-S/1 23
Ranney, A. 1996. Governing: an introduction to political science. 7th edition. Upper
Saddle River, NJ: Prentice-Hall.
Roskin, MG, Cord, RL, Madeiros, JA & Jones, DS. 1997. Political science: an
introduction. 6th edition. Upper Saddle River, NJ: Prentice-Hall.
Vincent, A. 1994. Theories of the state. Oxford, UK; Blackwell.
24
T H E M E 2
THE MODERN STATE: GEOGRAPHY

AND POPULATION
OVERVIEW
In this theme we are looking for an answer to the question: ``What is the importance of
geographical area and population for a state?''
To answer this question, it is necessary to do the following:
Explain how a state obtains jurisdiction over a particular territory.
Explain what the characteristics of a population may be and how this may affect
the authorities' exercise of power and/or authority.
KEY TERMS The following terms and concepts are important in this theme.
AND Make sure you understand them.
CONCEPTS accretion ethnocentrism nomads
aliens expatriates occupation
asylum seekers First World patriotism
cession guest workers prescription
citizenship ideology refugees
class illegals secession
conquest immigrants stateless
culture nation Third World
dual citizenship nationalism tourists
ethnic naturalisation
PLC102-S/1 25
STUDY
UNIT 2
THE STATE:
TERRITORY
INTRODUCTION
Territory was mentioned in the general introduction as an important facet of the state.
In this study unit we are seeking an answer to the question: ``How does it happen that
authorities obtain jurisdiction over a specific territory and population?'' To answer this
question, it is necessary to answer the following focus questions:
FOCUS In what way is the territory of a state acquired?

QUESTIONS What implications does the acquisition of territory have for the
authority?
2.1 HOW A STATE CAN ACQUIRE TERRITORY
Authorities always exercise power and authority over a society

within a particular geographical area. In this section we shall find
an answer to the following question: ``How is a territory of a state
acquired?'' To be able to answer this question, you need to know
about the different ways in which a state can acquire territory. In
this regard we can distinguish between
acceptable ways of land acquisition
26
unacceptable ways of land acquisition
ACCEPTABLE METHODS OF LAND ACQUISITION
The following are regarded as acceptable methods of acquiring

land:
Historical exercise of jurisdiction. In the establishment of states

as we know them today, it is accepted that specific
a boundary is the line authorities exercised power and/or authority historically or
demarcating the traditionally within a particular geographical region. These
territory of a state or
states regions did not always have definitive boundaries with the
result that borders became important, and sometimes even
a border is the area problematic. The determination of boundaries gave rise to
where two or more
states are joined. A certain issues between different states, and numerous
border is determined by boundary disputes are still in progress today. The Berlin
a boundary Conference from 1884 to 1885 resulted in the European
colonial powers defining the boundaries in Africa in their
own interests and not according to the desires of the
population. These geographical units later became indepen-
dent states. Moreover, certain groups were denied the right
to exercise power and/or authority over certain regions.
Appropriate examples here are the Kurds (Kurdistan is
divided mainly between Iran, Iraq and Turkey) and the
Basques (the Basque country is divided between France and
Spain).
Accretion. This is the extension or growth of existing territory
through natural processes such as alluviation.
Occupation. Nowadays, occupation is only regarded as
acceptable if it is the occupation of territory that belongs to
no-one. These days there are no more regions that can be
regarded as no man's land. Even Antarctica is controlled by
international agreements.
Prescription. This is usually regarded as the acquisition of
territory because power and/or authority were exercised
over a specific region without interruption for a long period
(without opposition).
Conquest. This refers to the taking of territory by means of
military force. Since the establishment of the United Nations,
this method of acquiring territory has been regarded as
unacceptable, except in cases of self-defence. Even in the
latter case, the absorption of such territory is not necessarily
PLC102-S/1 27
accepted. For example, Israel is under increasing pressure to
withdraw from the regions conquered during the Middle
East wars. This issue has resulted in an escalation of the
conflict during 2001.
Alaska is now a state of Cession. This involves the transfer of territory from one
the USA
authority to another by means of a treaty. For example, in
1867 the USA bought Alaska from Russia for a sum of $7,2
million. South Africa also ceded the area of Walvis Bay to
Namibia.
Voluntary incorporation. Voluntary incorporation involves the
absorption of a territory into that of another state. The
establishment of the United States of America is an example
here, as well as the establishment of the Union of South
Africa when the Cape Colony, Natal, the Orange Free State
and the Transvaal were united. It may happen that this
method of incorporation is misused by expansionistic states,
such as the former Soviet Union (USSR), in that territories are
actually occupied. This was an argument used against the
USSR when it incorporated the Baltic states, (Estonia, Latvia
Baltic states are
Estonia, Latvia and
and Lithuania) for example.
Lithuania
Secession. This involves the partition or breaking away of
territory to form a new state, or incorporation into another
existing state. The new states of Armenia, Georgia, Kazakh-
stan, Uzbekistan, Ukraine and Estonia which were separated
from the old USSR are examples of this. Secession may be
peaceful, but may also be accompanied by violence. In the
former Yugoslavia, for example, the secession of Croatia and
Bosnia-Herzogovina was for example accompanied by
violence. Slovakia, however seceded peacefully from Cze-
choslovakia.
UNACCEPTABLE METHODS OF LAND ACQUISITION

One of the characteristics of the modern state is other states' respect
for the borders of a particular state. Before the establishment of the
United Nations, territory was often acquired by means of the
exercise of power, especially military power. Nowadays, this kind
of violation of a state's borders is unacceptable. One state may
therefore no longer occupy the territory of another state.
28
2.2 WHAT IMPLICATIONS DOES THE ACQUISITION OF
TERRITORY HAVE FOR THE AUTHORITY?
Acquisition of territory has various implications for a state. The

following are important in this course:
the composition of the population

the nature of political questions
the nature of political organisation
THE COMPOSITION OF THE POPULATION
The preceding discussion of the acquisition of territory is primarily

concerned with defining the borders between states. However, the
acquisition of territory has contributed historically to the nature of
the state's population. Not only is territory captured and/or
absorbed, but people too. Thus most states today have populations
with diverse compositions Ð in other words, heterogeneous
populations. (You will learn more about this in the next study
unit.) Certain groupings in the population may also be of the
problems with opinion that the authorities are not legitimate for these reasons.
legitimacy
This is the case in Northern Ireland, where part of the population of
Northern Ireland refuses to accept the British government's
jurisdiction over them.
THE NATURE OF POLITICAL QUESTIONS
The nature of a state's territory and of the population settled there

may also give rise to a multitude of issues that require political
action on the part of the authority.
A lack of water and other resources may give rise to a specific

public policy is what an public policy. Look, for example, at the role that pollution of the
authority decides to do, natural environment plays in determining political policy. South
or not to do Africa's diverse plant and animal life, for example, also needs policy
to protect it. States with a coastline also require public policy on this
territory and the utilisation thereof. For example, South Africa
requires a policy on arms (weapons) to protect its territorial waters
and coastline against illegal fishing.
The composition of the population gives rise to a variety of political

questions. Note, for example, how the composition of the
PLC102-S/1 29
population in South Africa makes it necessary for a policy on
official languages.
THE NATURE OF POLITICAL ORGANISATION
States with an extended territory and large populations, usually

require other methods of political organisation compared to states
with only a small territory. You will learn more about this in the
study units dealing with the various political institutions at central,
provincial and local levels. States with an extended territory are
especially suited to federalism Ð but more about this later.
To conclude
Even though the concept of state is extremely abstract, it is clear that
there can be no state without a territory. However, there are no
prescriptions with regard to the size or the nature of the territory.
Territory is often disputed between states. Although territory
provides the physical character of a particular state, it may also
determine to a large extent the nature of the state as well as the
loyalties present in the state. It is probably difficult for Swiss people
to imagine a Switzerland without mountains (the Alps) and lakes.
Likewise, prosperity in some states of the Middle East is to a large
extent the product of rich oil deposits.
SELF-EVALUATION 2.1
This self-evaluation exercise is based on the contents of this study unit.
(1) Name and briefly describe the different ways in which a state may
acquire territory.
(2) If we look at the way in which a state may acquire territory, what
then would be the ways in which a state could lose territory?
(3) In what ways can territory be of political importance?
SELF-EVALUATION 2.2
This self-evaluation exercise is based on the prescribed book.
Read the following sections of the prescribed book and then complete the
tasks that follow: Jackson and Jackson (1997:12, 54±57).
30
(1) Indicate why territory is regarded as important (see p 56).
(2) What is Hong Kong and Taiwan's position in respect of China (p
12)?
TEST
QUESTION 1
Which one of the following ways of obtaining territory by a state is the

least acceptable?
acceptable?
1 historical exercise of jurisdiction
2 cession
3 conquest in cases of self-defence
4 secession
5 accretion
QUESTION 2
Indicate which one of the following statements on the acquisition of

territory is incorrect.
1 The historic exercising of power and/or authority within a given
territory is one way of acquiring territory.
2 After the fall of the USSR, secession was an important way in
which a number of states obtained their territories.
3 Conquest and occupation are still important ways in which states
may obtain territory.
COMMENTS
QUESTION 1
The appropriate option is no 3. Conquest, even in the case of self-defence,

is seldom an acceptable method of acquiring territory. The other methods
listed in the options are not necessarily acceptable, but conquest is
seldom, if ever, acceptable.
QUESTION 2
The appropriate option is no 3. Conquest and occupation are generally

regarded as unacceptable ways of obtaining territory. Even though
international law does make provision for occupation as a means of
PLC102-S/1 31
defence, this is not regarded as a justified way of obtaining territory.
Israel's controversial occupation of the West Bank is an example in this
regard, as is China's occupation of Tibet.
All the other options are correct.
SOURCES
Akehurst, M. 1986. A modern introduction to international law. 5th edition. London:
George Allen & Unwin.
Booysen, H. 1980. Volkereg: 'n inleiding. Kaapstad: Juta.
Chen, LC. 1989. An introduction of contemporary international law: a policy oriented
perspective. New Haven: Yale.
Jackson, RJ & Jackson, D. 1997. A comparative introduction to political science. Upper
32
STUDY
UNIT 3
THE STATE:
POPULATION
INTRODUCTION
As discussed in the introduction and the preceding study units, power and/or authority
are exercised over a whole society. A society comprises people, and politics without people
is impossible. The way in which states come into being has implications for the nature of
the population of that state. The nature of the population, in turn, has implications for
political interaction in a particular state, for example, the relationship between the
authorities and the society.
In this study unit we are looking for an answer to the question: ``What is the importance of
the population for a state?'' In order to answer this question, it is necessary to look at the
following focus questions:
FOCUS Who makes up the population of a state?

QUESTIONS What differences may occur in the population of a state?
What loyalties may exist in a state?
What implications can the population have for the authorities?
3.1 WHO MAKES UP THE POPULATION OF A STATE?
The composition of a state's population will differ from one state to

the next, although one can still distinguish certain groups in the
PLC102-S/1 33
population. Not all these groups have the same rights and status in
a state.
The population can be subdivided into the following two important

basic categories:
citizens
aliens (ie non-citizens)
CITIZENS
A citizen is someone who, under the law of a particular state, is
regarded as a member of that state. As a rule, states can decide for
citizenship themselves who is entitled to citizenship and who not. Never-
theless, a state's rules in this regard do not necessarily have the
approval of other states. During the apartheid era in South Africa,
the international community strongly criticised South Africa's
provisions relating to citizenship (which were linked mainly to
race). At present, South African citizenship is regulated by the South
African Citizenship Act, 88 of 1995.
Some states have very strict citizenship requirements while others
have fewer. Virtually every person on this earth is a citizen of some
or other state. The requirements for acquiring citizenship sometimes
stateless result in a person being stateless Ð that is, he or she is not a citizen
of a particular state. This tends to happen especially when states
require that both parents should be citizens of the state concerned.
Citizenship is usually acquired in two ways:
birth
naturalisation
People usually acquire citizenship through birth. As a rule, a person

acquisition of
citizenship usually acquires citizenship from the state in which he or she is
born. However, some states require that both parents should be
citizens of that particular state. Most states grant the same
citizenship to children of parents who are citizens of a particular
state, when the children are born in another state. Thus it may
happen that a child is entitled to citizenship of more than one state.
When a person has citizenship of more than one state we refer to
dual citizenship this as dual citizenship. However, as mentioned earlier, such a
child may end up stateless.
naturalisation Citizenship is also obtained by means of naturalisation. This occurs
34
when someone is entitled to citizenship of a certain state on the
grounds of compliance with certain requirements. Citizenship
obtained by means of naturalisation has certain side-effects, such
as the following:
The person applying for naturalisation usually voluntarily

surrenders his or her former citizenship.
The authority of the previous state of which the person was a
citizen may take away his or her former citizenship.
Such a person can normally reapply to recover his or her
citizenship.
In certain circumstances, it may happen that such a person
obtains dual citizenship.
Citizenship obtained through naturalisation is not necessa-
rily permanent and can be terminated (taken away).
rights and obligations of A state has certain obligations towards its citizens, such as
citizens
protection. To a lesser extent, these obligations even extend to
when citizens visit another state. Thus one of the rights that a
citizen can demand is to obtain a passport. However, citizens in
turn have certain obligations towards the state, for example, doing
compulsory military service and paying tax.
Discrimination against certain individuals and groups may degrade

second-class citizens
some citizens to the status of second-class citizens Ð it is clear,
therefore, that not all citizens have the same rights in practice.
ACTIVIT Y 3.1
Study the information below (obtained from the Annual Report of the
Department of Internal Affairs 1996) on South African citizenship dur-
ing 1996, and then do the following tasks:
8 959 people obtained citizenship by applying for naturalisa-
tion
1 786 people obtained citizenship by means of repossession
3 362 people obtained citizenship on the basis of registration

of the birth of children born to South African mothers and
fathers outside South Africa
407 people voluntarily renounced (gave up) their citizenship
PLC102-S/1 35
the Minister of Foreign Affairs deprived one person of his or her
citizenship
20 101 South African citizens, who are also citizens of other
states, received permission to use the passports of those
states
306 visas were issued to stateless people to visit South Africa
Indicate which of the following statements are correct and which are
incorrect:
(1) Fewer people born overseas obtained citizenship on the basis
of naturalisation than by means of registration on the strength
of their being born of South African mothers and fathers.
(2) A greater number of people obtained citizenship than those
who voluntarily surrendered it.
(3) Several people in South Africa have dual citizenship.
(4) Although not common, it may happen that a person who has
obtained his citizenship through naturalisation may be de-
prived of his acquired citizenship.
(5) All people have citizenship of one or other state.
This activity serves to illustrate that there are various ways in which
citizenship can be obtained, and over which control can be
exercised by the authorities of a state.
ALIENS
There are various other groups of people who may find themselves
in a particular state, but who are not citizens of that country and
also do not necessarily try to acquire citizenship. As a rule, the host
country has certain rules that apply to these members of the
population. For example, visas, work permits, temporary residents'
permits and permanent residents' permits are issued to these
people.
The most important of these groups are the following:
Tourists. Their presence is temporary and of short duration,

but is often a source of revenue for the state, which is why
important political decisions are made about them. A tourist
usually has to obtain a visa (ie written permission) from the
state he or she intends visiting. However, a visa does not
grant any right of residency to the holder thereof.
36
Immigrants. These are usually people who enter a state with a
view to settling there on a permanent basis. Strict rules are
often laid down for immigrants. It is usually immigrants
who apply for naturalisation.
Expatriates. These are usually people who leave their state of
origin for various reasons and then go to another state to live
and work there.
Guest workers. Guest workers usually work as labourers on a
contract basis in another state. They still live interruptedly
(on and off) in their state of origin. South Africa, for example,
obtains guest workers from Lesotho and Mozambique.
Nomads. Some states have to deal with `ìnhabitants'' who
move between different states. This practice is especially
prevalent in regions in North Africa such as Niger and Mali.
Refugees. These are usually people who flee as a result of
political violence or epidemics in their state of origin and
temporarily settle in another state. Various international
agreements regulate the position of refugees. In January
1996, South Africa entered the Convention Relating to the
Status of Refugees, 1951, the Protocol Relating to the Status of
Refugees, 1967, and the OAU Convention Governing Specific
Aspects of Refugee Problems in Africa, 1969. Many countries
encounter refugees. For example, South Africa has had
refugees from Mozambique. Political violence in Rwanda
has caused a serious refugee problem in Africa. Once
conditions improve in their own state, refugees can resettle
there. Refugees who flee on a large scale, however, can cause
serious problems for the state to which they flee, for
example, when it comes to accommodation and health.
Refugees have become an important international problem.
Illegals. These are people who, without the necessary
permission, move to another state, usually in search of
work. These people can cause serious disruption in the host
state because the state has less control over their movements
and they often become involved in criminal activities. They
also take job opportunities away from locals and place
pressure on health services.
Asylum seekers. This is a special category of political refugees
whose lives are in danger in their own or another state. They
then flee to another state and apply for political asylum. The
state to which they flee can then decide whether or not to
grant them asylum. The state may decide to repatriate such
PLC102-S/1 37
refugees to their state of origin; or they may extradite them
to another state.
ACTIVIT Y 3.2
Study the information below on aliens in South Africa during 1996 and
then do the tasks that follow.
visas were issued to 676 835 people to visit South Africa
180 713 illegal aliens were returned (repatriated) to their
states of origin
South Africa received refugees from Africa, Asia, Europe and
the Middle East
the Immigrants Selection Board gives preference to immi-
grants who are a skilled workforce in professions of which there
is a shortage in South Africa
the Minister of Internal Affairs has appointed a task group to
research migration matters (ie the movement of people)
(1) Indicate whether or not control can be exercised over aliens in
South Africa. Give at least three reasons for your answer.
(2) In your opinion, should control be exercised over aliens? Give at
least three reasons for your answer.
To sum up
The population of a state can be subdivided into two overlapping
categories, namely citizens and aliens. States differ in respect of
their regulations pertaining to who is entitled to citizenship and
what action, if any, should be taken against non-citizens.
3.2 WHAT DIFFERENCES CAN EXIST IN THE POPULATION

OF A STATE?
In this section we are looking for an answer to the question: ``What

differences in the population are of political importance?'' To
answer this question, you should be able to explain the following:
What differences are found in the population?

Why are these differences of political importance?
38
Various differences are found in the population of a state. Some of
these are the result of natural processes, while others are the result
of people's life styles. Some of these differences such as ethnicity
and language are often related. However, some of these differences
can also easily give rise to divisions or cleavages in the population.
We shall now look at the following differences in this regard:
gender ratio
age distribution
urbanisation
literacy and educational level
ethnic and cultural differences
class and economic development
geographical differences
GENDER RATIO
There are differences in the gender ratio of populations. The
importance of these differences will, of course, depend on the
specific circumstances in those populations.
In the People's Republic of China, for example, there are about 30

million more men than women. In India too, men outnumber
women by approximately 30 million. Hence there is a surplus of
men in these populations which exceeds the total population of
many states.
The political importance of the gender ratio of the population

obviously also relates to the circumstances in a particular state. For
example, women's rights are regarded as important in First World
countries in particular, while women in Third World states seldom
have the same rights as men.
ACTIVIT Y 3.3
Study the block diagram below which represents the gender ratio in
the various provinces in South Africa, and then do the tasks that follow:
PLC102-S/1 39
DIAGRAM 3.1
Gender ratio by province 1991

Percentage
100
80
60 50,0 50,0 52,5 50,5 49,5 52,4
47,6 47,5
52,5 50,7 49,3
53,2
50,6 49,4
54,3
49,5
50,5
47,5 46,8 45,7
40
20
t
e
e
g
te
A
al
en
ng
p o inc
ap
ap
ap
RS
We
ta
at
ut
ala
nC
eS
-N
p o ov
r th
rn
ern
)
Ga
ulu
m Pr
um
ter
Fre
ste
No
rth
(Li ern
aZ
s
Mp
We
Ea
No
Kw
rth
No
male Female
Proportionately more males live in provinces that are largely urban, eg Gauteng
(53,2%) while proportionately more females live in provinces that are non-
urban, eg Limpopo (Northern Province) (54,3%)
Source: Central Statistics (1996).
(1) According to the table, there appear to be slightly more women

than men in South Africa: true or false?
(2) Indicate in the following table, which provinces have more men
and which have more women by making an X in the appropriate
square (see RSA).
Men/ RSA West- East- North- Free Kwa- North Gau- Mpu- North-
wo- ern ern ern State Zulu- West teng malan- ern
men Cape Cape Cape (FS) Natal (NW) (GP) ga Prov
(WC) (EC) (NC) (KZN) (MP) (Lim-
popo)
(NP)
More
men
More
women B
You probably had no trouble determining which provinces fall into

which category (square). The only problem was probably the
Western Cape because there is an equal number of men and
women.
40
AGE DISTRIBUTION
The average age of the populations of states differs considerably
from each other. Various factors, such as the following, influence a
population's age distribution:
life expectancy
the birth rate
some examples of First Developed First World states, which have a high life expectancy
World States are the
rate but a low birth rate, are generally characterised by a population
USA, Canada, France,
Germany and Japan. with a high average age.
some examples of Third Developing Third World states, which have a low life expectancy
World states are South rate but a high birth rate, are generally characterised by a low
Africa, Mozambique, average age.
India and Brazil.
A population's age distribution has implications for the govern-
ment. The younger the population is, the more demands there are,
for example, in the fields of education and job creation. If the
population reaches high ages, there is also pressure of another kind.
For example, there might be a shortage of young economically
active people.
ACTIVIT Y 3.4
Study the following table which reflects the age distribution per popu-
lation group in South Africa:
TABLE 3.1
Age group Total RSA Blacks Coloureds Indians Whites
Total 40 317 000 30 613 000 3 472 000 1 039 000 5 192 000
0^9 years 10 010 000 8 349 000 743 000 200 000 718 000
10^19 years 8 818 000 7 104 000 725 000 202 000 788 000
20^29 years 7 097 000 5 322 000 708 000 193 000 674 000
30^39 years 5 435 000 3 914 000 550 000 161 000 810 000
PLC102-S/1 41
Age group Total RSA Blacks Coloureds Indians Whites
40^49 years 3 788 000 2 581 000 347 000 131 000 729 000
50^59 years 2 518 000 1 664 000 208 000 85 000 561 000
60^69 years 1 585 000 1 049 000 118 000 45 000 372 000
70+ 1 067 000 631 000 73 000 22 000 341 000
Source: Central statistics (1996)
Indicate which of the following statements are correct and which are
incorrect:
(1) The age group in South Africa with the most people is the group
0^9 years.
(2) The age group with the most people, among whites, is the
group 20^29 years; while among blacks it is the 0^9 age group.
(3) There are fewer coloureds than Indians in the 20^29 age group.
(4) The age group with the fewest people among the coloureds and
blacks is the 70+ group.
(5) Would you say that South Africa has a young or old population?
Give reasons for your answer.
It is clear from the above table that there is considerable variation in

the age profile for the various population groups. Generally
speaking, South Africa has a young population which, of course,
puts pressure on educational facilities and job creation, for example.
Of course, it is important that the population growth rate should
not exceed the economic growth rate. If it should happen that the
population growth rate is higher, the population's economic status
will drop. If the population's economic development is an objective
of the authorities, it is important for the economic growth rate to be
higher than the population growth rate.
URBANISATION
A further significant aspect of the population is the extent to which
it is urbanised. As a rule, First World states are characterised by a
high degree of urbanisation as opposed to less urbanisation in Third
World states. Of course urbanisation has both advantages and
disadvantages. In South Africa, with its vast territory, urbanisation
inevitably goes hand in hand with the depopulation of the
countryside, which has various disadvantages such as economic
42
stagnation of the countryside, which in turn leads to forced
urbanisation.
ACTIVIT Y 3.5
Study the following and then do the tasks that follow:

the block diagram indicating the percentage of urbanisation
per province in South Africa
the table indicating the gross geographic product (GGP) per ca-
pita (per person) per province
DIAGRAM 3.2
Percentage distribution of urban and non-urban population by province 1994
Western Cape 86,5 13,5

Eastern Cape 32,6 67,4
Northern Cape 73,0 27,0
Free State 54,1 45,9
KwaZulu-Natal 37,6 62,4
North-West 31,6 68,4
Gauteng 96,0 4,0
Mpumalanga 31,2 68,8
Northern Province 9,1 90,9
(Limpopo) 100 80 60 40 20 0 20 40 60 80
100 Urban population Non-urban population
More than half (51,7%) of the South African population lives in non-urban areas.
This proportion varies from 90,9% in the Northern Province to only 4% in Gau-
teng.
Source: Central statistics (1996).
TABEL 3.2
Gross geographic product (GGP) per capita in rand (1994)
RSA WC EC NC FS KZN NW GP MP NP
(LIM)
GGP/ 9 461 14 764 4 539 10 848 8 647 6 681 6 428 20 893 10 625 2 709
per
capita
PLC102-S/1 43
(1) Write the following data in the table below. Study the example
on the province with the lowest gross geographic product per
capita and the province with the lowest urbanisation rate.
Highest Second Lowest Second Third

highest lowest lowest
GGP/per Northern
capita Province
(Limpopo)
Urbanisa- Northern
tion rate Province
(Limpopo)
(2) Is there a link between urbanisation and the gross geographic

product per capita? Give reasons for your answer.
From the table that you drew up, you should note that the
provinces with the highest GGP per capita are those with the
highest percentage urbanised population. Those with the lowest
GGP also have the lowest percentage urbanised population. If one
looks at the remaining provinces, Mpumalanga is an exception in
this regard because it has a fairly low urbanised population
compared to an average GGP per capita. However, in general, we
can draw the conclusion that there is a link between urbanisation
and economic productivity in South Africa.
LITERACY AND EDUCATIONAL LEVEL

The extent to which a population is literate is also important. There
is usually also a connection between a population's literacy,
economic productivity and standard of living.
ACTIVIT Y 3.6
Study the table below and compare the data in it with the data in table
3.2, and then do the tasks that follow:
TABLE 3.3
Average number of school years per province
RSA WC EC NC FS KZN NW GP MP NP
(LM)
Num- 6,86 8,45 6,65 6,25 6,50 6,48 5,75 8,59 5,34 4,61
ber of
years
44
(1) Indicate which two provinces' population have had the highest
average number of years of schooling.
(2) Which province's population has the lowest number of years'
schooling?
(3) Is there a link between the number of years' schooling and the
economic productivity of the population in the provinces? Give
reasons for your answer.
There is a link between schooling in the two of the provinces with

the highest GGP per capita, as well as in the province with the
lowest GGP per capita. However, in the other provinces, it would
seem that there is no real correlation between schooling and
economic productivity. However, other factors probably also play a
role here.
ETHNIC AND CULTURAL DIFFERENCES

culture is the shared Ethnic and cultural differences in the population are politically
ideas, values and
customs of a group
important because they may divide the population and are a
potential source of conflict and problems of legitimacy. Ethnic
groups are groups whose members are biologically related and
usually have a specific culture (life style). Membership of an ethnic
group is usually inherited or acquired through intermarriage.
Ethnicity is an important factor in determining a person's identity
but may also play a role in determining the particular needs of a
person. Ethnic differences may relate to differences in culture, but
may also tie in with differences in the following:
language
religion
Culture determines, among other things, a person's way of life and

values (ie what is regarded as important, and what is regarded as
cultural differences right and wrong). When there are important ethnic and cultural
differences in the population of a state, these may cause conflict
about values. Certain ethnic groups may also believe that their
interests are being disregarded.
language Language can also provide an indication of a person's ethnic
affiliation, but not necessarily. In Britain, the Scots and the Welsh
have a strong Scottish and Welsh identity, but few of them can still
speak their own language.
PLC102-S/1 45
religion Certain ethnic groups may be followers of certain religions. Jews,
for instance, are predominantly followers of the Jewish faith, Arabs
of Islam (Muslims) and Indians of the Hindu faith, and to a lesser
extent, Islam. Some states have an official religion. The Queen of
England, for example, is not only head of state but also the head of
the Anglican church. The Lutheran faith is the official religion of
Sweden. In Iran, the political dispensation is based on the principles
of Islam. Religious differences may be a serious source of conflict in
a state, but may also raise certain principles such as the right to
religious freedom.
AC TIVIT Y 3.7
Study the following circle diagram and then do the task that follows:
DIAGRAM 3.3
English 9,1% Afrikaans 15,1%
Afrikaans/English 0,2% Other 1,8%
Sepedi 9,8%
isiNdebele 1,5% isiZulu 22,4%
Sesotho 6,9%
siSwati 2,6%
Xitsonga 4,2%
Setswana 7,2%
Tshivenda 1,7% isiXhosa 17,5%
IsiZulu (22,4%) is the most common home language in the country, followed by
isiXhosa (17,5%) and Afrikaans (15,1%). Only 9,1 of South Africans speak Eng-
lish as their home language.
(1) Write down the languages in order of precedence from the

greatest to the smallest number of home language speakers.
(2) Do you think that all these languages should be official lan-
guages? Give reasons for your answer.
(3) What do you think the reaction of the population would be if
only one language was made the official language?
From this activity you should be able to deduce that language

differences may lead to disputes which, in turn, may lead to an
official language policy.
In the same way, cultural differences and religious differences may

give rise to disputes among members of the population. Of course
the big question is: to what extent should the authorities interfere in
46
these affairs of the population? There is no easy answer to this
question. Unfortunately, these disputes are often settled by means
of violence and bloodshed, as has been the case in Rwanda and the
former Yugoslavia.
CLASS AND ECONOMIC DEVELOPMENT
The term class usually refers to certain socioeconomic strata (levels)

in a society, which determine an individual's status in that society.
Mobility between the different strata is usually possible. Class
differences may be an important source of division and conflict in a
population, especially if class differences coincide with other
differences in, say, language and ethnicity. The researcher, Michael
Hechter (1975), for example, found in his research that where class
and ethnicity coincide, this may give rise to separatist movements.
Lower (poorer) classes are also inclined to support socialist

ideologies that focus on equity. Upper (richer) classes are more
inclined to support liberalism which focuses on freedom.
IDEOLOGY
An ideology is a comprehensive theory that
provides an explanation for circumstances in a society

proposes an ideal way in which society should be organised
indicates the way in which this ideal may be achieved
Various ideologies are important in humankind's political history.

The best known of these are liberalism, nationalism, socialism and
communism. The more ideologies present in a population, and the
greater the differences between the particular ideologies, the greater
the potential for political conflict and instability in that population.
GEOGRAPHICAL DIFFERENCES
You have already been introduced to several differences between

the geographical units (provinces) in South Africa. It is clear that
some of these differences, such as economic productivity, are
important, but other socioeconomic differences may also play a
PLC102-S/1 47
role. Ethnic groups are often concentrated in specific geographical
regions. Obviously there may also be geographical differences
between states.
ACTIVIT Y 3.8
Study the table below.

(1) Indicate which four states have the highest gross national pro-
duct (GNP) per capita.
(2) Indicate which state has the lowest GNP per capita.
(3) Is South Africa's per capita GNP high or low compared to that of
other states?
(4) How does South Africa's population growth compare with that
of other states?
TABLE 3.4
Comparison of the data on certain states
State Area population population population urbanisa- literacy BNP per

sq km million density growth tion % capita
sq km rate % rate US$
Canada 9 976 140 29,5 3 1,2 76,7 97 21 562
Germany 356 910 81,6 229 0,6 86,5 99 n/b
France 551 500 58 105 0,4 72,8 99 21 053
USA 9 809 430 263,3 28 1 76,2 97 22 219
Britain 244 880 58,3 239 0,3 89,5 n/a 16 984
Japan 377 800 125,1 331 0,3 77,6 n/a 26 983
India 3 287 590 935,7 285 1,9 26,8 52 311
RSA 1 221 040 41,5 34 2,2 50,8 82 2 780
Brazil 8 511 970 161,8 19 1,7 78,2 83 2 646
Source: Encarta 97 World Atlas
48
The table above provides a comparison of only a few states on a few
matters. South Africa's per capita GNP is lower than that of Japan,
the USA, Canada and France, but higher than that of India.
However, South Africa's population growth rate is the highest of all
the states included in the above table.
To sum up
homogeneous The populations of states are seldom homogenous (ie the same) in
respect of their basic characteristics and the values they uphold.
These differences sometimes cause serious divisions in the popula-
tion, and may even lead to conflict. Nevertheless, these differences
will make demands on the state's authority and influence the
authoritative decisions taken by the state's authority. These
differences may even harm (prejudice) the legitimacy of the state.
3.3 WHAT LOYALTIES MAY EXIST IN A STATE?
In this section we are looking for an answer to the question: ``What

loyalties are of importance in a state?'' To be able to answer this
question, it is important to have a knowledge of the following
loyalties that may exist in states:
patriotism
nationalism
ethnocentrism
PATRIOTISM
Patriotism refers to a human being's psychological and emotional
patria is Latin for
fatherland
identification with his or her fatherland (ie territory) or patria. This
may be an important loyalty in the state because people then
usually regard the fatherland's prosperity and adversity (good and
bad fortune) as important. Wars are often fought on the basis of
patriotism.
NATIONALISM
Nationalism refers to a human being's psychological and emotional
a nation is a cultural
group that is politically
identification with a specific group of people, the nation, who at the
organised same time strive for their self-determination. Nationalism usually
PLC102-S/1 49
goes hand in hand with patriotism but not necessarily. By the same
token, patriotism does not necessarily go hand in hand with
nationalism.
The ideal is that this psychological and emotional identification

should be with the state's entire population. It often happens that
people identify with only certain parts of the population. Because
nationalism is also characterised by the striving for self-determina-
tion, this may have serious implications for the state. In the former
Soviet Union (USSR), the authorities did everything in their power
to establish one national Soviet identity and loyalty among the
population. Unfortunately, this failed Ð which is why numerous
nations demanded their self-determination, and several new states
such as Estonia, Latvia, Armenia, Kazakhstan, Uzbekistan and
Georgia came into being. However, few of the populations of these
new states are homogeneous, and the authorities of these states are
therefore also concerned with establishing one loyalty towards the
fatherland and the population.
In South Africa, we often speak of the Rainbow Nation. This reflects

the population mosaic of the South African population. Of course,
the question is to what extent South Africans identify with the
whole population. There are people who identify with the entire
population, while others again identify only with certain segments
(parts) thereof.
ETHNOCENTRISM
Ethnocentrism means identification with an ethnic group to such an

extent that it forms a predominant identity, and that one's own
ethnic group is regarded as being superior to that of other ethnic
groups. Ethnocentrism can have serious implications for a state.
When such an ethnic group is the prevailing or dominant group in a
assimilation state, ethnocentrism can often result in other ethnic groups being
exposed to discrimination and forced assimilation (ie absorption by
the dominant group). In Turkey eg the Turkish people refer to the
Kurdish people as mountain Turks. Ethnocentrism in a minority
group may give rise to separatist movements.
50
To sum up
There may be different loyalties among the population of a state.
One of the characteristics of the modern state is that the population
should to a large extent identify with the state, its territory and its
population. If the population does not, there could be serious
consequences such as civil war.
3.4 WHAT IMPLICATIONS DOES THE POPULATION HAVE

FOR THE AUTHORITIES?
In this section we are looking for an answer to the question: ``Why

is the population and its composition important for the autho-
rities?'' You have already been introduced to the answers to this
question, but in order to answer it, it is necessary for us to
summarise the reasons for the importance of the population:
We mentioned that the authorities exercise control over

people. Thus politics without people is impossible.
It is the population who will determine the legitimacy of the
authorities. This is particularly important when it comes to
the composition of the population, because it may happen
that certain divisions in the population, for example ethnic
groups, do not regard the authorities as legitimate, while
others do.
The population's needs require the authorities to make
authoritative decisions. The composition of the population
and differences in the population will obviously significantly
influence the needs the authorities have to address.
The values of the population will influence the content of
political decisions. In the long term, the authorities will
experience problems with legitimacy if there are major
differences in the composition of the population and if the
values of the different groupings are divergent. In Iran, for
example, the actions of the authorities are based on the
principles of Islam. The obvious question here is, what about
the people who are not Muslims? This was also one of the
problems during the former political order in South Africa,
for the values of only one particular segment of the
population directed national politics.
PLC102-S/1 51
To conclude
There are various reasons why the population is important for the
authorities. The nature and composition of a state's population will
differ from one state to the next. This is also one of the reasons why
the politics of states differ. An important question will always be:
``to what extent may and should the authorities interfere with the
lives of members of the population?''
SELF-EVALUATION 3.1
(1) Name the two basic categories in which the population of a state
can be divided.
(2) Explain the meaning of the following concepts: citizenship, dual
citizenship and stateless.
(3) Briefly explain the ways in which citizenship can be obtained.
(4) Briefly explain what can happen if a person acquires citizenship of
another state.
(5) Name the different kinds of aliens that can be found in a state.
(6) Is it necessary to exercise control over aliens? Give reasons for
your answer.
(7) Name and explain the differences that may give rise to divisions in
the population.
(8) Explain why the following differences in the population may be of
importance: gender, age, urbanisation and educational level.
(9) Briefly explain what the following concepts entail: patriotism,
nationalism and ethnocentrism.
(10) Explain why the population is important for the government.
SELF-EVALUATION 3.2
This self-evaluation exercise is based on the contents of the prescribed
book. Study the following sections in the book by Jackson and Jackson
(1997): pages 34±39, 56±74, 97±115, 126±146, 150±154.
(1) What, according to the authors, is the link between territory and
population? (p 56)
(2) Explain what the authors mean by the following concepts:
citizenship, nation and nation state (pp 34±35).
(3) According to the authors, what characteristics of national
identity are important? (p 38)
(4) Study table 4.2 on page 60. According to the table, which regions
52
in the world have the oldest populations and which have the
youngest populations? (OECD states refer to states that belong
to the Organization for Economic Cooperation and Development,
and include the following states: Australia, Austria, Belgium,
Canada, Denmark, Finland, France, Germany, Greece, Iceland,
Ireland, Italy, Japan, Luxembourg, Mexico, the Netherlands, New
Zealand, Norway, Portugal, Spain, Sweden, Switzerland, Turkey, the
United Kingdom and the United States of America.)
(5) We mentioned in this study unit that the age of the population,
among other things, determines its life expectancy. Now study
table 4.2 (p 60) and figure 4.2 (p 61). Indicate whether you can
see a link between a population's age and the life expectancy of the
people. Give reasons for your answer.
(6) According to the authors, what political divisions are there in the
population (pp 107±110)?
(7) What cultural families do the authors discuss on pages 126 to
137?
(8) Write down five points about the position of women in states
(pp 137±142).
(9) On pages 150 to 151, the authors discuss `Ìdeologies: blueprints
for action'' in five paragraphs. Write down, in one short sentence,
the key idea in each paragraph (a total of five sentences).
(10) What ideologies do the writers regard as dominant in the 19th and
20th centuries (pp 153±154)?
SELF-EVALUATION 3.3
This self-evaluation exercise is based on the context of the book by Hague
and Harrop (2001). Study the following pages: 9±10; 53±56; 79±94; 95±
109.
(1) What, according to the authors, is the link between territory and
population (p 9)?
(2) How do the authors describe the concepts nation and nationalism
(pp 9±10)?
(3) According to the authors, what is the obligation of states with
regard to humanitarian issues (pp 53±56)?
(4) What possible political divisions do the authors discuss in chapter
6 (pp 79±94)?
(5) What is the significance of culture to the state (p 81)?
(6) What civilizations are identified on page 83?
(7) According to the authors, what is the importance of religion in the
state (pp 90±91)?
(8) Explain in five sentences why political communication is important
to the state (pp 95±109)?
PLC102-S/1 53
TEST 3
QUESTION 1
Which one of the following statements on citizenship is incorrect?

incorrect?
1 States may differ in the rules that apply to citizenship.
2 There are various ways through which a person may obtain
citizenship.
3 All people are citizens of some or other state.
4 Second-class citizens do not enjoy the same rights as other
citizens.
QUESTION 2
What category of aliens would the people described below be regarded as

in South Africa?
One thousand people have entered South Africa from the Democratic
Republic of Congo, without the necessary documentation, in order to
search for work and to escape the conditions in Rwandese refugee camps.
They have no intention of reporting their presence to the South African
authorities and would like to visit their families in their home country as
soon as they have found employment in South Africa.
1 Immigrants
2 Guest workers
3 Nomads
4 Refugees
5 Illegals
QUESTION 3
Study diagram 3.1 (p41 ) and diagram 3.2 (p43 ) and answer the following
question.
Of the provinces in South Africa that have a higher population of women
than men, which province has the highest non-urbanised population?
1 Eastern Cape
2 Northern Cape
3 KwaZulu-Natal
4 Mpumalanga
5 Northern Province (Limpopo)
54
QUESTION 4
Select the correct term.

term.
A human being's psychological and emotional identification with his or her
fatherland is called
1 nationalism
2 ethnocentrism
3 patriotism
QUESTION 5
Indicate which statement on citizenship is correct.

correct.
1 All inhabitants of a state are citizens of that state.
2 All people have citizenship of at least one state.
3 It is not possible to obtain citizenship of more than one state.
4 Citizenship obtained through naturalisation is not necessarily
permanent.
QUESTION 6
Study table 3.1 (activity 1 on the age distribution of the South African
population). Indicate which statement is incorrect.
1 The greatest segment of the South African population falls in the
age group 0±9 years.
2 Fewer Indians and whites fall in the age group 0±9 years than in
the age group 10±19 years.
3 There are fewer whites in the age group 30±39 than coloureds in
the same age group.
4 Generally South Africa has a young population.
QUESTION 7
Indicate which statement on the composition of the population is correct.

correct.
1 Religion is unimportant in the way authorities exercise power and/
or authority.
2 Cultural and language differences are not a cause of conflict.
3 The population of states are homogeneous in their basic
characteristics and in the values that they cherish.
4 According to Michael Hechter, there is no relationship between
ethnicity, class and separatist movements.
5 The composition of the population may play a role in the loyalties
that exist among the population of a state.
PLC102-S/1 55
COMMENTS
QUESTION 1
The appropriate option is no 3. Not all people are citizens of a particular

state. Due to the regulations with regard to citizens, it may happen that
a person is not a citizen of any state. Such a person is called a stateless
person. All the other statements are correct.
QUESTION 2
The appropriate option is no 5. These people are illegal immigrants or

illegals. All the other categories of persons require that their presence be
known to the authorities Ð even in the case of refugees.
QUESTION 3
The appropriate option is no 5. Only the Eastern Cape, KwaZulu/Natal and

Northern Province (Limpopo) have more women than men in their
population. Of these provinces Northern Province (Limpopo) has the
highest non-urban population.
QUESTION 4
The appropriate option is no 3. Patriotism emphasises the place of the

fatherland, nationalism the place of the population and ethnocentrism the
place of a particular ethnic identity.
QUESTION 5
The appropriate option is no 4. As explained in this study unit, citizenship

obtained by means of naturalisation is not necessarily permanent.
Option 1 is incorrect because, as discussed, citizens represent only one
category of a state's population.
Option 2 is incorrect for there are people who are stateless, that is, they
are not citizens of any state.
Option 3 is incorrect for some people may indeed have citizenship of more
than one state.
56
QUESTION 6
The appropriate option is no 3. There are 810 000 whites in the age group
30±39, while there are only 550 000 coloureds in this age group.
All the other statements based on the contents of table 3.1 are correct.
QUESTION 7
The composition of a population may indeed play a role in the loyalties

that exist among the population of a particular state.
Option 1 is incorrect for religion often plays an important role in politics.
Note for example the role of religion in the Islamic Republic of Iran and even
in Israel.
Option 2 is incorrect for language and cultural differences may indeed be a
cause of conflict. This is also a factor in Israeli politics, for example.
Option 3 is incorrect for the populations of states are seldom
homogeneous with regard to their basic characteristics and in the values
they cherish. Japan is an example of a state with a large population (125
million) that is relatively homogeneous.
SOURCES
mills: Macmillan.
Central Statistics. 1996. RSA Statistics in brief.
Prentice-Hall.
science. 2nd edition. Englewood Cliffs, NJ: Prentice-Hall.
Martins.
Jackson, R & Jackson, D. 1997. A comparative introduction to political science. Upper
Microsoft. Encarta 97 World atlas.
Blackwell.
PLC102-S/1 57
58
T H E M E 3
THE MODERN STATE AND

SOVEREIGNTY
OVERVIEW
In this theme we seek answers to the questions ``What is sovereignty?'' and ``What factors
are involved in the acquisition of sovereignty and the recognition of sovereignty by other
states?''
Here is a list of terms and concepts that are important for this theme. Ensure that you
understand the meaning of these terms and concepts by the time you have completed this
unit.
KEY TERMS absolute sovereignty internal sovereignty

AND authority legal sovereignty
CONCEPTS de jure sovereignty political sovereignty
de facto sovereignty popular sovereignty
external sovereignty power
PLC102-S/1 59
STUDY
UNIT 4
THE STATE AND

SOVEREIGNTY
INTRODUCTION
In the general introduction you were introduced to the state and its characteristics, and we
referred to the importance of sovereignty. In this study unit we will continue looking at the
concept or notion of sovereignty and the sovereignty of states. All modern sovereign states
are characterised by territory, people and a government, regardless of the size of territory,
the size and diversity of population, or the form of government. Sovereignty, as a concept
has a long history dating back to the ideas of the philosophers of ancient Greece and the
Roman Empire. However, this study unit does not deal with the historical origin and
development of sovereignty as such, but with its meaning and the way it operates in the
modern world.
In this study unit we are looking for an answer to the question: what is the nature of
sovereignty? In order to answer this question, it is necessary to look at the following focus
questions:
FOCUS What is a sovereign state?

QUESTIONS What are the meanings of sovereignty?
Where is sovereignty located?
What are the prerequisites for sovereignty?
What are the problems of sovereignty?
60
4.1 WHAT IS A SOVEREIGN STATE?
The term ``sovereignty'' is derived from the Latin superanus and the
French souverain. It means supreme. Historically, sovereignty
applied to a supreme or superior ruler, who was not accountable
or subordinate to any other person or authority, except perhaps
only to God. (See absolute sovereignty further on.)
In modern times we speak of ``sovereign states'' and ``state

sovereignty''. What do we mean when we say that a state is
sovereign? In general, for the greater part of two centuries,
sovereignty has referred to a state that is independent and has
exclusive authority over a specific people and territory. The
government of a state exercises the ultimate and final, supreme or
sovereign authority within its geographical borders (Maidment
1993:7). (Also see legal sovereignty further on.) However, not all
political entities are sovereign states. The so-called states that
constitute a federation (eg the United States of America) or a union
(eg the former Union of the Soviet Socialist Republics), and colonies
(eg Angola and Mozambique which were colonies of Portugal prior
to independence) are not sovereign because they do not exercise
non-sovereignty final authority within their territories. Non-sovereignty applies as
well to other political entities like non-self-governing territories.
ACTIVIT Y 4.1
Read the following statements on political entities and indicate which

are sovereign and which are non-sovereign. Give reasons for your an-
swers:
THE FALKLAND ISLANDS, a group of over 100 islands in the
South Atlantic, are a British crown colony (Hanks 1979:524).
NORTHERN IRELAND is part of Great Britain and has a separate
parliament with limited self-government (Hanks 1979:1004).
DISTRICT OF COLUMBIA (USA) is a federal district of the eastern
United States (Hanks 1979:429).
REPUBLIC OF SOUTH AFRICA is situated at the southernmost
part of Africa. South Africa became a republic in 1961 (Hanks
1979:1391).
PLC102-S/1 61
As you have seen, a state is sovereign when it is independent of any
other authority internationally and exercises complete authority over
its own affairs within its territorial jurisdiction. According to this formu-
lation, South Africa is a sovereign state. However, not all political enti-
ties with territories, populations and governments are sovereign
states. The Falkland Islands and Northern Ireland have the character-
istics of states but are not sovereign because they are legally (juridi-
cally) and politically subordinate to Great Britain. The same applies to
the so-called states that are constituent members of a federation, in
this instance the District of Columbia of the United States of America.
Such constituent states do not possess sovereignty because (apart
from limited areas) they are subject to the sovereignty of a superior
authority.
Although political scientists agree that only states can be sovereign

and tend to regard sovereignty as a characteristic of the modern
state, they disagree on the meaning of sovereignty. We will now
take a look at some of the meanings of sovereignty.
4.2 WHAT ARE THE MEANINGS OF SOVEREIGNTY?

It is difficult to define sovereignty. The word itself has more than
one meaning and is used in a variety of contexts. There are also
other terms that are associated with it.
The term sovereignty has many meanings including legal (de jure),
political, de facto (actual, practical), internal, external, absolute and
popular. These meanings do not represent different types of
sovereignty but are rather characteristics or dimensions of
sovereignty.
The concept sovereignty is also associated with concepts like

authority, power, influence, government, equality (of states) and
legitimacy.
We will now examine the meanings of sovereignty and some of the

terms associated with it in greater detail.
ABSOLUTE SOVEREIGNTY
absolute sovereignty is Absolute sovereignty is associated with historical sovereigns Ð
supreme or final
authority historically
monarchs, kings or rulers Ð of the 16th century who had absolute
located in a monarch spiritual and temporal (earthly) power. The sovereign was the
supreme or final authority and no further appeal against his or her
will was possible. The sovereign was not subject to any higher
62
temporal authority and had the capacity to make laws without the
consent of the people he or she ruled. The notion of absolute
sovereignty is fundamental to the absolutist theory of the state.
Exponents of this view were Jean Bodin and Thomas Hobbes.
Modern theorists, however, have often addressed the issue of

whether one can speak of an `àbsolute sovereignty'' in the sense of
an unrestricted or unlimited sovereign who is the source of all law
and thus above the law. Absolute sovereignty also implies an
authority above international law Ð a collection of rules agreed to
by states and which govern the relations between and among states.
However, few modern theorists today support the notion of
absolute sovereignty.
LEGAL SOVEREIGNTY (de jure sovereignty)

de jure sovereignty is Many scholars regard sovereignty primarily as a legal concept.
the supreme legal
authority to make and (Sovereignty traditionally had a legal meaning. It was always
enforce laws for a understood as de jure, that is, legalistic.) Legal sovereignty defines
population within a given sovereignty in terms of the law. In a legal and formal sense sovereignty
territory
means the supreme, complete and exclusive legal authority to make and
enforce laws for a particular people residing in a particular territory.
Laws may refer to an unwritten convention or a written regulation,
including customary or common law, case law and statute law. The
laws and decisions of such a legal authority cannot be overruled by
any other legal authority or body.
From this description of (legal) sovereignty, it is clear that

sovereignty involves the notions of authority and power. Although
authority and power are often used synonymously because they are
so closely related, they refer to different things. Authority refers to
the legal right to exercise power or to the acknowledged power to
make binding decisions and to issue obligatory commands
(McNaughton 1996:11; Ranney 1996:29; Jackson & Jackson
1997:10). Power refers to enforcing compliance by using means
ranging from influence to coercion. States need coercive power to
back their authority. Governments control the main legitimate
coercive agents, including the police and armed forces, prisons and
courts of law (Jackson & Jackson 1997:9,10). Power may, however,
be exercised without recognised or legitimate authority as is the
case for example, in an unpopular military dictatorship. Legitimacy
is closely related to authority and power. If a government has
legitimacy, members of society (ie those who are ruled) believe and
PLC102-S/1 63
accept that the government has the authority to make laws and to
enforce them and its citizens feel they have a duty to obey.
Legitimacy is important because contemporary rulers of states need
their legitimacy to be recognised not only by those they rule but
also internationally by other states.
POLITICAL SOVEREIGNTY (de facto sovereignty)

Although there is a close connection between legal and political
de facto sovereignty is
the actual, practical, sovereignty, the latter concerns effective or real (de facto) power
internal supremacy of a rather than legal authority. Political sovereignty means the supremacy
state over its of coercive power.
population and territory
Human nature being what it is, and if certain rules have to be
obeyed, it is necessary that the rules should be capable of being
enforced. The exercise of power then in a social and political sense is
to determine the actions of people in certain intended ways, and to
enforce obedience by means of threats, punishment and sanctions, if
necessary. Obviously the possession of coercive power is essential
for the functioning of the government of a state. A state's claim to
supreme authority within its own territory can usually be effective
only if the state commands coercive power superior to any other
group within its territorial jurisdiction. However, power is not
sufficient to substantiate political authority. It is also necessary that
the people acknowledge this authority. It is preferable that the
people recognise the legitimacy of the government rather than
having to be coerced by force. If force had to be used on every
occasion when there was the possibility of disobedience to the law,
a government would probably break down. In reality most people
conform to the law because they recognise its authority and
legitimacy.
INTERNAL SOVEREIGNTY
When we speak of internal sovereignty, we usually refer to both the

legal (de jure) and political (de facto) sovereignty within the borders
of a particular state. Internal sovereignty means the supreme authority,
juridically and politically, of a government within the borders of a state.
A sovereign state must be able to demonstrate actual or real

political supremacy in its own territory. The government must
effectively maintain its authority over all other actual or potential
64
centres of power or authority, irrespective of whether they are
individuals or groups. Such groups of individuals may include local
authorities, trade unions, industries, universities and so forth.
EXTERNAL SOVEREIGNTY
External sovereignty means actual (de facto) independence from external

authorities (or other states), beyond the borders of a state.
Many scholars hold the view that a sovereign state is not only
capable of demonstrating its internal actual or de facto and legal or
de jure supremacy, but also its de facto external independence.
External sovereignty refers to the actual independence of a state in
the international context. It does not mean that one state is superior
to another state, but only that a state is legally recognised or
accepted as an independent state by other states.
Internationally the notion of sovereignty requires all independent

states to accept and recognise each other's claims to exercise
ultimate and final authority over their respective populations
within their borders. In this sense all independent states are
sovereign and are recognised as such by other states (Maidment
1993:8). Each state, whether large or small, has supreme authority
over its internal affairs and in that respect is equal to every other
state in a legal sense. In international law it is known as ``the
principle of the sovereign equality of nations'' (Ranney 1996:40).
External sovereignty furthermore entails that states deal with other
states on an equal footing and are only bound legally when
agreements between or among states have been entered into
voluntarily.
Several times we have referred to international law. You may well

wonder how the laws enacted by a state affect or are affected by
international law. Legally international law does not have superior
authority to the laws of a state. At present many but not all rules of
international law are binding on states only if those states
voluntarily accept those rules as binding. Such states then
incorporate the relevant parts of international law within their
own laws (Raphael 1991:53).
PLC102-S/1 65
POPULAR SOVEREIGNTY
Popular sovereignty, which many scholars regard as one of the

characteristics of a democracy, refers to the supremacy of the people.
More specifically, it means that the final authority and power to
make political decisions is vested in all of the people rather than in
one person (eg a monarch or a dictator) or a group of persons (eg an
elite, an aristocracy or an oligarchy). (Also see locus of sovereignty
further on.)
Popular sovereignty is generally associated with democratic

regimes, although originally (in Roman Law) it had no connection
with democracy. All the people within a given territory are
supreme in possessing authority and power. The notion of popular
sovereignty, however, does not logically require that all the people
directly make all political decisions (in government). The people in
a democracy, just like a dictator in a dictatorship, may delegate part
of the decision-making power to political officials (legislators,
executives, judges, administrators, etc). The people are sovereign as
long as they, and not their delegates, have the final authority to
decide which powers to delegate to whom and which powers will
be retained by themselves, and under what conditions those
delegated will be accountable and for what periods of time (Ranney
1996:95).
ACTIVIT Y 4.2
(1) Keep the meanings of sovereignty that we have discussed in

mind, and look again at the key concepts at the beginning of
the study unit. Now complete the following statements:
ABSOLUTE SOVEREIGNTY means the ..... or final author-
ity.
LEGAL SOVEREIGNTY means the supreme, complete
and ..... legal authority to ..... and ..... laws for a particu-
lar ..... residing in a particular ......
POLITICAL SOVEREIGNTY means the ..... of ..... power.
INTERNAL SOVEREIGNTY means the supreme author-
ity, ..... and ..... of a government within the ..... of a ......
EXTERNAL SOVEREIGNTY means actual (de facto) .....
from ..... authorities, beyond the ..... of a ..... .
POPULAR SOVEREIGNTY refers to the ..... of the ..... .
66
Check your answers against the meanings given in this section
and against the list of key concepts.
(2) Complete the following paragraph to reinforce your under-
standing of sovereignty.
Sovereignty means the supreme, complete and exclusive .....
authority to ..... and ..... laws for a particular ..... residing in a
particular ..... . Each state whether large or small, strong or
weak, has supreme authority over its ..... affairs and in that re-
spect is fully ..... to every other ..... . In international law it is
known as the principle of the sovereign ..... of nations (Ranney
1996:40).
Sovereignty, as you have seen, is interpreted in various ways. It refers

in a legal sense to a state's claim to exclusive jurisdiction over people
and territory, and in a political sense to the capacity of a state to en-
force laws. Both of these senses are descriptive of the internal sover-
eignty of a state. Since states are not isolated political entities but
form part of an international network of states, external sovereignty
refers to the de facto independence of a state in conducting its own
affairs from any other state or states. The claim of a state to exclusive
internal jurisdiction and external independence from other states is
usually legally recognised by other states. In this sense we may speak
of the sovereign equality of states. Although states are empirically un-
equal as far as influence, power, demography and resources are con-
cerned, they are equal in the legal sense of the requirement of mutual
recognition of claims to sovereignty.
4.3 WHERE IS SOVEREIGNTY LOCATED?
The locus of a state's sovereignty is a contentious issue. Supreme

authority in modern states can be located in a single person, but it is
usually located in some governmental structure and sometimes even
divided between governmental structures. As an example of sover-
eignty vested in a single person, you might think of the former
President Mobutu Sese Seko of ZaõÈre (now the Democratic Republic
of Congo) who enjoyed virtually absolute sovereignty Ð similar to
that enjoyed by absolute monarchs. Examples of governmental
structures include the legislature, supreme court and Parliament.
Governmental structures are, however, abstractions and abstrac-
tions strictly speaking cannot be sovereign, issue or obey orders.
Sovereignty is legally vested in people Ð individuals and groups
who share sovereignty. These people fulfil certain roles within
PLC102-S/1 67
governmental structures and although among other things they act
and issue commands, it is common practice to speak as if
governmental structures themselves act, issue or obey commands.
(Attributing human personality or characteristics to abstractions
like the state, government and parliament is technically called the
reification of concepts.)
Most states have written constitutions which indicate the structures

or persons which are legally sovereign. Even in states that have no
written constitutions, for example Britain, it is usually clear where
sovereignty is located. Sovereignty then may, for instance, reside in
the following entities, including governmental structures:
a single person
a parliament that is empowered to amend the constitution
(Raphael 1991:153)
the constitution itself
the whole of the people in accordance with democratic
principles
a legislature which is empowered to make statutes that can
override rules of common law or repeal earlier statutes
a supreme court that can determine whether an Act of the
legislature is constitutional (Raphael 1991:153).
We will examine some of of the above briefly.
A SINGLE PERSON
The notion of sovereignty vested in a single person has an ancient

history. The monarchs or rulers of the 16th century who had
absolute sovereignty represent a continuation of a much older
historical phenomenon.
Various present-day rulers of states in the Middle East enjoy

virtually complete authority, similar to that possessed historically
by the monarchs of France, Spain and England, who had supreme
or final authority. Some modern kings are Abdullah in Jordan,
Mohammed V in Morocco and the Sultan of Brunei, who rules by
decree (Jackson & Jackson 1997:238).
68
PARLIAMENT
Legal sovereignty is vested in parliament, the authority or structure

that has the final capacity to make laws and enforce them. This also
means that parliament is empowered to amend the constitution. In
terms of the 1961 South African constitution for instance,
sovereignty was vested in parliament. According to section 30 of
the Constitution of the Republic of South Africa 110 of 1983, the
president and parliament constituted the sovereign legislative
authority in and for the Republic. Thus we can say that prior to
1994, South African constitutions acknowledged the sovereignty of
parliament.
THE CONSTITUTION
Sovereignty is vested in the constitution. For example, after 1994 the

constitution was acknowledged as the supreme law of the Republic
of South Africa. This means that all governmental institutions are
bound by the constitution and that parliament is subordinate to the
constitution (Rautenbach & Malherbe 1996:117). Legislative author-
ity at national level is vested in parliament and the state president
(section 43 of the Constitution of the Republic of South Africa 1996).
Sovereignty of a constitution differs from a sovereign parliament

which enjoys the highest authority in the state and is not subject to
limitations in the constitution, or to any other authority. In Britain,
for example, sovereignty is vested in parliament, but real power is
located in the cabinet. Parliament, however, can and sometimes
does overrule the government. Parliament is and remains the final
authority.
THE WHOLE OF THE PEOPLE
Sovereignty located in the whole of the people is in accordance with

democratic principles. Locating sovereignty in the whole of the
people is more complex because of the different meanings
attributed to the ``people''. Sovereignty may be located in the
whole of the people who occupy a specific territory; or in the
electorate which may vary in size, depending on how the term
``voter'' is defined (eg voter may refer to adult citizens and exclude
aliens, prisoners, the insane and infants); or in some type of
PLC102-S/1 69
assembly which represents the people; or in a nation which could
possibly exclude aliens (Vincent 1994:36).
PLURALISM AND SOVEREIGNTY
Instead of locating sovereignty in some central authority and

structure, or in the people at large, some scholars, called pluralists,
argue that sovereignty is decentralised. In other words, sovereignty
is pluralised, dispersed or spread among groups. Society consists of a
diversity of groups, for example trade unions, clubs, churches and
so forth, who do not owe their existence to any central authority.
Pluralist scholars reject both legal and political sovereignty, and
maintain that the state only recognises and ratifies existing law.
Law originates not in the state, but in a multiplicity of groups.
Political sovereignty, the notion of the centralised enforcement of
law, is a fiction which takes no cognisance of the complexity of
group life and the autonomy of groups. For pluralists, authority is
vested in the numerous groups comprising society. Thus pluralists
do not reject the notion of sovereignty but have only decentralised
it, with each group seemingly having its own legal status (Vincent
1994:200±203).
ACTIVIT Y 4.3
Complete the following list indicating what you think are the main loci
of sovereignty (in any order):
(1) ..........................................................................................................
(2) ..........................................................................................................
(3) ..........................................................................................................
(4) ..........................................................................................................
We may say that sovereignty, usually referred to in a legal sense, may

be located in
(1) a single person
(2) parliament
(3) the constitution
(4) the whole of the people
70
Sovereignty, moreover, may also be divided between governmental
structures, as well as (arguably) be dispersed among groups in so-
ciety.
4.4 WHAT ARE THE PREREQUISITES FOR

SOVEREIGNTY?
As we pointed out previously, in modern times states form part of

an international network of independent states who look to one
another to recognise the legitimacy of their existence as states.
International recognition is very important for the legitimacy of a
state, but recognition of a new regime (eg one instituted by force) by
other states is strictly speaking not necessary, although non-
recognition will hamper international relations (Pettman 1991:31).
Prospective states, apart from having governments, people and territory,
have to meet certain prerequisites in order to be recognised as sovereign by
the international community.
DE FACTO INTERNAL SOVEREIGNTY
You should recall that internal sovereignty includes both the

supreme legal (de jure) and political (de facto) authority within the
borders of a state. Apart from the right to make laws, an important
prerequisite concerns the ability of a sovereign state to demonstrate
its de facto (actual) internal supremacy over its territory and
population. Theoretically it is not subservient to any other (political)
authority.
In reality though, the latter part of the 20th century abounds with
examples of states whose de facto internal sovereignty has been
challenged by civil uprisings, revolutions and guerilla wars. Think
of the internal situations of states like Angola and Mozambique
(since independence), Nigeria and the former ZaõÈre. Although
doubt was cast on the sovereign authority of these states in an
absolute sense, the international community continued to regard
these states as sovereign and seemed to overlook the importance of
the requirement of de facto internal sovereignty. The international
community does not usually withdraw its recognition of a state on
the grounds that its sovereign status has been forfeited through its
inability to exercise full control over its territory.
The notion of de facto internal sovereignty raises important
PLC102-S/1 71
theoretical questions: How supreme must a political entity be to
qualify as sovereign? Is control in local or domestic political affairs,
or in some crisis situation the test of sovereignty? Is legitimacy a
prerequisite to a claim to sovereignty by a state? To what extent
must internal authority be eroded before the international commu-
nity considers revoking the sovereign status of a state? (Fowler &
Bunck 1996:390).
Although de jure and de facto internal supremacy remain a

prerequisite of sovereign status, there is disagreement on the
factors comprising de facto internal sovereignty.
DE FACTO EXTERNAL SOVEREIGNTY
External sovereignty, you might recall, refers to the de facto (actual)

independence of a state from other external authorities or states.
Therefore, a second prerequisite of sovereign states is that they have
de facto independence of other states. Such a state, in conducting its
foreign relations, is not only internally juridically and politically
supreme, but also practically (de facto) independent of any external
political authority. As we pointed out earlier, in the international
context, sovereignty does not mean that one state is superior to
another, but rather that it is independent of outside interference or
intervention.
However, theory is not always reflected in practice. In reality as far

as economic and military resources are concerned, states (particu-
larly the more powerful states) frequently intervene in the affairs of
less powerful states, thus violating their sovereignty. Some recent
examples include the Russian invasion of Afghanistan in 1979; the
American invasion of Panama in 1989 and the bombing of Libya in
1985. Examples like these show that political interests and power
tend to override and sometimes violate the mutual recognition of
the sovereignty of states.
External de facto independence raises some contentious theoretical

questions: how independent must a political entity be in conducting
its foreign affairs? Is a state still fully sovereign when authority over
certain important issues is vested elsewhere, such as in a powerful
neighbouring state or some international organisation? (Fowler &
Bunck 1996:392).
Many scholars on sovereignty, however, consider de facto and de

jure internal sovereignty and external sovereignty important (if not
72
fundamental) prerequisites of sovereignty. Externally a state must
not only legally claim its independence but must also be able to
demonstrate it in practice.
DE JURE EXTERNAL SOVEREIGNTY
Some scholars attach greater importance to the prerequisite of de

jure external sovereignty than to the prerequisites of de facto
internal and external sovereignty. De jure external sovereignty
means the legal or constitutional independence of a state. It is the
legal or constitutional separation of a state from other states Ð and
not the de facto (actual) independence of an external authority or
state (Fowler & Bunck 1996:393).
CONFLICT BETWEEN PREREQUISITES FOR SOVEREIGNTY
Although de facto (internal and external) sovereignty and de jure

independence usually go hand in hand, they need not necessarily
go together. A state might concede that a prospective state
attempting to attain sovereign status has a claim to de jure
independence, yet might question its claim to de facto indepen-
dence. Similarly, a state might acknowledge the de facto supremacy
of an aspirant state but challenge its de jure independence. For
example, in 1983 the Turkish Cypriots declared the sovereignty of
the Turkish Republic of Northern Cyprus, which was recognised by
Turkey as sovereign, but the international community as well as the
United Nations Organisation refused to recognise the Turkish
Cypriots' independence. The international community took the
view that the Turkish Cypriots had failed to demonstrate their de
jure independence, namely that they were legally separate from the
government of Cyprus. This example also shows that the
sovereignty of a state must be recognised by more than one state
(Fowler & Bunck 1996:394, 395).
There is, however, disagreement among scholars on whether de

facto supremacy and de jure independence are both necessary for
sovereign statehood or whether either one or the other will suffice.
Whether a political entity has a claim to sovereignty is a contentious
issue and depends on whether one has external de facto or de jure
independence in mind and how de facto and de jure sovereignty of
a political entity is assessed.
PLC102-S/1 73
ACTIVIT Y 4.4
Read the following hypothetical case of a state aspiring to sovereignty,

and then answer the questions below:
The government of a state named ``Knowingnothingness'' was violently
overthrown by revolutionaries inside the country with substantial mili-
tary assistance from a neighbouring state known as `Èverknowing-
ness''. `Èverknowingness'' had become very tired of the continuous
economic dependence of ``Knowingnothingness'', their non-payment
for goods received and for the training of military personnel over a per-
iod of 10 years. The revolutionary leaders soon attempted to form a
new government. A dispute, however, arose between those leaders
who wanted to rename the state ``Knowingbetterness'' and those who
favoured the name `Àllknowingness''. Despite attempts to reach
agreement, the argument escalated and they were unable to amend
the constitution or to pass any legislation. The population too was di-
vided, with supporters of the former government of ``Knowingnothing-
ness'' threatening retaliatory violence, and the support of the rest
more or less evenly distributed between the revolutionary leaders
who favoured ``Knowingbetterness'' and `Àllknowingness''. Two major
events contributed to an attempted resolution of the dispute: the in-
creasing popularity of the supporters of the former ``Knowingnothing-
ness'' who already controlled one third of the countryside, and the
threat of the neighbouring state,`Èverknowingness'', to resolve the im-
passe by military intervention. Consequently, after some hard nego-
tiation, a compromise was reached among the revolutionary leaders
to name the state ``Knowingevermoreness''; and to take the necessary
steps to make and enforce laws with regard to its population and terri-
tory. At this stage one state has recognised the sovereign status of
``Knowingevermoreness'', but thus far the international community
has not granted recognition.
(1) Does the state ``Knowingevermoreness'' meet the following
prerequisites of sovereignty; and if not, why not?
internal legal (de jure) and political (de facto) sover-
eignty
external legal (de jure) sovereignty
external actual (de facto) sovereignty
(2) Is international recognition necessary or not, and why?
The (intentionally humorous) hypothetical case of the state

``Knowingnothingness'' aspiring to sovereignty as ``Knowingever-
moreness'', demonstrates the theoretical importance and complex-
ity of the prerequisites of sovereignty, and the difficulty of
74
achieving them. In practice states often find it difficult to meet all
the prerequisites.
Ideally the conferring of sovereign statehood requires a political

entity with territory, people and a government, demonstrating
internal de jure and de facto control of its domestic affairs as well as
external de facto and de jure independence. Our hypothetical state
``Knowingevermoreness'' clearly meets none of the prerequisites.
The de jure recognition of sovereignty by a substantial number of
other states is also important, as demonstrated by the example of
the Turkish Cypriots.
4.5 WHAT ARE THE PROBLEMS OF SOVEREIGNTY?
The problems of sovereignty are numerous Ð theoretically and

practically. We will examine some pertinent problems attached to
the recognition of aspirant states by the international community
(we have already touched on this briefly), factors which possibly
limit sovereignty, and the loss of sovereignty.
RECOGNISING SOVEREIGN STATUS
The recognition of sovereignty, as you probably remember from the

discussion on the prerequisites of sovereignty, ideally involves both
the acknowledgment of internal and external de facto sovereignty
and external de jure independence. Accordingly a state is
recognised as a legal actor or entity, with the capacity in
international law to engage in and perform international acts.
The international community, however, does not follow an exact

procedure for recognising the sovereign status of states.
Formal recognition
Sovereign statehood is usually expressed through an act of formal

recognition and the establishment of diplomatic relations by a
substantial number of states. Although theoretically the sovereignty
of a state is thought to be a prerequisite for recognition, this does
not always happen in practice. With reference to the previous
example of the Turkish Cypriots, the fact that Turkey recognised the
Turkish Cypriots' claim to sovereign statehood did not confer
sovereignty on them. A sufficiently large number of states would
also have had to recognise their claim. In contrast, with the
PLC102-S/1 75
disintegration of the Soviet Union, the claim made by the Baltic
states (Estonia, Latvia and Lithuania) to de jure sovereignty
(independence) had considerable support among the states of the
international community.
International pressure
Apart from the problem of formal recognition, international

pressures also influence the recognition of sovereignty. Sometimes
governments of states give in to international pressures and do not
recognise prospective sovereign states, not because their sover-
eignty is doubted but because recognition would be ideologically
unpopular or involve political repercussions. For example, while
the independence of Zimbabwe (formerly Rhodesia) was widely
recognised in 1980, Rhodesia's previous declaration of indepen-
dence by the government consisting of white persons had been
denied international recognition (Fowler & Bunck 1996:402).
Similarly the former states of Transkei, Bophuthatswana, Venda
and Ciskei in South Africa were never accorded sovereign
statehood by the international community.
Other factors
Other factors also play a role in the recognition of prospective

states. These factors relate to the treatment of aspirant states, for
example admission to and participation in international confer-
ences, entering into treaties with other states, and the belief in
sovereignty by respected lawyers and scholars (Fowler & Bunck
1996:402).
It is evident that various factors influence the recognition of states.

The international community clearly does not automatically confer
sovereign status upon aspirant states. Whether states grant or
withhold recognition, however, is a matter of politics, not law.
THE LIMITATION OF SOVEREIGNTY
Treaties, rules of international law and international organisations

may to some extent limit the sovereignty of a state.
76
Treaties
A treaty usually involves some limitation of a state's sovereignty by

imposing a rule of law or an obligation. The state is bound to
conduct itself in accordance with that law or obligation (Middleton
1969:154).
The treaties that states enter into may limit their actions by
delegating certain powers to other states. This, however, does not
affect their sovereignty unless the delegation is a cover for foreign
control. For example, a fairly common practice is agreements for
military protection, or the stationing of foreign troops in another
state's territory (Hannum 1996:21). For instance the Philippine
Islands and Panama have permitted the United States of America to
station troops within their territories.
International law
International law imposes limits on the external and internal actions

of sovereign states (as well as various non-sovereign political
entities like dependent states which have some relationship of
dependence, for instance economic dependence, with other states,
and non-self-governing territories). An example of such a limitation
is the rule that no state may violate the territorial integrity of
another state except in certain circumstances such as the protection
of a state's own citizens (Hannum 1996:19).
Internally, within a state's own territory, actions are limited or

restricted by, for example, the principle of diplomatic immunity and
the responsibility for injury to aliens. International law also
prohibits genocide and systematic racial discrimination.
International organisations
The sovereignty of states may also be restricted by the complex

economic and political relations which characterise the international
community in the 20th century. The decisions of international
technocratic bodies with nearly universal membership like the
International Civil Aviation Organisation, World Meterological
Organisation, Universal Postal Union and the International Tele-
communications Union, are binding on all states irrespective of
whether or not such decisions are contained in multilateral
conventions. The General Agreement on Trade and Tariffs (GATT)
PLC102-S/1 77
has implications for the international economic system and the
participation of states in that system, whether or not any state is a
party to that agreement (Hannum 1996:21).
Membership of multinational organisations like the European

Union (EU), the United Nations (UN) and the North Atlantic
Treaty Organisation (NATO) seem to be important to sovereign
states as a means of extending their influence. There seems to be
disagreement on the issue of whether the influence of states and
their sovereignty over their own affairs are in practice extended by
such membership, and to what extent membership affects or limits
their sovereignty (Maidment 1993:9). Sovereignty, however, is not
``lost'' if members voluntarily withdraw from such organisations.
Although these multinational organisations emphasise the sover-
eign legal equality of the states on which they are founded, it does
seem that while legal equality has been maintained, the practical
freedom (of action) of the member states is likely to be reduced
(Hannum 1996:22).
The dependence and interdependence of states
Modern states are becoming increasingly dependent and inter-

dependent. They are increasingly open to influences due to
worldwide political and economic circumstances, and because of
the development of technology in various fields including finance,
trade and communication.
The growth of multinational organisations and agreements en-

courages the interdependence of states, particularly economically.
Here we can think of the European Union (EU) and the North
American Free Trade Agreement (NAFTA). The formation of
multinational organisations can also partly be ascribed to many
problems of a non-economic nature such as terrorism, drugs and
pollution of the environment, which can best be resolved by
international cooperation.
While states may be internally sovereign, their external sovereignty

is affected by all these factors.
THE LOSS OF SOVEREIGNTY

The loss of sovereignty by a state is complete when it becomes
subordinate to another state or states, or to some group of people
capable of assuming authority over the state. Another state or
78
group then exercises final authority. An example of the loss of
sovereignty is Tibet. Although the sovereign status of Tibet prior
to the Chinese invasion in 1950 is debatable, the incorporation of
Tibet within China was partly accomplished by force Ð not by
consent.
Apart from violent ways of losing sovereignty (eg war, invasion),

sovereignty can also be lost or ceded by agreement. For example,
two independent states may form a federation as in the case of the
Federation of Egypt and Syria becoming the United Arab Republic
in 1958 (Hannum 1996:21±22).
ACTIVIT Y 4.5
Keeping in mind what you have read in the above section, read the fol-
lowing two quotations and answer the questions below. Give reasons
for your answer.
(a) In 1949 when the communists came to power in China, the lo-
sers led by Chiang Kai-shek fled to the island of Taiwan.While a
majority of Taiwanese came from China in the eighteenth and
nineteenth centuries, the new arrivals claimed Taipei as the
provisional capital of the new Republic of China (RC). In 1971
the PRC [People's Republic of China] replaced the RC in the Uni-
ted Nations.While the RC had long ago given up its claim to re-
present mainland China, the PRC continues to claim that
Taiwan and its 21 million people belong to it (Jackson & Jack-
son 1997:12).
(b) In 1994 most of GATT's [General Agreement on Trade and Tar-
iffs] member nations signed a revised treaty establishing a
new World Trade Organization (WTO) to monitor international
trade and resolve disputes over tariffs and import quotas. The
treaty was ratified by 104 of the members, but several major
trading powers (notably Australia, India, Japan, South Korea,
and the United States) delayed ratification because of strong
opposition from several of their most powerful pressure groups
(Ranney 1996:419).
(1) Which quotation implies the possibility of the use of force?
(2) Which quotation requires the voluntary consent of a state?
(3) Would the use of force involve
a possible loss of sovereignty, or
a possible limitation of sovereignty?
(4) Would an agreement or treaty voluntarily entered into possibly

involve
PLC102-S/1 79
a loss of sovereignty, or
the limitation of sovereignty?
There is a fundamental difference between a loss and a restriction of

sovereignty. Sovereignty is usually lost by means of the use of force. A
state loses its sovereignty when it becomes subordinate to another
state or another group that assumes authority. An example of this is
where another state can veto or overrule any of the affected state's
legislation. Treaties or agreements and membership of organisations
may limit sovereignty by imposing some obligation in accordance with
which a state has to act. The stationing of foreign troops for instance
does not affect a state's sovereign status, if the state's internal (de fac-
to and de jure) authority remains unchallenged.
4.6 WHAT IS THE FUTURE OF SOVEREIGNTY?
You may ask whether the notion of sovereignty is meaningless, a

legal fiction or a fact of political life. Does sovereignty have a future
in an international order characterised by the factual inequalities of
states and by the increasing cooperation in various spheres,
whether by membership of multinational organisations or treaty
agreements? Among the inequalities that might threaten sover-
eignty we could include material resources and the influence and
power these states are able to exert in diplomatic, economic and
military spheres, which may also lead to violent or nonviolent
intervention in a state's domestic affairs with a consequent violation
or loss of sovereignty. There is no ready answer to this question. It
does, however, seem clear that the desire of aspirant states for
independence remains a force which is to be reckoned with
internationally. From recent history you may recall many examples
of former colonies in Africa, Asia and the Carribean becoming
independent. The importance attached to sovereignty is also
demonstrated by groups or minorities within a state who demand
sovereignty or self-government mainly on the grounds of protecting
their interests and culture. Examples of communities who attached
importance to sovereign statehood in wishing to control their own
affairs rather than being dominated by or subordinate to another
state include the entities involved in the recent fighting in Croatia,
Bosnia-Herzegovina and Slovenia after the dissolution of Yugosla-
via; the Sikh community in the Punjab who seek regional autonomy
80
in India while extremists demand secession from the federation of
India; and the Irish in Northern Ireland who want a sovereign Irish
state to be accomplished by reintegration with Southern Ireland.
The Irish example is also one of contested sovereignty as the British
Protestant population of Northern Ireland wish to remain part of
the United Kingdom. Both sides argue that their claim is more
legitimate. It does seem paradoxical that while the inequality of
power and influence among states tends to make sovereignty
fictitious, the striving for sovereign statehood remains undimin-
ished.
To conclude
You have seen that the state can be characterised by people,
territory and government to which all or most people render
obedience. Sovereignty can be regarded as a characteristic of the
modern state. The development of the notion of sovereignty
partially reflects a shift from the sovereignty of the ruler to the
sovereignty of the state, and then still further to the sovereignty of
the people by way of consent. Sovereignty accordingly has acquired
various meanings and associations. Sovereignty primarily has a
legal meaning. A tension exists between formal, legal sovereignty of
a state and its practical, de facto sovereignty. International
recognition might be based on both de facto and de jure
sovereignty, but states could concede legal sovereignty while
doubting de facto sovereignty. Similarly, states could recognise de
facto sovereignty but dispute legal sovereignty. Although internal
and external de facto and de jure sovereignty go together, this need
not necessarily be the case.
Ideally, aspirant states should be able to demonstrate both internal

and external de facto and de jure sovereignty which must be
recognised by the international community. Nevertheless, the
demonstration of a state's sovereignty is not necessarily linked to
the influence or power that a state is able to exercise.
Despite the closer cooperation of states in the international political

system, for political and economic reasons the importance states
attach to maintaining or attaining sovereignty remains an influen-
tial factor in international relations. Although international recogni-
tion of a state is not vital for the existence of a state, recognition
offers opportunities for extending a state's influence and interests
internationally in political and economic fields.
PLC102-S/1 81
SELF-EVALUATION 4.1
The self-evaluation is based on the contents of this study unit.
. Distinguish between the various meanings attributed to the term
sovereignty.
. How would you define a sovereign state?
. Identify the loci of sovereignty.
. What are the prerequisites of a sovereign state?
. What factors play a role in the recognition of sovereign states?
. Is international recognition necessary for the sovereignty of a
state?
. What factors lead to the loss and the limitation of sovereignty?
. Why do states attach such importance to sovereignty?
SELF-EVALUATION 4.2
Study pages 35 and 55 of the book by Jackson and Jackson (1997) and
summarise the author's discussion of sovereignty and the state in five
sentences.
SELF-EVALUATION 4.3
Study pages 6±8; 47±61 of the book by Hague and Harrop (2001).
(1) How do the authors define the concept of sovereignty?
(2) According to the authors, what limitations does globalism place
on sovereignty of states?
TEST 4
QUESTION 1
Indicate whether the following statement on sovereignty is true or false.

false.
Though the term `sovereignty' is associated with terms like authority,
82
power, influence, government, equality and legitimacy, it (sovereignty)
should not be confused with these other terms.
1 True
2 False
QUESTION 2

false.
In practice there are no limitations on the sovereignty of a sovereign
state.
1 True
2 False
QUESTION 3
Indicate the correct option.

Sovereignty refers to a state that is
1 a member of a federation or union
2 a colony with a government, a population and territory
3 independent and exercises complete authority over its territory
4 a territory with limited self-government
QUESTION 4
Which one of the following statements is not a prerequisite of

sovereignty?
1 legal sovereignty
2 popular sovereignty
3 external sovereignty
4 political sovereignty
COMMENTS
QUESTION 1
This statement is correct. Even though it is associated with the other

concepts mentioned, it does not imply that it is the same. Revise study
unit 15 in this regard.
PLC102-S/1 83
QUESTION 2
This statement is false. In practice the sovereignty of a state may be

limited. Note for example the role of the United Nations during the
apartheid years in the affairs of South Africa.
QUESTION 3
The correct option is no 3. Sovereignty refers to a state that is

independent and exercises complete authority over its territory.
Members of a federation, a union, and colonies Ð although they have
governments, territories and populations, and territories with limited self-
government Ð are not sovereign because they do not exercise final
authority within their territories, and are not independent of other
external authorities.
QUESTION 4
The incorrect option is no 2. Popular sovereignty is not a prerequisite for

sovereignty. Legal and political (internal) and external (actual and legal)
sovereignty are prerequisites for a sovereign state. Popular sovereignty is
associated with democracy and more particularly with the locus of power.
BIBLIOGRAPHY
Finer, SE. 1984. Comparative government. Harmondsworth & New York: Penguin
Books.
Fowler, MR & Bunck, JM. 1996. What constitutes the sovereign state? Review of
International Studies 22(4).
Hanks, P (ed). 1979. Collins dictionary of the English language. London & Glasgow:
Collins.
Hannum, H. 1996. Autonomy, sovereignty, and self-determination. Philadelphia:
University of Pennsylvania Press.
Jackson, RJ & Jackson, D. 1997. A comparative introduction to political science. New
Jersey: Prentice-Hall.
Labuschagne, GS, Kriek, A & Muller, ME. 1993. International politics. Only study
guide for INT100±X. Pretoria: Unisa.
Lawson, K. 1989. The human polity: an introduction to political science. 2nd edition.
Maidment, R, Coates, D, Bradshaw, P & McLellan, G. 1993. Politics and power.
(Block 4.) Milton Keynes: The Open University.
84
McNaughton, N. 1996. Success in politics: a comparative study for advanced level.
London: John Murray.
Middleton, KWB. 1969. Sovereignty in theory and practice, in In defense of
sovereignty: a critique and an interpretation, edited by WJ Stankicwicz. New
York: Oxford University Press.
Pettman, R. 1991. International politics: balance of power, balance of productivity,
balance of ideologies. Melbourne (Austr) & Boulder (Col.): Longman Cheshire.
Lynne Rienner.
Ranney, A. 1996. Governing: an introduction to political science. 7th edition. New
Jersey: Prentice-Hall.
Raphael, DD. 1991. Problems of political philosophy. 2nd edition. Hampshire:
Macmillan Education.
Rautenbach, IM & Malherbe, EFJ. 1996. Constitutional law. 2nd edition. Durban:
Butterworth.
Strong, CF. 1973. Modern political constitutions: an introduction to the comparative
study of their history and existing forms. London: Sidgwick & Jackson.
Vincent, A. 1994. Theories of the state. Oxford (UK): Blackwell.
PLC102-S/1 85
T H E M E 4
THE MODERN STATE:

CONSTITUTIONS AND
CONSTITUTIONALISM
OVERVIEW
This theme is dealt with in two study units. The first of these deals with the theory and
principles of constitutionalism. This unit forms an introduction to the abstract ideas or
concepts which are considered to determine the nature and contents of a constitution. This
is followed by a more practical study unit which looks specifically at constitutions in
general.
CONSTITUTIONALISM
The most important aspect of constitutionalism is that it imposes limitations on the power
of the authorities. In the preceding themes we dealt with aspects such as the state's power,
authority and sovereignty. In this study unit we shall concentrate on the limitations which
should be imposed on the state to prevent it from abusing its powers. The underlying
premise in our discussions is that our ideal is a state which makes a democratic form of
government possible. We shall therefore not discuss truly autocratic situations.
The historical origin of constitutionalism is an important dimension of this subject. The
periods we shall be dealing with are the Middle Ages, the period of national unification in
Europe, the periods of decolonisation, the period following the Second World War and the
post-1989 period (the fall of Eastern Europe).
PLC102-S/1 87
CONSTITUTIONS
We begin by dealing with the nature of constitutions, including definitions, the different
forms they take and the fact that they regulate various relationships within the state.
A further section deals with the sources of constitutional rules, or in other words: where
are all the different aspects of a constitution to be found?
We then examine the most important elements which are to be found in most constitutions,
such as a declaration of ideals, a description of authority structures, checks and balances, a
bill of rights and the procedure for amending the constitution.
To sum up our discussion of the nature of constitutions and the elements they contain, we
have supplied a brief classification, followed by an examination of the functions of a
constitution.
The most important concepts used in this theme and briefly defined are the following:
KEY TERMS bill of rights judicial review

AND constitution law of nature
CONCEPTS constitutionalism Middle Ages
distribution of powers separation (or division) of
human rights powers
88
STUDY
UNIT 5
THE STATE AND

CONSTITUTIONALISM
INTRODUCTION
We have on several occasions referred to the concept of constitutionalism. In this study

unit we are going to look for an answer to the question: ``Why is constitutionalism
important to the state as political entity?'' In order to answer this question we have to look
at the following focus questions:
FOCUS What is the essence of constitutionalism?

QUESTIONS What are the historical origins of constitutionalism?
What limitations on power are there?
5.1 WHAT IS THE ESSENCE OF CONSTITUTIONALISM?
constitutionalism refers
All of you who have followed the recent political developments in
to rules in society in South Africa since 1990 will be very conscious of the importance of
accordance with which constitutions. You may not all have heard the term ``constitution-
political power is
exercised and
alism'', however.
restrictions are placed
on the use of power by Constitutionalism is closely related to concepts such as social
the government contract and the separation of powers of authorities, which you will
encounter in study unit 11. A constitution is the most visible form of
PLC102-S/1 89
a social contract of this kind between the population of the state and
the government.
The essence of constitutionalism may be regarded as
the existence of (written or unwritten) rules in society, in

accordance with which political power and authority is
exercised, where the rulers subject themselves to the rules
and where the rules provide for the restriction of the abuse of
power.
According to Jan-Erik Lane (1996:10), the essence of constitution-

alism is the idea of the restriction of state power.
Giovanni Sartori (1994:198) defines constitutions in the context of

constitutionalism as follows:
a constitution is the Constitutions are, first and above all, instruments of govern-
written and unwritten
rules which determine
ment which limit, restrain and allow for the control of the
the organisational exercise of political power.
nature of the state
Both Sartori and Lane emphasise the fact that constitutionalism is
applied where a state is established on the basis of a constitution.
The constitution determines the composition and functioning of the
state's institutions. However, in order to comply with the
requirements of constitutionalism, a constitution must contain
guarantees which restrict the abuse of power by institutions of
authority as far as possible. Typical examples of restrictions of this
separation of powers is
a doctrine according to kind are the inclusion of a bill of rights and the separation of powers
which no overlapping (trias politica) between the legislature, the executive and the
should exist between judiciary. This means that a constitution which permits an
the composition and
functions of the autocratic form of government does not comply with the principles
legislature, the of constitutionalism.
executive and the
judiciary The mere existence of a constitution therefore does not necessarily
mean that the principle of constitutionalism is being applied.
ACTIVIT Y 5.1
In state X students held demonstrations in support of a process of de-

mocratisation. The life state president ordered that the students
should be detained indefinitely and requested his Minister of Internal
Affairs to serve as judge at the students' trial. According to the state's
constitution their detention is not subject to judicial review by the
courts.
90
Please answer the following questions:
(1) Is the principle of the separation of powers of authority applied
in this state?
(2) Is this a democratic or an undemocratic state?
(3) Do you agree or disagree that the principle of constitutionalism
is applied in this state? Explain your opinion.
(4) Is the fact that the state is based on a constitution sufficient to
link it to the principle of constitutionalism?
In state X the principle of the separation of powers is not applied

because the Minister of Internal Affairs is a member of the
executive, but he also has to serve as the judge at the trial, so
exercising a judicial function. The state is definitely undemocratic
by nature because the State President's term of office is for life and
no elections are held for the post. Furthermore, no person can be
detained indefinitely in a democracy Ð especially if there is no
right of judicial review.
The mere existence of a constitution is no guarantee of constitu-

tionalism. Constitutionalism imposes restrictions on the govern-
ment's use of power. Some constitutions do not contain such
restrictions. State X's constitution is an example of a constitution in
which these restrictions are absent: the State President is elected for
life and is not subject to regular elections, the separation of powers
is not observed and there is no judicial review of the constitution.
We shall now take a look at the historical origin of constitution-

alism.
5.2 WHAT ARE THE HISTORICAL ORIGINS OF

CONSTITUTIONALISM?
As in the case of most concepts, there are differences of opinion

regarding the origin of constitutionalism. The following are the two
main streams of thought regarding its historical development:
The most general idea is that it began over 2 000 years ago
with the ancient Greeks and Romans. You can read more
about this in Jackson and Jackson 1997:17±19.
Sartori (1994:197) links constitutionalism to the first written
constitutions of the modern era: that of eg the former British
colonies in North America, namely Virginia, Maryland and
PLC102-S/1 91
Pennsylvania (1776), as well as the subsequent American
constitution (1787±1791).
Both approaches fail to consider the development of the forms of

state in a large part of the world. They assume that constitution-
alism can exist on a written basis only or that it is only reconcilable
with the Western tradition of state formation.
If we consider the essence of constitutionalism
the existence of (written or unwritten) rules in society, in

accordance with which political power and authority is
exercised, where the rulers subject themselves to the rules
and where the rules provide for the restriction of the abuse of
power
then other parts of the world, including Africa, could also be taken
into account. A relevant historical example of constitutionalism in
South Africa would be the lekgotla. Like the ancient Greeks, the
Zulus frequently convened a people's assembly or imbizo to advise
the Zulu monarch. A monarchy is not in conflict with constitu-
tionalism by definition, as long as it does not presuppose absolute
a constitutional power. Constitutional monarchies, such as the British or the
monarchy is one in which
there are limitations on Swedish monarch, or even the Lesotho king, embrace constitu-
the power of the tionalism.
monarch
A question we may ask ourselves is whether constitutionalism is
influenced by a particular context. In other words, are there
Eurocentric, Afrocentric and other forms of constitutionalism?
Edward McWhinney (1981:6±7) advances the following two

arguments on this question:
A constitution is generally neutral and can be made

applicable to any situation if
(1) it is merely regarded as the description of the basic
institutions of decision making in a state
(2) it identifies the alternative instruments which are
available for the implementation and application of
the decisions
A constitution begins to develop a historical specificity

(which means that it cannot be applied to all situations
throughout history, but only to specific historical situations)
if it includes stipulations regarding the following aspects:
92
(1) the manner and quality of decision making
(2) the content of actual decisions
Some examples of this are
Lord Dicey's concept of ``rule of law'' which arose from the

seventeenth century conflict between the British sovereign
(monarchy) and Parliament
the American Supreme Court interpretation of the constitu-
tional Bill of Rights, which was formulated relatively vaguely
and which has therefore been differently interpreted by the
Court over time
The second meaning is probably the most valid interpretation of

constitutionalism currently. In the context of Africa, an own
constitutional identity began to develop only in the 1990s. Since
most African states became independent, their constitutions have
been very strongly influenced by the former colonial powers and
have really been virtually pseudo-European.
With the passage of time, constitutionalism as a concept has not

retained the same meaning but has been subject to a process of
development. The development of constitutionalism may be
divided into the following periods:
mediaeval Christian influence

national unification
decolonisation and the period following the Second World
War
the post-1989 era
MEDIAEVAL CHRISTIAN INFLUENCE
The historical development of constitutionalism (especially the

constraints imposed on the government) was influenced by the
following factors:
the mediaeval dogma of the law of nature

the Christian dogma of personality as being of the greatest
worth Ð especially the dogma of the human soul, which
permitted no absolutism
PLC102-S/1 93
the Middle Ages is a During the Middle Ages (5th to 15th century after Christ) the
period in history during
which the Roman
Roman Catholic Church, headed by the Pope, was the dominant
Catholic Church played Christian institution.
a very important role.
The Enlightenment The Mediaeval dogma of the law of nature was aimed chiefly at the
followed the Middle justification of the Church's political power. The Church argued
Ages that political power was derived chiefly from God and conferred on
temporal political rulers, but that they remained responsible only to
God for the way they exercised that power. The Pope, as head of the
Church, therefore had a natural claim to that power. (Absolute
monarchs were later to use this argument in a different form, calling
it the divine right of kings.) (See the discussion in the introduction.)
The Christian dogma of personality as being of the highest value, in

the form in which it was used in the West, was especially applicable
in the period following the Middle Ages. This value means that the
individual's loyalty to the supreme being is the only absolute
loyalty that is possible. It cannot be replaced by an absolute loyalty
towards a worldly power, such as an absolute ruler. In their
worldly experiences, individuals must therefore be subject to an
authority relationship in which they are protected in order to be
able to fulfil their relationship with the supreme being. Carl
Friedrich (1968:8) explained the influence of the Christian dogma on
constitutionalism as follows:
Probably the most distinctive root of modern constitutionalism

is the Christian belief in the dignity and worth of each person,
each human being, no matter how lowly. For if we ask what is
the political function of a constitution, we find that the core
objective is that of safeguarding each member of the political
community as such a person. Each man is supposed to possess
a sphere of genuine autonomy. The constitution is meant to
protect the self; for the self is believed to be the (primary and
ultimate) value. This preoccupation with the self, noted in
Christian beliefs, eventually gave rise to the notion of rights
which were thought to be natural. Hence the function of a
constitution may also be said to be the defining and
maintaining of human rights. The constitution is to protect
the individual member of the political community against
interference in his personal sphere.
94
ACTIVIT Y 5.2
(1) In Friedrich's view, what is the connection between constitu-

tionalism and the Christian faith?
(2) Explain how the focus on the ``self''gave rise to the emphasis on
rights (human rights) ö especially natural rights.
Carl Friedrich argued that the Christian faith emphasised the

human dignity and worth of each individual. On the other hand a
constitution is also supposed to protect the person of every member
of the political community. According to Friedrich, there is an
overlap between the goal of the Christian faith and that of
constitutionalism in respect of their protection of the value of the
individual.
Because they both concentrate on the individual, the rights they

both confer are directed to the individual. Both draw on the law of
nature, which is the source of most human rights.
Friedrich's quote does not claim that Christian values are the origin
of constitutionalism. Rather, what it says is that the values on which
constitutionalism is based correspond to Christian values. Friedrich
places special emphasis on the autonomy of the individual, which is
to say that the individual should be restricted as little as possible by
external forces such as the state. One aspect of this autonomy is the
enjoyment of rights, especially human rights. In order to protect
individualism, restrictions must be placed on the power of the state.
A constitution is one of the most effective ways of defining and
enforcing these restrictions. Therefore, the individualism of the
Christian faith is directly reflected in the protection of the
individual in constitutionalism.
As the system of beliefs and values of Christianity (and especially

the Roman Catholic Church) weakened in the late Middle Ages and
secularism gained ground, the development of absolutism became a
possibility in England, and later in France and the other European
countries.
NATIONAL UNIFICATION
The next important moment in the development of modern
PLC102-S/1 95
constitutionalism was the national unification of states such as Italy
(under Cavour) and Germany (under Bismarck) during the period
from 1860 to 1870. Where there had formerly been no question of
consolidated states, a unified state with an effective central
government was created.
Britain, in contrast, had become a unified state considerably earlier.

It therefore had a far longer association with constitutionalism than
many other states. Modern constitutionalism is associated with the
establishment of the USA. Its constitution was finalised between
1787 and 1791. The reaction to the Napoleonic wars in Europe in the
form of the revolutions of 1830 and 1848 led to the formation of a
number of new states. In most cases this was accompanied by the
establishment of constitutionalism.
DECOLONISATION AND THE PERIOD FOLLOWING THE

SECOND WORLD WAR
The period following the Second World War (after 1945) was
characterised by decolonisation and the attainment of indepen-
dence by states in Africa, South-East Asia and Latin America, and
by the restoration or creation of states in Eastern Europe.
In the Eastern European states a form of popular democracy was

introduced in reaction to bourgeois democracy. In the presence of a
single dominant political party, constitutional checks and balances
and the separation of powers did not receive much recognition in
practice.
The first post-colonial constitutions in Africa, Asia and the

Caribbean Islands tended to borrow heavily from the constitutional
institutions and practices of the European colonial powers. The
emancipation process in most British colonial territories was linked
to the development of modes of government by the new, local
governing elite which had to be democratic but which were
inevitably also very much European-oriented. This copying of
European constitutional stereotypes which were not adapted to the
political and economic level of development of the states was an
important cause of later problems (McWhinney 1981:4±5).
Some of the states established a tradition of constitutionalism, but

many of them ended in military regimes or one-party states.
Constitutionalism was inhibited in this way, but it still had the
potential to develop if constitutional restructurings were possible.
96
THE POST-1989 ERA
With the fall of the Berlin Wall in 1989 and the disappearance of
most socialist regimes, together with the process of democratisation
in Africa, constitutionalism took root in many states.
Jan-Erik Lane (1996:4) sums this up as follows:
... a number of States have changed their constitutions in order

to introduce new institutions, as the democratization wave is
still strong. In addition there is the search for new economic
institutions as many countries have transformed their econom-
ic institutions in a basic way, with constitutional implications
replacing the command economy of various state dirigisme
systems with the institutions of the market economy.
At present there is virtually worldwide consensus that constitu-

tionalism is an ideal which is pursued by most states. According to
Giovanni Sartori (1994:200), this is in part due to the shift in the
behaviouralist conviction that constitutions are not important and
that open societies are rather the consequence of societal pluralism.
Lately, however, the state has been ``rediscovered'' and it is
accepted that it is wrong to view structures (especially constitu-
tional structures) simply as ``role patterns''.
Sartori's point of view may be understood as follows:
Behaviouralists like David Easton and Almond and Powell argued in the
1950s that the essence of politics is not to be found in the study of
institutions or state structures, but in the behaviour of individuals and
groups (behaviour). The nature of politics is therefore decided by the
interaction between the great variety (plurality) of political actors in
society. The higher the number of individuals and interest groups in-
volved, the greater the societal pluralism.
In the eighties a new institutionalism emerged and the importance of

the state as a political actor was rediscovered. States and constitu-
tions were therefore studied afresh to determine the nature of politics.
(You can read more about these approaches in Jackson & Jackson
1997:23^29.)
PLC102-S/1 97
ACTIVIT Y 5.3
Which of the following statements does NOT reflect the course of de-
velopment of constitutionalism?
(1) The national unification processes in Italy, Germany and Britain
had exactly the same implications for the development of con-
stitutionalism.
(2) During the period of decolonisation after the SecondWorldWar,
only some states in Africa, Asia and the Caribbean Islands suc-
ceeded in establishing a tradition of constitutionalism, which
had been absent during the colonial period.
(3) The post-1989 ideal of constitutionalism was partly the conse-
quence of the ``rediscovery'' of the state.
One of the biggest differences between the unification process in

Italy and Germany on the one hand and Britain on the other is that
unification in Britain took place far earlier than unification in Italy
and Germany. Britain also had a far longer tradition of constitu-
tionalism than Italy or Germany. The first option therefore does
NOT reflect the course of development of constitutionalism.
Very few of the states in Africa, Asia and the Caribbean Islands
which have constitutions really succeeded in establishing constitu-
tionalism through decolonisation. Many of them disintegrated into
one-party states or military regimes or built up a poor record of
human rights. The ``third wave'' of democratisation since the early
1980s has laid the basis for constitutionalism in some cases,
however.
The ``rediscovery'' of the state in the period since 1989 has also
placed more emphasis on constitutions. The need for constitution-
alism was felt in consequence.
5.3 WHAT LIMITATIONS ON POWER ARE THERE?

essential characteristic It should already be clear to you that one of the essential
of constitutionalism
characteristics of constitutionalism is the limitations which are
placed on the exercise of political power.
The following are some of the most important limitations:
It should not be possible to amend constitutions easily.
98
A bill of rights should be enforceable.
There should be a separation of powers.
Judicial decisions and judicial review should be applied.
It should not be possible According to Kenneth Wheare (1966:7) the nature of the limitations
to amend constitutions imposed on the government, and therefore the extent to which the
easily. constitution is dominant over the government, depends on which
aspects the draftsmen of the constitution wish to safeguard. One of
the most usual methods is to ensure that the constitution cannot be
amended too easily.
The chief protective mechanisms applied when a constitution has to

be amended are one or a combination of the following:
the requirement of a special majority in the legislative

assembly ( 2/3, 3/4 or another majority which is more than
50% + 1)
the holding of a referendum (as in Switzerland and
Australia)
the requirement of approval by a specific majority of the
states in a federation (Switzerland, Australia and the USA)
the requirement of approval by a special body created for the
purpose, such as a national convention
Other restrictions which are sometimes included are a specific

relationship between the legislature and the executive, or the
guarantee that the judiciary has a certain degree of independence
from the legislature and the executive, or that persons have certain
rights which the legislature or the executive cannot remove.
Some examples of such restrictions are the following: the American

constitution forbids Congress to adopt any legislation with retro-
active effect. The provisions regarding group rights in the Swiss and
Belgian constitutions are further examples of such restrictions.
The following kinds of limitations merit special attention:
a bill of rights
the separation of the powers of authority
judicial decisions and review
PLC102-S/1 99
BILL OF RIGHTS
a bill of rights is a A bill of rights is intended to entrench the fundamental rights of
document or section of
a constitution in which individuals, and occasionally also of groups. These rights can only
fundamental rights of be effective if they can be enforced by the judiciary, that is to say, if
individuals and groups judicial review is applied. Authoritarian systems frequently contain
are described and
guaranteed
a bill of rights, but it is not enforceable by means of judicial review
and is therefore not an effective restriction on power.
human rights are Human rights are not regarded as purely an internal affair of a
fundamental rights
which are conferred on particular state. If they are systematically ignored, the international
people to regulate the community can become involved, as in the case of apartheid in
relationship between the South Africa and the war crimes in Bosnia. Human rights abuses
state and the
population
are monitored internationally by groups such as Amnesty Interna-
tional and Freedom House.
Examples of bills of rights are the United Nations' Universal

Declaration of Human Rights (1948), the English Bill of Rights, Magna
Carta (1215) and Habeas Corpus (1641), the American Bill of Rights
(the first ten amendments to the constitution adopted in 1791), the
French Declaration of the Rights of Man and of the Citizen (1789), the
Organization of African Unity's African Charter on Human and
People's Rights (Banjul Charter, 1981), the International Charter of
Economic, Social and Cultural Rights and Chapter 2 (Fundamental
rights) in the South African constitution.
These rights are justified in various ways. The sources of the rights
may be seen as the following:
divine authority
the law of nature
human justice
Divine authority
Human rights are regarded as inalienable because they are derived

from a source higher than man (supernatural). This source may be
God. The best example here is the following passage from the
American Declaration of Independence (4 July 1776):
We hold these truths to be self-evident, that all men are created

equal, that they are endowed by their Creator with certain
unalienable Rights, that among those are Life, Liberty and the
Pursuit of Happiness. Ð That to secure those rights, Govern-
ments are instituted among Men, deriving their just powers
100
from the consent of the governed. Ð That whatever any Form
of Government becomes destructive to these ends, it is the
Right of the People to alter or to abolish it, and to institute new
Government, laying its foundation on such principles and
organizing its powers in such form, as to them shall seem most
likely to effect their Safety and Happiness.
The law of nature

natural law is based on
the assumption that The law of nature, as interpreted by John Locke, depends on the
the divine creation assumption that God created nature and that the law of nature is
determines law implicit in the divine creation. It need not be articulated in specific
divine moral decrees Ð as embodied in religions. Therefore it need
not refer to a specific divine source.
Locke is also associated with the social contract. The reason he gave
why individuals should subject themselves to the authority of a
state is to safeguard their personal rights to life, liberty and
property which by nature belong to all people in an equal degree,
simply because they are people.
A good example of this approach is the following passage from the

French Declaration of the Rights of Man and of the Citizen (1789):
The aim of every political association is the preservation of the

natural and imprescriptible rights of man. These rights are
liberty, property, security, and resistance to oppression. Any
society in which the guarantee of the rights is not secured, or
the separation of powers not determined, has no constitution at
all.
Human justice
Human rights are very closely associated with civil liberties. This
has its origin in liberalism, in which the individual is the primary
concern. No supernatural entity (such as a religion) is accepted by
liberalism as the source of moral convictions.
Human rights are regarded as a right on the grounds of people's

humanity and because the value of people is higher than that of any
institution or commodity.
PLC102-S/1 101
ACTIVIT Y 5.4
Which of the three sources of human rights discussed here is re-

flected in the following view on Britain expressed by Lord Dicey
(1987:207)?
... it suggests the notion that personal liberty is a special privilege
insured to Belgians by some power above the ordinary law of the
land. This is an idea utterly alien to English modes of thought,
since with us freedom of person is not a special privilege but the
outcome of the ordinary law of the land enforced by the courts.
Lord Dicey drew a distinction between the supernaturalistic

sources Ð such as divine authority or the law of nature Ð which
according to him are applied in Belgium and the naturalistic
sources, such as human justice. According to him, human rights in
Britain are based on human justice and are therefore not
fundamental rights Ð as in the USA or South Africa Ð which
claim a status superior to other rights.
As a result of this culture, Britain today is the one member of the

European Union which has experienced the most problems during
the past few years with contraventions of basic human rights in
terms of the European Convention on Human Rights, especially
regarding security matters.
categories of human A restricted interpretation was originally given to human rights; the
rights
term referred to the basic rights and freedoms, such as the right to
life, freedom of speech, and the rights of association and of
movement. Today we speak of three generations of rights: firstly
these basic rights, secondly, group rights and thirdly, rights such as
the right to a safe environment and other ecological rights.
Rights can be divided into two groups according to their nature:
those that impose limitations on governments

those that impose obligations on governments
These rights can be further divided into the following groups:
Guarantees of the freedom of action. Examples are the prohibi-

tion of slavery, freedom of movement, the right to vote and
the right to assemble peacefully.
Protection of conviction and expression. What is in question here
102
is freedom of speech and of the press; and freedom of
conviction, religion and belief.
Protection of persons accused of a crime. This refers to the rule of
law and Habeas Corpus rules, such as restrictions on detention
without trial; equality before the law, and the right to a
speedy trial.
Guarantees for property rights. This refers to the right to own
and use private property, the right to the protection of patent
rights and copyright; and just compensation for the
expropriation of property required for public use.
ACTIVIT Y 5.5
In each case, determine whether the following human rights impose a

limitation or an obligation on the government:
(1) No person shall be subjected to torture or inhumane treatment.
(2) The Nigerian constitution of 1979 stipulated that accused per-
sons should be given sufficient time to prepare their defence,
and that they should be permitted to defend themselves in per-
son or through a legal representative of their own choice.
(3) Legislation with a retroactive effect on criminal offences may
not be adopted.
Restrictions on powers of authority, which determine what a

government may or may not do, are the oldest form of human
rights. A prohibition forbidding torture is therefore clearly a
restriction on power. A further example of a restriction is that on
the effect of legislation. Legislation may only apply to actions that
will take place after the legislation has been adopted. A person may
therefore not be guilty of an offence if it has not yet been defined as
an offence in terms of legislation at the time when the offence was
committed. The person must have been aware that the act he or she
was committing was an offence at the time when he or she
committed it.
A human right in the form of an obligation usually compels a

government to ensure that certain rights of persons are respected
and safeguarded. The Nigerian case, where the government is
obliged to ensure that an accused person is able to conduct his or
her defence properly, is an example of such an obligation.
PLC102-S/1 103
THE SEPARATION OF GOVERNMENT POWERS
the separation of The separation of government powers usually takes the following
government powers
two forms:
note the use of the a functional division between the legislature, the executive
term goverment to refer
to authorities
and the judiciary Ð the trias politica
a territorial division or division of power between the tiers of

government in federal or unitary states or confederations.
The focus in this section falls on the functional division of
powers.
reasons for a There are two reasons for a functional division of powers: the
functional division
maintenance of freedoms, and the fear of a concentration of power.
The separation of power is the greatest guarantee of the
1 Maintenance of
freedoms
maintenance of freedoms. In the eighteenth and nineteenth
centuries there was consequently insistence on a division between
the legislative, the executive and the judicial powers. A further
motivation for the separation of powers is the fear of the
concentration of power in one branch of authority Ð generally
the executive authority. In most autocratic systems the legislative
and judicial authorities are subject to the executive authority
(generally a dominant president). According to Peltason (1979:24),
the separation of powers in the American constitution is also aimed
at preventing any segment of the population from gaining absolute
control over the authorities. The intention was that, if each branch
of authority should be made answerable to various groups, a
variety of interests would be reflected. The American constitution is
a good example here. The architects of the American constitution
made the following statement in the Federalist:
The accumulation of all powers, legislative, executive, and

judicial, in the same hands, whether of a few or many, and
whether hereditary, self-appointed, or elective, may be justly
pronounced the very definition of tyranny.
In British and South African constitutional practice no absolute

separation is maintained. Most members of the cabinet (executive
authority) also have to be members of parliament (legislative
authority). (See study units 8 and 9.)
2 Fear of concentration The practical application of the principle of the separation of
of power
powers is often problematic, because it is sometimes necessary to
combine some duties which have been assigned to different
institutions in terms of the constitution, in order to fulfil the task
104
of government. This places a great deal of pressure on the
constitutional principle that what the constitution assigns to an
authority cannot be taken away, and that each authority should
fulfil its own task.
JUDICIAL DECISIONS AND REVIEW

judicial decisions and If the separation of powers is applicable, the judiciary is not subject
review
to the legislature or the executive. Where constitutionalism is
applicable, the constitution is the highest authority and it is the task
of the judiciary to safeguard and interpret the constitution.
judicial review is the Judicial decisions and review involve the following two related
power of the judiciary to
weigh legislation, aspects:
executive and
administrative acts interpretation of the constitution
against the enforcement of the constitution
constitution
Constitutions are usually formulated in rather vague terms in order

to avoid tying them to a particular period. The kind of interpreta-
tion required often amounts to an expansion of the constitution or
even policy-making. The application of a bill of rights is particularly
subject to this.
state
vertically
horizontally
individual/ individual/
group group
horizontally applicable A bill of rights determines whether the constitution is horizontally

or vertically applicable or applicable on both levels. Horizontally
means that the rights are applicable to the relationship between
individuals and groups, but not to the relationship between them
vertically applicable
and the state or government. Vertically means that the rights are
only applicable to the relationship between the state/government
and individuals/groups. The safeguarding of rights between
individuals is therefore excluded. In the case of South Africa the
rights are applicable both vertically and horizontally in the final
constitution.
PLC102-S/1 105
To conclude
Constitutionalism has become an important mechanism in humans'
attempt to make the exercise of power just and impersonal.
TEST 5
(1) In the following case, is constitutionalism (a) applied or (b) not
applied at all?
The constitution of state A includes a chapter on human rights.
These rights cannot be enforced by the courts, however, and are
also only applicable between individuals. They do not apply in any
sense to the relationship between the authorities and individuals.
(2) Decide whether the following statement is (a) true or (b) false:
false:
The historical origin of constitutionalism is usually linked to the
Western tradition of state formation.
(3) Which of the following statements does NOT reflect the course of
development of constitutionalism?
(a) The national unification processes in Italy, Germany and
Britain held different implications for the development of
constitutionalism.
(b) During the period of decolonisation following the Second
World War, all the states in Africa, Asia and the Caribbean
Islands succeeded in establishing a tradition of constitu-
tionalism, which had been absent during the colonial period.
(c) The post-1989 ideal of constitutionalism is partially the
result of the ``rediscovery'' of the state.
(4) Fill in the missing words in the following statements, which concern
bills of rights:
A bill of rights is intended to safeguard the (a) ............... rights of
individuals. If human rights are systematically ignored, the
international community can become involved, as in the case of
(b) .............. . The following are three sources of human rights:
(c) ............... .
(5) Determine whether the following human right imposes a (a)
limitation or (b) an obligation on the state:
The Nigerian constitution of 1979 stipulates that accused persons
should be given sufficient time to prepare their defence.
(6) Determine whether the separation of powers in each of the following
cases means a (a) functional or (b) a territorial division of power:
106
ii(i) A policeman (executive officer) arrests a burglar, but is not
permitted to decide whether he or she has been guilty of a
crime, and if so, what his or her sentence will be.
i(ii) A local authority wants to build a dam in order to alleviate
the water shortage at the town, but is ordered to find out
first whether this is in line with provincial policy on water
use.
(iii) The constitution provides that a member of parliament
cannot simultaneously be an executive officer in the service
of the national or provincial administrations.
(iv) In the USA a person who has committed a speeding offence
in one state (provincial area) cannot be penalised for it in
another state.
(7) Decide whether the following statement on judicial decisions and

review is (a) true or (b) false:
false
The fundamental right to citizenship (no citizen may be deprived of
his or her citizenship) is a horizontal application of human rights
because it affects the relationship between individuals.
(8) Indicate which statement on constitutionalism is incorrect.
incorrect.
The essence of constitutionalism implies that
1 there should be a written constitution
2 there should be restrictions on state power
3 political power and authority should be exercised according
to rules that prevent the abuse of power
4 the existence of a monarchy does not necessarily conflict
with the idea of constitutionalism
(9) Indicate which statement is the most correct.

correct.
A bill of (human) rights is important to the idea of constitu-
tionalism because a bill of rights
1 promotes the fundamental rights of individuals
2 has a divine origin only
3 guarantees the natural rights of humans
(10) Which one of the following statements does reflect the process of
the development of constitutionalism?
1 During the period of decolonisation after the Second World
War, only some of the states in Africa, Asia and the
Caribbean succeeded in cultivating a tradition of consti-
tutionalism that was absent in the colonial period.
2 The national unification processes in Italy, Germany and
PLC102-S/1 107
Britain had the same implications for the development of
constitutionalism.
3 The post-1989 ideal of constitutionalism is not partially a
consequence of the ``rediscovery'' or return of the state.
COMMENTS
(1) (b)
(2) (a)
(3) (b)
(4) (a) fundamental
(b) apartheid or the crimes in Bosnia
(c) divine authority; law of nature; human justice
(5) (b)
(6) ii(i) (a)
i(ii) (b)
(iii) (a)
(iv) (b)
(7) (b)
(8) The appropriate option is no 1. The principles of constitutionalism
may exist in the absence of a written constitution. An example in
this regard is Britain. Remember that the most important aspect
of constitutionalism is that it imposes limitations on the power of
the authorities.
(9) The most correct option is no 1. It may however happen that under
certain circumstances human rights may still be violated, even
though a bill of rights may exist. The other options may also be
correct under certain circumstances but they do not directly
involve human rights.
(10) The appropriate option is no 1.
As explained only some of the newly independent states
(after decolonisation) developed principles of constituional-
ism.
SOURCES
Dicey, AV. 1987 (1885). An introduction to the study of the law of the constitution.
10th edition. London: Macmillan.
Friedrich, CJ. 1968. Constitutional government and democracy. London: Blaisdell.
108
Saddle, NJ: Prentice-Hall.
Lane, Jan-Erik. 1996. Constitutions and political theory. Manchester & New York:
Manchester University.
McWhinney, E. 1981. Constitution-making: principles, process, practice. Toronto:
University of Toronto.
Peltason, JW. 1979. Understanding the constitution. 8th edition. New York: Holt,
Rinehart & Winston.
Ranney, A. 1975. The governing of men. 4th edition. Hinsdale, Ill: Dryden.
Sartori, G. 1994. Comparative constitutional engineering: an inquiry into structures,
incentives and outcomes. London: Macmillan.
Wheare, KW. 1966. Modern constitutions. London: Oxford University.
PLC102-S/1 109
STUDY
UNIT 6
THE STATE AND

CONSTITUTIONS
INTRODUCTION
In the previous study unit ample reference was made to constitutions. In this study unit we
are going to look for an answer to the question: ``What are the characteristics of a
constitution?'' In order to answer this question we will have to answer the following focus
questions.
FOCUS What is a constitution?

QUESTIONS What is the relationship between constitutions and constitu-
tionalism?
What are the origins of constitutional rules?
What are the contents of constitutions?
How do we classify constitutions?
What are the functions of constitutions?
6.1 WHAT IS A CONSTITUTION?
You will probably have read in the newspapers from time to time
about the amendment of the constitution of a state, or about a
certain pronouncement made by a constitutional court. In this study
110
unit we shall be asking ourselves what a constitution is, what its
status is, what it involves and how it can be amended.
In this section we shall be looking at the following aspects:
definitions of a constitution
the forms of constitutions
the observance of constitutions
how a constitution defines interrelationships
DEFINITIONS OF A CONSTITUTION
definitions of the Firstly, we can look at a number of definitions of a constitution.
concept of constitution
They are complementary, therefore we cannot simply choose the
one that seems the most acceptable.
Austin Ranney (1975:263):

``... a constitution is the whole body of fundamental rules,
written and unwritten, legal and extralegal, according to
which a particular government operates.''
RN Gilchrist (1952:226):
``The constitution of the state may be defined as the
fundamental rules which regulate the distribution of powers
in the state or which determines the form of government.''
Lord Bryce (in Strong 1966:135):

``... a frame of political society organised through and by
law, that is to say, one in which law has established
permanent institutions with recognised functions and
definite rights.''
Kenneth Wheare (1966:1):

``... it is used to describe the whole system of government of a
country, the collection of rules which establish and regulate
or govern the government.''
Jackson & Jackson (1997:195):

`À constitution provides the highest set of principles or laws
in a country, creating the structures used in the resolution of
conflict and imposing obligations on citizens and rulers. ... In
modern times a constitution is said to include both
normative guidelines and practical rules for governing.''
PLC102-S/1 111
Giovanni Sartori (1994:198):
``... constitutions are, first and above all, instruments of
government which limit, restrain and allow for the control of
the exercise of political power.''
We can conclude from these definitions that a constitution
is a set of fundamental rules, that is, rules which enjoy a

higher status than any other rules (or legislation) in society
may exist in written or unwritten form
is a set of rules which determine how a government and
other authorities should function and how powers in society
should be distributed
determines the form of the state (federal, unitary or
otherwise)
creates permanent institutions of authority and that it is the
function of these institutions to mediate conflict and enforce
the population's obligations towards the authorities
FORMS OF CONSTITUTIONS
forms of constitutions It is generally accepted that constitutions may take either of the
following two forms:
it may be written or unwritten

it may consist of a formal document of formulated rules, or
rules and usages which have developed in practice and are
continuing to function in that way (Lane 1996:5)
The difference between the written and the unwritten form of a

constitution will be discussed in more detail later. We shall,
however, look at a few aspects of written and unwritten
constitutions at this stage.
Written constitutions are those embodied in a single document or

law. An example would be the Constitution of the Republic of South
Africa, Act 108 of 1996. This document is known as the constitution.
Since the eighteenth century Ð especially as a result of the
American Revolution (1776) and the French Revolution (1789) Ð
it has become standard practice for constitutions to function in a
written form.
States which do not have a constitution in the form of a single,
112
formal document tend to have other written documents which take
the place of a written constitution and therefore enjoy constitutional
status. Examples of unwritten constitutions are those of the United
Kingdom (Britain), New Zealand up to 1986, Israel and Saudi
Arabia. In the case of Britain the following written documents form
part of the constitution: Magna Carta (1215), the Habeas Corpus Act
(1679), the Bill of Rights (1689) and the Reform Acts in terms of which
franchise was expanded.
In addition to the various written documents, an unwritten

constitution can also consist of other constitutional rules, such as
common law, conventions or customs and other constitutional
practices. (We shall deal with this in more detail later on.)
In the second distinction which he draws between the two forms of

constitutions, Lane (1996) speaks of constitutions as they developed
in practice. The most important point is that the mere existence of a
written constitution is no guarantee that the state will be governed
in accordance with the principles of the constitution. In the case of
authoritarian governments this frequently does not happen. (An
authoritarian government is government by a single person or
small group that does not follow democratic methods of govern-
ment. A totalitarian government is a more extreme form of
authoritarian government and usually uses a specific ideology to
justify its undemocratic methods and also prohibits all opposition
groups Ð see again study unit 1.)
With the exception of states where anarchy or civil war prevails, or

``young'' states, all states apply some form of constitutional
practice. According to Lane (1996), this practice need not be in
accordance with the formal, written constitution, but it does mean
that the state is governed according to certain constitutional
principles (although they may differ from those in the written
constitution). In a state of this kind the constitution would refer to
the actual way in which the state is governed, that is, the regime or
set of fundamental state institutions.
OBSERVANCE OF CONSTITUTIONS
You should note that the mere existence of a written constitution

does not mean that its contents will necessarily be respected. A
constitution is therefore no guarantee of a democratic government.
Wheare (1966:4) points out that constitutions are treated with
contempt in many states. Military regimes have even abolished
PLC102-S/1 113
constitutions, and authoritarian governments often simply ignore
them. In most of these cases the executive arm of the government is
regarded as superior to the constitution. Only in states which
subordinate themselves to the restrictions of constitutionalism (see
study unit 5) is the constitution the highest authority.
The current ``third wave'' of democratisation (according to Samuel

P Huntington 1991) which has been taking place since the seventies,
especially in Southern Europe, Africa, Latin America and South-
East Asia, has concentrated largely on constitutional changes which
impose restrictions on the government, so furthering democracy.
The constitutional negotiations in South Africa provide a good
example of this.
INTERRELATIONSHIPS
Constitutions also define relationships: between the authorities and

the population, between various authorities, and between members
of the population. An important instrument in such definition is a
bill of rights. These relationships may be defined as follows:
Relationships between the authorities and the population. A

constitution is a modern form of social contract which
establishes a relationship of rights and obligations between
the government and the individual or group. The vertical
action of a bill of rights is aimed chiefly at this.
Relationships between various authorities. A constitution deter-
mines the degree of separation of powers between the
legislative, the executive and the judicial authorities.
Furthermore, it determines the distribution of powers and
functions between the central, the regional and the local
authorities and is also the deciding factor in whether the
state in question is a federal or a unitary state. The following
are examples of constitutions in which this is expressly
stated:
`Ècuador is a sovereign, independent, democratic and
unitary State'' (Constitution of 1978).
``Nigeria is one indivisible and indissolvable Sovereign State

to be known by the name of the Federal Republic of Nigeria''
(Constitution of 1979).
114
``The Indonesian state shall be unitarian and with a
republican form of government'' (Constitution of 1959).
``The Republic of South Africa is one, sovereign, democratic

state'' (Constitution of 1996).
Relationships between individuals. A constitution also regulates

relationships between individuals, especially if the bill of
rights makes provision for a horizontal application.
ACTIVIT Y 6.1
Which of the following statements is NOT part of the description of a

constitution?
(1) A constitution creates permanent institutions of authority.
(2) All states may have constitution, irrespective of whether they
are democratic or authoritarian.
(3) If a state does not have a written constitution, it is normally
customary to have other written documents which can partly
replace the constitution.
(4) A constitution is a modern form of social contract because it
defines the relationships between governments.
A constitution is indeed a modern form of social contract. Although

one of the functions of a constitution is to define the relationship
between authorities (as between the legislative, the executive and
the judicial institutions), this is not the essence of a social contract.
The social contract, as a philosophical concept explaining the origin
of the state (especially as used by Hobbes, Locke and Rousseau),
focuses on the relationship between the authorities and the
population in order to regulate the relationship between individuals
or groups.
We shall now examine the relationship between constitutions and

constitutionalism.
6.2 THE RELATIONSHIP BETWEEN CONSTITUTIONS AND

CONSTITUTIONALISM
Constitutions can be used in any form of government Ð from the

most democratic to the most authoritarian. It can therefore not be
PLC102-S/1 115
argued that no constitution exists if there is a poor or undemocratic
constitution.
Constitutionalism, on the other hand, is more than simply theories

on constitutions. Instead it is a specific set of ideas on the kinds of
constitutional principles that should apply in a state. In study unit 5
you were introduced to the idea of constitutionalism as the way in
which restrictions are imposed on the exercise of government
power.
You will deduce from this that not all constitutions comply with the
principles of constitutionalism. Constitutionalism refers to the
normative guidelines with which a democratically oriented
constitution must comply.
6.3 THE SOURCES OF CONSTITUTIONAL RULES
Where would one look for the rules governing a constitution? We

could go to the following sources:
written and unwritten rules

organic rules
judicial decisions
constitutional customs and conventions
religious rules
WRITTEN AND UNWRITTEN RULES

written and unwritten In the definitions of a constitution you have already been
rules
introduced to the distinction between a written and an unwritten
constitution.
Most constitutions in operation at present exist in a codified and

written form. The best-known exceptions are Britain, Israel, Saudi
Arabia and New Zealand up to 1986. The reason, according to CF
Strong (1966), why most constitutions occur in a written form is that
the population wants to know that an exact formulation of their
rights exists which stipulates, among other things, how their rights
should be protected and what restraints should be imposed on the
actions of the government. Both the government and the population
normally require a clear exposition of the form of government,
which should restrict arbitrary action to a minimum.
116
Most traditional political systems did not have written constitu-
tional rules. In numerous autocratic systems written rules do exist
but they are ignored. An example of this was the contravention of
human rights in the Soviet Union under the government of Stalin.
Unwritten constitutions are not less constitutional in nature than

written ones. In the case of Britain, Edmund Burke was of the
opinion is that the basic rules of government are at least as well
understood and complied with as in the case of states with written
constitutions.
The biggest difference between the two types of rules is that the
unwritten rules are more flexible but less stable than written rules.
Lord Bryce's conclusion (in Ranney 1975:262±263) was that all
written constitutions are partly unwritten as well (with the
unwritten parts taking the form of conventions or customs) and
that parts of unwritten constitutions are contained in written,
official documents.
ORGANIC RULES
organic rules Giovanni Sartori (1994:202) is of the opinion that constitutions must
determine how norms should be created (ie lay down a procedure)
and not what the norms should establish. A constitution should
therefore not determine the content of government policy but
should merely lay down the procedures according to which policy
should be established.
The function of organic rules follows from the fact that virtually no
constitution spells out all the particulars of the institutions of
authority. The gaps are usually filled by rules (ordinary legislation)
which are subsequently adopted by the legislature. This ordinary
legislation Ð known as organic rules Ð is considered to be almost
as important as the constitution itself.
An example is section 46(2) of the new South African constitution

which stipulates that the number of members of the National
Assembly will be determined according to a formula laid down by
ordinary legislation. The constitution itself does not determine the
number of members.
PLC102-S/1 117
JUDICIAL DECISIONS
judicial decisions Written constitutions and organic rules are frequently formulated in
ambiguous language. There is often uncertainty as to how they
should be applied in a specific situation. The constitution should
therefore be interpreted.
Those sections which are controversial or ambiguous are usually

debated in a court of law, the eventual result being a judicial
decision or interpretation. (This is, however, only applicable in
states where the constitution is the highest authority [constitutional
sovereignty] and where the judiciary has the authority to interpret
it.) It is not always at the sole discretion of the courts to interpret a
constitution, but their decisions are nevertheless usually author-
itative (that is to say they can be enforced). Court decisions are
usually put in writing and can therefore be used subsequently as a
source of constitutional rules.
Judicial decisions must be distinguished from judicial review.

Judicial decisions are concerned with the interpretation of ambig-
uous aspects of a constitution. Judicial review means that the courts
of law have the power to test legislation or acts performed by the
executive against the constitution and declare them invalid if they
are unconstitutional, that is if they are in conflict with an aspect of
the constitution. Not all constitutions which make provision for
judicial decisions (mainly by a constitutional court) also make
provision for judicial review.
CONSTITUTIONAL PRACTICES AND CONVENTIONS

constitutional practices The sources discussed so far are all written sources and therefore
and conventions
easy to verify. Constitutional conventions are usually unwritten
practices which have developed into a tradition over time. They are
considered to be an inherent part of the constitution, but are not
necessarily always enforceable by the courts (Ranney 1975:268).
Some constitutional practices are to be found in written form in

unofficial publications such as commentaries by jurists and
academics. Some examples are Lord Dicey's An introduction to the
study of the law of the constitution (1885) or Lord Bryce's
commentaries on British constitutional practices.
The following are some examples of constitutional practices:
The formation of the Intergovernmental Forum, consisting of
118
the provincial premiers and the national cabinet ministers,
during the operation of the interim constitution in South
Africa (1994±1996). Provision is made in the final constitu-
tion (1996) for a formal statutory status for the forum.
The formation of a cabinet by the Prime Minister under the
British system of government. The convention is that after a
general election the British monarch asks the leader of the
majority party to form a government or an executive. The
convention is therefore that the executive should take the
form of a cabinet.
The American constitution provides that the American
President should be elected by the electoral college.
Presidential elections are held in all the states, and each of
the 50 states then sends representatives to the electoral
college in proportion to the size of the population of that
state. The convention is that the way the representatives vote
in the electoral college is dictated by the election results in
their states, and not by their personal political choices. The
candidate who has obtained the majority of votes in the state
therefore gets all the votes of the representatives of that state
in the electoral college, and not merely a proportional
number of votes.
RELIGIOUS RULES
religious rules States with a strong religious character sometimes use religious
laws and rules when drawing up their constitutions or supreme
law. Three kinds of examples (apart from Christian values as
already discussed) can be mentioned here:
Islam. The Shariah is an important source of Islamic law. It is

derived from the Quran, the Sunnah or the traditional
authority of the Prophet, the ijma or consensus of the
Moslem community and the kiyas or juridical reasoning
which makes use of analogy.
Examples of states which use the Shariah are Saudi Arabia,
the constitution of Iran (1979) and the amended constitution
of Pakistan (1973 and 1986) (Lane 1996:121±122). As part of
the unwritten constitution of Saudi Arabia, the following
three constitutional elements were introduced in March 1992:
the Basic System of Government, the Consultative Council
(or System of the Majlis al-Shoura) and the provincial system,
PLC102-S/1 119
which is based on the Islamic Sharia. According to the Basic
System of Government, the constitution of the state is based
on the Quran and the Sunnah.
(You can read more about Islam in Jackson & Jackson

1997:128±132.)
Judaism. The constitution of the state of Israel is unwritten,

partly because it is argued that the state had a religious
origin which is described in official religious sources such as
the Talmud. These religious sources are the highest authority
and constitutional practices should therefore be derived from
them. A number of organic or fundamental laws have been
formulated to supplement these principles. Nine Basic Laws
of this nature have been adopted so far.
Confucianism. Based on the teachings of the Chinese scholar
Confucius (551±479 BC), Confucianism is a philosophy or
attitude to life rather than a religion and is an important part
of the substructure of political and constitutional thinking in
states such as the two Chinas and Japan.
Confucianism is based on the principles of respect for
authority, loyalty and obedience; close familial ties and
greater emphasis on the family than on the individual; a
search for consensus; and absolutism instead of democratic
values. Centralised political leadership, loyalty to the leader-
ship, a search for consensus rather than the encouragement
of an effective opposition and an emphasis on self-discipline
have had the effect of making states like Singapore and Japan
some of the fastest developing states since the Second World
War.
(You can read more about Confucianism in Jackson &

Jackson 1997:132±134.)
ACTIVIT Y 6.2
Which of the sources of a constitution apply to the following hypothe-

tical case?
In 1980 a political party in New Zealand applied for a court judgement.
This arose from a situation in which it was alleged that a member of
the electoral college which had to elect the prime minister had not fol-
lowed the convention which had arisen over the years, namely that of
voting for the candidate who had obtained the majority of votes in the
120
electoral district. The member contended that another practice ex-
isted whereby the members of the electoral college were permitted
to vote according to their own preferences.
The first issue is whether we are dealing with written or unwritten

rules. The fact that the incident took place in New Zealand before
1986 means that the constitution was still unwritten.
The second issue is to decide which one of the two practices is really
valid. We are therefore dealing with constitutional practices and
conventions as a source of constitutional rules Ð and these are
usually also unwritten. The fact that the case was referred to a court
of law means that the court had to decide which of the conventions
enjoyed constitutional status. A decision or court judgement of this
nature is usually given in writing.
This would mean that an unwritten constitutional convention could

take on a written form through the judicial judgement. In this case,
therefore, both unwritten convention and judicial judgements are
sources of a constitution.
6.4 THE CONTENT OF CONSTITUTIONS
What is one supposed to find in a constitution, and what subjects

are usually not covered in a constitution? We again refer you to the
view expressed by Giovanni Sartori (1994:202) that a constitution is
supposed to lay down norms governing political procedures. No
content should, however, be given to the procedures in the sense
that the constitution embodies the policy of a certain government or
political party. Policy must be able to change from time to time, but
a constitution must be of a more permanent nature.
The following are therefore more general elements of the contents of

constitutions:
a declaration of ideals
a description of government structures
checks and balances
a bill of rights of individuals and groups (fundamental rights
and human rights)
amendment procedures
PLC102-S/1 121
A DECLARATION OF IDEALS
a declaration of ideals A constitution is not simply a set of rules and procedures; it also
contains declarations of general ideals and goals which are intended
to set the tone of the whole document. This generally takes the form
of a preamble or manifesto which is placed right at the beginning of
the constitution.
The following are examples of such declarations:
Constitution of the former Soviet Union of 1936 (Ranney

1975:271):
``The political foundation of the USSR is the Soviets of the
Working People's Deputies, which grew and became strong
as a result of the overthrow of the powers of the landlords
and capitalists and the attainment of the dictatorship of the
proletariat.''
American constitution of 1789 (Ranney 1975:271):

``We, the People of the United States, in Order to form a
more perfect Union, establish Justice, insure domestic
Tranquillity, provide for the common defense, promote the
general Welfare, and secure the Blessings of Liberty to
ourselves and our Prosperity, do ordain and establish this
Constitution for the United States of America.''
Nigerian constitution of 1979 (Joye & Igweike 1982:48±49):

Sections 14 to 22 contain the ``Fundamental Objectives and
Directive Principles of State Policy''. No distinction is made
between the two categories. The ``Fundamental Objectives''
identify the long-term objectives and ideals which should be
pursued, including objectives relating to political, economic,
social, educational and foreign affairs. The ``Directive
Principles'' regulate aspects such as the national ethics of
the state and the obligations of the citizens.
South African constitution (1996):

``We, the people of South Africa,
Recognise the injustices of our past;
Honour those who suffered for justice and freedom in our

land;
Respect those who have worked to build and develop our

country; and
122
Believe that South Africa belongs to all who live in it, united
in our diversity.
We therefore, through our freely elected representatives,

adopt this Constitution as the supreme law of the Republic
so as to Ð
Heal the divisions of the past and establish a society

based on democratic values, social justice and funda-
mental human rights;
Lay the foundations for a democratic and open society

in which government is based on the will of the people
and every citizen is equally protected by law;
Improve the quality of life of all citizens and free the

potential of each person; and
Build a united and democratic South Africa able to take

its rightful place as a sovereign state in the family of
nations.
May God protect our people.''
A DESCRIPTION OF GOVERNMENT STRUCTURES

a description of The following three aspects are usually involved here:
government structures
the separation of power between the legislature, the
executive and the judiciary (turn to study units 5 and 11)
the distribution of powers between the central, the regional
and the local authorities
a description of the composition or structuring of the
authorities affected by the separation and distribution of
powers
Distribution of powers
distribution of powers The distribution of powers between the three levels of
government is also an important part of any constitution
because it determines, among others, the form of the state
(unitary or federal).
The territorial distribution of powers generally refers to the

relationship between the central and the regional tiers of
government. The most important distinction is between
delegated powers (which the delegator of the powers can
PLC102-S/1 123
rescind and which are subject to the delegator as regards
accountability) and original powers (which cannot be taken
away from the authority). Regional authorities (such as the
provinces) in a unitary state enjoy only delegated powers,
and they therefore remain responsible to the central
government for the way in which they are exercised. In a
federal state the regional authorities generally also have
original or exclusive powers.
original powers The constitutions of federal states deal with the allocation of powers
in the following three ways:
Certain original powers are assigned to the central govern-

residual powers ment, and the rest (residual powers) then automatically pass
to the regional authorities Ð as in the USA.
Three lists of powers appear in the constitution, namely the
original or exclusive powers of the central government, the
original powers assigned to the regional authorities, and the
joint (concurrent) powers for which both tiers are responsi-
ble Ð as in Canada and India.
Two lists of powers appear in the constitution, namely the
concurrent powers for which both tiers are responsible, and
the original powers of the regional governments, and it is
accepted that the residual, original powers are ascribed to
the central government Ð as in South Africa and Germany.
ACTIVIT Y 6.3
State X is a federal state with ten regional authorities (provinces). The

Minister of Housing of provinceY wishes to implement a new housing
policy in the province, but the senate (upper chamber) of the federal
parliament has blocked the legislation because the approval of the na-
tional Minister of Housing for the new policy is required. She had not
been consulted by the provincial minister.
Now answer the following questions:
(1) Is the relationship between the federal and the provincial gov-
ernments an illustration of the separation or distribution of
powers?
(2) What type of power is housing in this case study: an original,
concurrent or residual power?
(3) Is the federal parliament of state X a unicameral or bicameral
parliament?
124
This case study illustrates the effect of the distribution of powers
between the central (federal) and the regional (provincial) tiers of
government. Because it is a federal state, you could expect that
some of the powers would be original and some possibly also
concurrent. The fact that there is a minister of housing at both tiers
of government and that both ministers should be involved in
decision making regarding housing means that we are dealing with
a concurrent power. Residual powers are generally original powers
and not concurrent powers. These concurrent powers are therefore
very unlikely to be residual powers.
The fact that the senate was able to block the bill in its capacity as
upper house means that there is a lower house in parliament as
well. We are therefore dealing with a bicameral parliament.
CHECKS AND BALANCES

checks and balances One of the biggest differences between constitutions in democratic
forms of government and those in authoritarian forms of govern-
ment is the effective application of checks and balances. This
concept points to the need for an opposite pole which is able to
restrict the government's use of power (which is the essence of
constitutionalism). The following are well-known mechanisms for
ensuring checks and balances which are often included in
constitutions:
Public ``watchdogs'' which are independent of the executive and

have to report directly to parliament. Some examples are the
auditor-general and an ombudsman (such as the Public
Protector in South Africa) who has the authority to
investigate any financial mismanagement or any rumours
of corruption or maladministration in any branch of
government. Where there is an ombudsman, members of
the public are generally also permitted to lodge complaints.
The role of the opposition in parliament. A constitution must
make provision for opposition parties to be able to act
effectively, especially in parliament. There must be occasions
where the governing party has to answer for its actions, and
such occasions must include sessions where the government
has to answer questions from the opposition.
An effective separation of powers. Some examples are the
courts' right to test the constitutional nature of legislation;
parliament's right to amend or reject the executive's
PLC102-S/1 125
legislative proposals, parliament's right to introduce a
motion of no-confidence in the government (in a parliamen-
tary system but not in a presidential system); and the
president's right to veto legislation tabled by parliament (as
in the USA).
The opportunity for civil society to develop independently. The
effectiveness of civil society (especially the media, the trade
unions, professional bodies, the churches, community
organisations and political organisations) is dependent on
entrenched human rights (such as freedom of speech or of
association). These institutions can play an important part in
the exposure of the abuse of power or can help to curb the
abuse of power or to influence decisions.
ACTIVIT Y 6.4
Read the following case study and answer the questions that follow:
It has come to your attention that an elected council member of the
local authority of your area is a paid consultant for the Housing Divi-
sion of the local authority. Furthermore, he is a property developer to
whom a contract for the construction of municipal houses has been
awarded without any other construction companies having been given
the opportunity to tender.
Answer the following questions:
(1) Which authorities are involved in this case?
(2) Is the separation of powers being applied in this case?
(3) Which checks and balances could be activated to deal with this
situation?
This case study refers to the local government level and

concentrates specifically on the relationship between the legislature
and the executive. As an elected representative, the person
concerned is a member of the legislature. But as a consultant and
a contractor the person is simultaneously operating in the sphere of
the executive authority. The separation of powers has therefore
fallen by the wayside.
There are various checks and balances available to deal with this
situation: as a member of the public you could take it to the
ombudsman (Public Protector); the auditor-general could investi-
126
gate the financial mismanagement (eg the absence of tenders); the
opposition parties could discuss the matter at a council meeting and
demand an explanation from the council member concerned; and
members of the civil society (such as the voters) in the member's
constituency could pass a motion of no-confidence in him or
exercise other forms of public pressure on the person.
RIGHTS OF INDIVIDUALS AND GROUPS

rights of individuals and Giovanni Sartori (1994:197±198) is of the opinion that a bill of rights
groups
is not an absolute requirement for a constitution, but it is included
in most constitutions these days. Study again the section on rights
in study unit 5.
A bill of rights usually covers the following two categories of rights:
Restraints imposed on the authorities, which in Sartori's

view was the original intention of a bill of this kind. For
example, a government may be prohibited from interfering
with an individual's freedom of speech or of movement.
Obligations by the authorities (also known as affirmative
rights), such as the government's obligation to guarantee
individuals' right to employment opportunities, education or
health care.
Some constitutions also make provision for collective or group

individual rights
rights. Individual human rights generally guarantee that authorities
will not discriminate between individuals on the grounds of their
cultural, social, religious or language background or socioeconomic
collective rights
status. Collective rights determine, however, that a distinction
should be made between groups in order to ensure equality in their
circumstances, the resources at their disposal and their ability to
compete. Some examples of group rights in the South African
constitution are the rights associated with labour relations; the
rights of cultural, religious and language communities; and the
rights of groups with different sexual orientations. Another
example of group rights Ð although not contained in a constitu-
tion Ð is the Organisation of African Unity's African Charter on
Human and People's Rights (1981).
The rights contained in a bill of rights are never of an absolute

nature. Constitutions usually make provision for restricting them in
some way. In an emergency situation like a war, a civil uprising or a
natural disaster, it is usually permissible for the government to
PLC102-S/1 127
announce a state of emergency, and this temporarily restricts
fundamental rights (Jackson & Jackson 1997:198±199; Ranney
1975:272). In terms of section 36 of the South African constitution,
limitations on rights are specified as follows:
The rights in the Bill of Rights may be limited only in terms of

law of general application to the extent that the limitation is
reasonable and justifiable in an open and democratic society
based on human dignity, equality and freedom.
AMENDMENT PROCEDURES
amendment procedures A constitution can only be formally amended by means of a
constitutional amendment procedure. The amendment procedure is
determined by the nature of the constitution (that is to say, whether
flexible and rigid it is a rigid or a flexible constitution). A flexible constitution usually
constitutions
requires an absolute majority (50% + 1) for any amendments, and a
rigid constitution requires special majorities (such as 2/3 or 3/4
majorities).
According to Kenneth Wheare, the amendment procedures in rigid

constitutions are aimed at one or more of the following objectives:
They attempt to ensure that constitutions are only changed

when this is absolutely necessary.
They give the population the opportunity to express their
opinions before the changes come into operation, by means
of the following mechanisms:
(1) a referendum (as in Ireland, Denmark and Switzer-
land)
(2) a procedure whereby parliament first approves the
amendment, then dissolves and holds a general
election, and then has to pass the amendment again
after the election (as in Belgium, the Netherlands and
Sweden)
They attempt to make it impossible for changes in the

powers of the central or the regional governments to be
introduced by only one of the governments. The South
African constitution contains a provision that both the
National Assembly and the National Council of Provinces
have to approve any amendments.
They protect the rights of certain language, religious or
128
cultural minorities (as in Switzerland) (Ranney 1975:273±
274).
6.5 THE CLASSIFICATION OF CONSTITUTIONS
On the basis of the characteristics and content of constitutions, we

can create the following categories, according to which constitu-
tions can be classified:
long and short constitutions

rigid and flexible constitutions
written and unwritten constitutions
Both rigid/flexible and written/unwritten categories have already

been discussed. Sartori (1994:199) points out that long constitutions
are a relatively new phenomenon. An example of a short
constitution is the American constitution of 1789±1791, which
consists of seven articles subdivided into 21 sections, plus the first
ten amendments, which make up the bill of rights.
Since the Second World War (1939±1945), constitutions have

become longer in general. The Japanese constitution of 1947
consists of a preamble, eleven chapters and 103 sections. India of
1950 took this even further with 395 sections and a number of
detailed appendices. Brazil's constitution of 1988 is probably the
longest, with 245 sections and 200 transitional items. Peru's
constitution of 1979 consists of 307 sections. The new South African
constitution (1996) is also a long constitution, and consists of 243
sections, 14 chapters and seven appendices.
It is very difficult to connect the three categories of constitutions. It

is possible to say that in theory an unwritten constitution is more
flexible than a written constitution. Because long constitutions
contain so many details, it is generally necessary to amend them
more often and they are therefore generally more flexible than short
constitutions.
In theory, therefore, the most desirable constitution is a written,

rigid constitution which is relatively short.
PLC102-S/1 129
ACTIVIT Y 6.5
How would you classify the following constitution?
The constitution of state A consists of a document which was nego-

tiated in the national conference and approved by the national parlia-
ment. The constitution describes the composition and functions of
government institutions in ten sections, but provides that the powers
of the president, and those of government institutions, as well as the
human rights of the population, should be determined according to
the sources of the Islamic Shariah.These powers and rights can there-
fore not be changed by means of normal constitutional amendment
processes. The ten sections can, however, be amended by means of a
two-thirds majority in parliament.
LONG/SHORT CONSTITUTION: The fact that it consists of

ten sections means that this is a short constitution. The
unwritten section based on the Shariah cannot be taken into
account when the length of the constitution is determined.
RIGID/FLEXIBLE CONSTITUTION: The requirement of a
two-thirds majority indicates that this is a rigid constitution.
A flexible constitution would have required an absolute
majority (50% + 1). A contributory Ð but not decisive Ð
factor is the fact that the unwritten portions cannot be
changed.
WRITTEN/UNWRITTEN CONSTITUTION: This constitution
is a combination of the two forms. The ten sections make it a
written constitution, but the portion based on the Shariah is
typical of an unwritten constitution.
6.6 THE FUNCTIONS OF A CONSTITUTION
We have already looked at the nature and content of constitutions.

The next step is to look at their functions. The following are the
most important:
The constitution serves to establish the state and the
authorities.
It can impose restraints on government action.
130
It is the function of the constitution to safeguard the
fundamental rights of individuals and groups.
Diversity can be protected within the framework of the law.
Giovanni Sartori (1994:202) utters a few cautionary words about

`àspirational constitutions'', that is, constitutions which formulate
policies and therefore try to lay down what the content of the
policies should be. According to him, the function of a constitution
is only to establish how norms should be determined, not what
those norms should create. This means that preferably constitutions
should simply stipulate procedures governing the way in which
power is exercised. They should not contain specific provisions on
the content of the exercise of power.
CREATION OF A STATE AND GOVERNMENT
A constitution is a modern form of a social contract which creates a

specific relationship between the population and the authorities,
defines the state's territory and citizenship, and claims sovereign
status for the state. Consequently we can say that in a formal sense
a constitution creates and defines a state.
Furthermore, a constitution also makes provision for government

institutions, such as a parliament, a public service and courts, and
describes the relationships between the various authorities (eg the
separation of powers between them). A constitution also specifies
the distribution of power between the tiers of government (central,
provincial and local) and determines whether the state is a unitary
or a federal state.
LIMITATIONS ON GOVERNMENT POWER
This function was discussed in detail under the heading of

constitutionalism (study unit 5). The object is to eliminate arbitrary
action by the government. The actions of public officials must be
subject to specific constitutional rules to ensure that their actions are
consistent and predictable.
PLC102-S/1 131
SAFEGUARDING OF FUNDAMENTAL RIGHTS
In study unit 5 you learnt about bills of rights and fundamental
rights. An important function of a constitution is to create a balance
between the government and the population, and occasionally also
between individual members of the population. Since the govern-
ment has more power sources than the population (eg they have the
monopoly over the legal use of force) the abuse of power is a very
real danger. A bill of rights which is enforceable by the judiciary is
an effective way of curbing the abuse of power. This involves the
vertical operation of a bill of rights (between the government and
the population).
Some bills of rights also function horizontally, that is between

members of the population. Thomas Hobbes's concept of the state
of nature where each person tries to promote and protect his or her
interests by any means must be tempered by the need to protect
fundamental rights. Such protection would limit the means people
are permitted to use to protect their interests.
PROTECTION OF DIVERSITY
A constitution which aims to establish democracy has an overall

task of safeguarding diversity within the framework of the law and
general consensus. Diversity can take various forms: a multiparty
system with an effective opposition, cultural and ethnic diversity,
the protection of civil society and the protection of fundamental
rights such as freedom of speech, freedom of association, freedom
of religion and freedom of conviction.
To conclude
Constitutions have become an important characteristic of the state
as the predominant political entity. They may differ in their content
and form from one state to another. Though constitutions provide
an important source for the limitation of political power, they may
not necessarily be successfully utilised in this sense.
132
SELF-EVALUATION 6.1
Study pages 195±230 of the book by Jackson and Jackson (1997).
Make a list of all the important characteristics of a constitution that the
authors discuss.
SELF-EVALUATION 6.2
Study pages 185±198 of the book by Hague and Harrop (2001).
Make a list of all the important characteristics of a constitution that the
authors discuss.
TEST 6
(1) Which of the following characteristics is NOT a characteristic of a
constitution?
(a) It is a set of fundamental rules.
(b) It determines the form of the state.
(c) It can only exist in written form.
(d) It sets up permanent government institutions.
(2) Is the following statement true or false?

The existence of a written constitution does not necessarily mean
that the state is being managed according to the principles of
constitutionalism.
(a) True
(b) False
(3) Fill in the missing words:

The constitution of Iran (1979) is based on the religious rules of
the (a) ...................................; Japan's constitutional practices are
strongly influenced by ................................. (b).
(4) Which of the following characteristics of the separation of powers

(trias politica) is CORRECT?
PLC102-S/1 133
(a) It owes its philosophical origin to the writings of Thomas
Hobbes.
(b) It attempts to avoid a situation in which the same people
control the legislature, the executive and the judiciary.
(c) It creates a situation in which the executive must be
dominant.

The entrenchment of certain procedures in a constitution in order
to give opposition parties the opportunity to propose the
appointment of commissions of inquiry into malpractices by the
government is an example of the creation of checks and balances.
(a) True
(b) False
(6) Is it in accordance with generally accepted practices for a

constitution to restrict a person's fundamental right to citizen-
ship?
(a) Yes
(b) No
(7) Would you call the South African constitution (1996) a (a) long
constitution or (b) a short constitution?
(8) Which of the following is NOT a function of the constitution?
(a) It can impose restrictions on government action.
(b) It can protect diversity within the framework of the law.
(c) It should lay down the state's foreign policy.
(9) Indicate whether the following statement is true or false.

false
According to Jackson and Jackson (1997), it is the history and
culture of each state that shapes and is shaped by the
constitution; and a country's constitutional rules can work only if
they are in line with the traditions of the society.
1 True
2 False
(10) Indicate whether the following statement is true or false.

false
According to Jackson and Jackson (1997), the constitutions of
authoritarian states often resemble ideological manifestoes more
than they place limitations on governments.
1 True
2 False
134
(11) Indicate which one of the following statements on constitutions is
the most correct statement.
1 A constitution has to be written in one single document.
2 The United Kingdom has no constitution.
3 A constitution guarantees that the state will be governed
according to the stipulations of the constitution.
4 Constitutions can be used in any form of government Ð
from the most democratic to the most authoritarian.
(12) Indicate which is the correct statement.

Unwritten practices which have developed into ``constitutional''
traditions over time are referred to as
1 organic rules
2 judicial decisions
3 constitutional conventions
4 religious rules
(13) Which one of the following is not a function of a constitution?

1 It ought to place limitations on government actions
2 It can protect diversity within the framework of the law
3 It ought to determine the foreign policy of the government

false
Should a constitution be unwritten, it does not necessarily imply
that the state cannot be managed according to the principles of
constitutionalism.
1 True
2 False
COMMENTS
(1) (c)
(2) (a)
(3) (a) Islam
(b) Confucianism
(4) (b)
(5) (a)
(6) (a)
(7) (a)
(8) (c)
(9) This statement is correct. Study page 216 of Jackson and
Jackson.
PLC102-S/1 135
(10) This statement is correct. Study page 217 of Jackson and
Jackson.
(11) The appropriate option is no 4. A constitution does not have to be
contained in one document, in fact it does not even have to be
written. Britain (United Kingdom) has an unwritten constitution.
No constitution can guarantee that the authorities will rule in
accordance with the stipulations of that constitution.
(12) The appropriate option is no 3. Revise section 6.3 of Study Unit 6.
(13) The appropriate option is no 3. This question deals with section
6.6 (The functions of a constitution) in the study guide. You will
find in the discussion that an important function of a constitution,
if the principle of constitutionalism is applied, is to place
limitations on government actions in the form of an auditor-
general, a human rights watchdog, an ombudsman or public
protector and other institutions.
A constitution of a democratic form of government should also
protect diversity within the framework of the law. The diversity
refers to a multiparty political system, a free media, a diverse civil
society, freedom of association and many other aspects. A
constitution must provide a guarantee that they can function
freely.
A constitution is not, however, a policy document of the
government of the day. Government policy (or public policy) can
change regularly under the same government or can change when a
new government is elected.
A constitution, on the other hand, should be a document not
affected by government changes and policy changes, and should be
formulated in such a way that it can last for generations.
Therefore, it is not the function of a constitution to determine the
foreign policy of the government, but merely to arrange for the
framework within which that policy making can occur.
(14) In order to understand the question we should first distinguish
between a written and an unwritten constitution. A written
constitution appears in one consolidated and official document
that is referred to as the Constitution. An unwritten constitution,
on the other hand, is not consolidated in one document but can
consist of a number of acts or other documents, or can be based
on religious sources.
It is important to note that constitutionalism is not dependent on
the existence of a constitution Ð written or unwritten. The
existence of a constitution also does not guarantee that the
principle of constitutionalism will be applied. Constitutionalism
136
refers only to the principle which entails the limitation or
restriction of government power.
SOURCES
Blaustein, A & Flanz, GH (eds). 1996. Constitutions of the countries of the world: a
series of updated texts, constitutional chronologies and annotated bibliographies.
Dobbs Ferry, NY: Oceana.
Gilchrist, RN. 1952. Principles of political science. 7th edition. Bombay: Orient
Longmans.
Huntington, SP. 1991. The third wave: democratization in the late twentieth century.
Norman, OK: University of Oklahoma Press.
Joye, EM & Igweike, K. 1982. Introduction to the 1979 Nigerian constitution.
London: Macmillan Nigeria.
Lane, Jan-Erik. 1996. Constitutions and political theory. Manchester: Manchester
University.
Sartori, G. 1994. Comparative constitutional engineering: an inquiry into structures,
incentives and outcomes. London: Macmillan.
Strong, CF. 1966. Modern political constitutions. London: Sidgwick & Jackson.
Wheare, KC. 1966. Modern constitutions. London: Oxford University.
PLC102-S/1 137
T H E M E 5
HEADS OF STATE AND HEADS

OF GOVERNMENT
OVERVIEW
In this theme we have attempted to answer the questions: ``Who is the head of state and
who is the head of the government?'' In order to answer these questions, it is necessary to
look at the various types of
heads of state
heads of government
There are a number of terms and concepts which are important for this study unit. Make
certain that you understand the meaning of these terms and concepts.
KEY TERMS actual head of state institution

AND ceremonial head of state monarch
CONCEPTS constitutional monarchy nominal head of state
government president
head of government prime minister
head of state
PLC102-S/1 139
STUDY
UNIT 7
TYPES OF HEADS OF
STATE AND HEADS OF
GOVERNMENT
INTRODUCTION
In some of the previous study units you were introduced to the concepts of state and
authorities and you learned that each state must have authorities. In the news media, such
as the newspapers and television, one frequently comes across names such as President
Mbeki of South Africa, President Robert Mugabe of Zimbabwe, President George Bush of
the United States of America, President Daniel arap Moi of Kenya and Queen Elizabeth II
of Britain. These people are important on account of the fact that they are heads of state
and/or heads of government. This study unit is therefore an attempt to answer the
questions, ``What is a head of state and what is a head of government?'' In order to answer
these questions you will need to answer the following focus questions:
FOCUS Who and what is a head of state?

QUESTIONS Who and what is a head of government?
What are the different types of heads of state?
What are the different types of heads of government?
How does a person become a head of state?
How does a person become a head of government?
140
7.1 WHO AND WHAT IS A HEAD OF STATE?
a head of state is the The head of the state is the person who heads the state. He or she
person who heads the
state and serves as a serves as a symbol of both the state and the authorities, because all
symbol of both state functions of the authorities are carried out in his or her name. A
and government head of state may be a monarch (king/queen), a president or a
governor-general.
A head of state has certain official functions to perform. These

might include the formal opening of the legislative authority
(parliament); the issuing of a formal declaration of war or the
announcement of a state of emergency; the accreditation of
ambassadors and the reception of the ambassadors of other states;
the appointment of the prime minister (or an equivalent officer) and
his or her cabinet; the awarding of honours; the ratification of bills;
the honouring of national heroes; and attendance at state funerals.
Although these functions may vary from one state to another, they
are more or less the same in most states (Roberts 1971:93±94; Hague
& Harrop 2001:241±242). These functions are generally regarded as
ceremonial functions ceremonial functions.
head of executive The head of state is usually also the head of the executive authority.
authority
Any act performed by the executive authority which is a branch of
the authorities is in fact an act by the authorities, or in other words
``the authorities in action''. This explains why the position of the
head of the executive authority is so important that its incumbent is
known as the ``head of state''. As head of the executive authority,
the head of state performs certain functions. One important
function is the signing of all Acts adopted by Parliament. In the
case of a nominal head of state, the head of government and his or
her cabinet play a leading role.
To sum up
The head of state serves as a symbol for the state and the
government. In order to fully understand the position of head of
state read thoroughly study unit 9.
7.2 THE HEAD OF GOVERNMENT

actual political power The person who heads the government and is primarily responsible
for formulating and controlling the execution (carrying out) of the
most important political decisions in a particular state is known as
the head of government. These days the head of government
PLC102-S/1 141
generally bears the title of president or prime minister, and heads of
government wield a great deal of political power in their states.
7.3 WHAT ARE THE DIFFERENT TYPES OF HEADS OF STATE?
The position of the head of state and the functions he or she

performs may differ from one state to another. Some heads of state
merely occupy a nominal and/or a ceremonial position, whereas
others perform more essential functions. On the basis of the
positions they occupy and the functions they perform, we can
distinguish the following kinds of heads of state:
nominal heads of state

actual heads of state
Whether a head of state can be considered a nominal or an actual

head of state depends on whether he or she possesses nominal or
actual powers. By this we mean that in one case he or she is merely
a rubber stamp (nominal powers) and in the other case he or she is
personally responsible for the decisions which he or she takes
(actual powers). Some heads of state have ceremonial function only,
for example the Japanese emperor.
The real differences between the two types of heads of state are the
following:
The nominal head of state has limited political responsibility.

The nominal head of state performs his or her functions by
acting on the advice of the executive council (usually a prime
minister and a cabinet). He or she cannot take or carry out
decisions independently. Nominal heads of state are often
unknown to the outside world. An example here is the
President of Israel.
The actual head of state bears actual political responsibility.
The actual head of state has a governing function and
therefore real power and takes actual political decisions. He
or she is responsible for carrying out these decisions Ð
usually with the aid of an executive council (such as a
cabinet). An example is the President of the USA.
142
A C T I V I T Y 7. 1
Study each of the following statements and/or quotations concerning

the functions of a head of state and indicate whether he or she is a
nominal or an actual head of state. In each case, give reasons for your
answer.
CANADA.`Ùnder the present constitution, the British monarch,
as sovereign, is represented by a governor general, now a Cana-
dian citizen appointed on the advice of the prime minister. The
locus of power is the elected House of Commons, where the
leader of the majority party is automatically designated by the
governor-general to form a cabinet and thus become prime
minister'' (Banks 1995:144).
GERMANY. ``The major federal components are the head of
state, or federal president (BundesprÌsident); a cabinet headed
by a chancellor (Bundeskanzler) ... Ministers are appointed by
the president on the advice of the chancellor'' (Banks
1995:322).
ITALY.``The president, selected for a seven-year term by an elec-
toral college ... appoints the prime minister and, on the latter's
recommendation ... he may dissolve parliament at any time
prior to the last six months of a full term'' (Banks 1995:434).
JAPAN.``The constitution of May 3, 1947, converted Japan from
an absolute to a constitutional monarchy by transferring sover-
eign power from the emperor to the people and limiting the for-
mer to a `symbolic' and ceremonial role'' (Banks 1995:446).
UNITED STATES OF AMERICA.``Federal executive power is vested
in a president ... [he] is advised by, and discharges most of his
functions through, executive departments headed by officers
whom he appoints but who must have Senate approval'' (Banks
1995:935).
A non-parliamentary system of the executive presidential system

usually combines the position of head of state and head of
government (eg USA), while a parliamentary system of the
executive usually separates them. In the examples above only the
USA has a head of state with real governing powers.
It is important to note that various kinds of heads of state are found
in the examples given above. Of the states used as examples, it is
only the United States of America which has an actual head of state.
The President of Italy is supposed to be above party politics, but has
PLC102-S/1 143
in the past been known to intervene in political matters, as for
a coalition is a
temporary alliance example in the forming of a coalition between various parties.
between various parties Although the Italian President has mainly nominal powers, he has
more freedom of action than the Emperor of Japan, for example.
7.4 WHAT ARE THE DIFFERENT TYPES OF HEADS OF

GOVERNMENT
The types of heads of government found will depend on the

position and functions of the head of state and the relationship
between the head of state and the head of government. On this basis
we can distinguish the following types of heads of government:
one person who combines the offices of head of state and

head of government
prime ministers who function alongside a head of state with
actual or nominal powers
COMBINED OFFICES OF HEAD OF STATE AND HEAD OF

GOVERNMENT
In some states one and the same person holds the offices of head of
state and head of government. The American President is the head
of state and he performs the functions of a head of state but at the
same time he is the actual head of government. The same situation
is found in Zimbabwe, Zambia, Malawi, Botswana and Kenya, to
name a few examples.
PRIME MINISTERS
In many states the head of government is known as the prime

minister, the premier or the chancellor. Where the prime minister is
the head of government, the prime minister usually owes his or her
position to majority support in the legislative authority, or in other
words, to the confidence of the lower house. The British prime
minister is a good example here. In the British model the leader of
the party which wins a general election is the prime minister. The
government is formed from the ranks of the members of parliament
and must retain the support of the majority of the members of
144
parliament (Jackson & Jackson 1997:240±241; Hague & Harrop
2001:241±242).
Prime ministers are usually found in states which also have a head
of state. The relationship between the head of state and the head of
government may take one of the following two forms:
The head of state is a nominal head of state with limited

functions. The person responsible for the actual function of
governing is the prime minister. Britain is a case in point. In
countries with this kind of system the head of state is often a
monarch, such as a king, or a governor-general who usually
represents a monarch (as in Australia), or a president, or a
state president.
The head of state is an actual head of state, but the state has a
prime minister (head of government) as well. Although the
functions of both are usually defined in the constitution,
there may well be some uncertainty as to who is responsible
for what. This is most likely to happen when the head of
state belongs to one party and the head of government to
another. The French President and the French Prime Minister
serve as an example here. This is also referred to as a semi-
presidential or dual system.
Go back to activity 7.1. Revise the information on each state and then
carry out the instructions below:
(1) Indicate which states have a president as head of government.
(2) Indicate which states have a prime minister as head of govern-
ment.
(3) Study the following quotations on the respective countries:
France.``The constitution of the Fifth Republic, accepted by a
national referendum on September 28, 1958, retained many
traditional features of France's governmental structure, while
significantly enhancing the powers of the presidency in a mixed
presidential-parliamentary system. The president ... holds
powers not only expanded by the terms of the constitution it-
self but also by de Gaulle's broad interpretation of executive
prerogative ... The broad scope of presidential authority has
curtailed the powers of the premier and the Council of Minis-
ters ...'' (Banks 1995:296).
Finland.``The constitution of 1919 provides for a parliamentary
PLC102-S/1 145
system in combination with a strong presidency, which in prac-
tice has tended to grow even stronger ... The head of state is
directly responsible for foreign affairs and shares domestic re-
sponsibilities with the prime minister and the cabinet ...''
(Banks 1995:290).
(4) Indicate the extent to which the French and Finnish heads of
state and heads of government differ from those of the other
states mentioned in activity 7.1.
The examples of heads of government which we discussed here

provide a further indication of the way states differ in their practices
in this area. The USA has a president as the sole head of
government, where France and Finland has both a president and
a prime minister who both play an active part in government. The
other states all have a nominal head of state and a prime minister as
the head of government.
7.5 HOW DOES A PERSON BECOME A HEAD OF STATE?
Heads of state may be appointed in three principal ways:
succession
election which takes the following three principal forms:
(1) direct election by the population
(2) indirect election by the population through an
electoral college
(3) election by the legislative authority
nomination by the cabinet
HEREDITARY HEADS OF STATE (SUCCESSION)
Hereditary heads of state Ð usually a monarch known as a king or

queen, a prince or a princess Ð must be of royal descent and often
occupy their position for life. When they die the succession usually
passes to their heir (usually the eldest son or daughter). In some
instances the king may be chosen from among a number of
claimants to the throne. The claim to the throne is hereditary but
succession is not automatic. The king of Swaziland serves as an
146
example here. A state which has a hereditary head of state is known
as a monarchy. This also applies to the rotating monarchy in
Malaysia.
Some hereditary heads of state are purely nominal heads of state,
but others are actual heads of state. Where the monarch (king or
queen) is merely a nominal head of state, the state is usually known
constitutional as a constitutional monarchy. Hereditary heads of state are found
monarchy
for example in constitutional monarchies such as the United
Kingdom, Belgium, Denmark and the Netherlands. In most cases
they fulfil purely nominal functions and may be regarded as relics
of the imperial absolutism of bygone times. They are usually
described as constitutional monarchs because they reign without
governing.
There are examples of kings who are true heads of state, such as the
King of Swaziland, Jordan and Morocco.
ELECTED HEADS OF STATE
Elected heads of state may be elected in the following ways:
Direct election by the population. The direct election of the head

of state by the population is the custom in a large number of
states. Such heads of state are usually elected for a fixed
period, and in some states the head of state can be reelected
for more than one term. The following are some examples:
Austria (elected for a period of 6 years and eligible for
reelection); France (a term of 7 years and eligible for
reelection); Iceland (a term of 4 years and eligible for
reelection); Ireland (elected for a term of 7 years); Mexico
(elected for a single term of 6 years); the Philippines (a single
term of 6 years); and Portugal (a term of 5 years and eligible
for reelection).
The underlying idea of the direct election of the head of state
absolute majority
means at least
is that the head of state Ð usually an actual head of state Ð
50% + 1 vote. must enjoy the confidence of the people and must have a
sense of responsibility to them. It is quite usual to require
that a head of state of this nature should receive an absolute
majority of votes.
Indirect election. The indirect election of the head of state by
electoral college
the population presupposes the existence of an electoral
college, that is a body of people specially constituted for this
PLC102-S/1 147
purpose and presumably able to exercise a better choice than
the population of the legislative authority. Some examples
are:
(1) India. The president is elected by an electoral college

consisting of all the elected members of the bicameral
parliament and the legislative institutions of the
constituent states are
constituent states (political units in the Indian
the federating units in a
federation federation).
(2) USA. The president of the USA is elected by an

electoral college. The constitution of the electoral
college is determined by the presidential elections
held in each state. The candidate who wins the
election in a particular state, such as California (which
is actually a constituent state) takes all the votes
which make up that state's share of votes in the
electoral college. When there is an equality of votes (a
tie), the president is appointed by the House of
Representatives. As a result the ordinary voters play a
more direct role in the election of the president than is
the case in a state such as India, for example.
These heads of state are usually elected for a fixed term Ð

five years in the case of India and four years in the case of the
American president. Such heads of state may be eligible for
reelection but a limit may be set on the number of terms they
are permitted to serve: for example, the American president
may not serve for more than two terms.
The underlying idea of an indirect election is to restrict the

choice to people who have been specially brought together
for this purpose and who are therefore presumed to be better
able to make a choice than the population at large or the
legislative authority. In theory this electoral method has a
good deal in its favour.
Election by the legislative authority. This method is a form of

indirect election and is widely used. For example, the South
African president is elected by the National Assembly for a
term of five years. He or she can only be reelected for one
further five-year term. Other states in which the head of state
is elected by the legislative authority include Turkey, where
the president is elected for a single term of seven years, and
148
Israel, where the president is elected by the Knesset
(parliament) for a term of five years.
A state in which the head of state is elected is usually known as a

republic
republic.
NOMINATED HEADS OF STATE

In some Commonwealth countries, such as Canada, Australia and
New Zealand, the head of state, who is known as the governor-
general, is customarily nominated. These nominal heads of state are
formally appointed for a fixed term, such as five years, by the
British sovereign, upon the recommendation of the cabinet of the
state in question.
Study the quotations on the states described below and then carry out
the instructions that follow.
(1) Write the name of each state in the appropriate square of the
table below. For example, Swaziland has a king with actual ex-
ecutive powers.
Actual head of state Nominal head of state
Monarch Swaziland
President
Monaco.``The constitution of December 17, 1962 ... vests ex-

ecutive power in the hereditary prince ... The prince may veto
legislation approved by a National C ouncil ...''(Bank s
1995:582).
Morocco.``The new constitution [of 1992] made the government
more accountable to the Parliament and gave the prime minis-
ter new responsibilities, but the king retained much of his con-
siderable power and remained firmly in control of the country''
(ColliersYear Book 1993).
PLC102-S/1 149
Saudi Arabia.``Saudi Arabia is a traditional monarchy with all
power ultimately vested in the king, who is also the country's
supreme religious leader'' (Banks 1995:755).
Spain.``The powers of the king include naming the prime minis-
ter, after consulting the parties in the Cortes [parliament]''
(Banks 1995).
Sweden. ``The king is now only a ceremonial figure'' (Banks
1995:842).
Iran.``The president, the country's chief executive officer, is po-
pularly elected for a 4 year term ...'' (Banks 1995:403).
Egypt.`Ùnder the 1971 constitution , executive power is vested
in the president, who is nominated by the People's Assembly
and elected for a six year term'' (Banks 1995:255).
(2) Now return to activities 7.1 and 7.2 and study the quotations
again, then add the names of the states in question to the ap-
propriate categories in the table.
It should again be apparent to you that there are many different

kinds of heads of state and that heads of state acquire their positions
in different ways.
The position of President in the Islamic Republic of Iran is quite

complex, for the President is popularly elected and does have real
political power. However, there is also the position of Leader,
sometimes referred to as Supreme Leader. The Leader is a qualified
Muslim clergy and he may indeed be regarded as the head of state.
He is responsible for many functions that are similar to other heads
of state. However, his powers exceed those of a nominal head of
state even though his functions are basically the same. To a large
extent he also embodies the Islamic character of the state. The first
to have held this position after the revolution of 1979 was the
founder of the Islamic Republic of Iran, the late Ayatollah Ruhollah
Khomeini.
It has never been adequately proved that one way of appointing the
head of state is better than another in all possible circumstances. A
great deal depends on the political customs, traditions, ideals and
predominant ideologies of the states in question.
It is, however, clear that if a democratic system of government is to

be preserved, an actual head of state should not be nominated and
still less should he or she inherit the position. This is directly
contrary to the whole concept of democracy. A true head of state
150
should be elected. Which of the three alternative methods should be
chosen is an open question and the answer would depend on the
particular situation.
In the case of nominal heads of state it hardly matters which

method is followed. Succession has its advantages in states where
the population holds the monarchy in high esteem and the royal
tradition is a source of national pride and prestige. The nomination
system has its own merits where governors-general are nominated
in some Commonwealth countries on account of the special historic
ties those countries have with the British monarchy.
Although it is always difficult to generalise, especially in the field of

comparative politics, we can conclude that in states where the head
of state is a nominal figure, the executive authority usually rests with
parliamentary executive
parliament (ie the head of government and his ministers are an
nonparliamentary integral part of the legislative authority), and that in cases where the
executive
head of state possesses actual powers the executive authority is
more often than not nonparliamentary (see study unit 8).
7.6 HOW DOES A PERSON BECOME A HEAD OF

GOVERNMENT?
Because there is a close relationship between the type of head of

state and the type of head of government, the way in which a
person becomes head of government depends partly on the position
of the head of state. The following are therefore the ways in which
the head of government rises to his or her position:
Succession. This is usually the way in which a hereditary

head of state with real or actual powers such as a monarch
acquires the position of head of government.
Election. The majority of heads of government are, however,
elected, and they are usually directly elected by the voters. In
cases where the head of government is a prime minister, the
usual practice is for the leader of the party with the majority
of votes to become the head of government.
Nomination. Heads of government can also be nominated.
This usually happens when a hereditary head of state with
real powers appoints someone to carry out certain govern-
ment functions.
PLC102-S/1 151
To conclude
There are various ways in which a person can become head of
government, but the practice adopted in a particular state will be
related to the position of the head of state and the head of
government in that state. Most political scientists are of the opinion
that the idea that two different people should hold the offices of
head of state and head of government has considerable merit. The
separation of the two offices makes it easier to distinguish between
loyalty to the idea of the nation or even towards the constitutional
administration and support for or opposition to the current
government or cabinet. One can therefore condemn the prime
minister's position while nevertheless showing loyalty to the head
of state and the form of government (regime) that he or she
represents (Lawrence, Burnett & Ogden 1993:38).
SELF-EVALUATION 7.1
The following self-evaluation exercise is based on the content of this study
unit:
(1) What do Thabo Mbeki, Robert Mugabe, George Bush, Jacques
Chirac, Daniel arap Moi, Queen Elizabeth II of Britain, Queen Beatrix
of the Netherlands and the Japanese emperor have in common?
(2) Do you think we could describe them as heads of state? If so, why?
(3) Name two other heads of state.
(4) What function could a head of state perform?
(5) Name three heads of government Ð not heads of state Ð and
name the states which they serve. Give reasons for your answer.
(6) What are the chief functions of a head of government? Give
examples.
(7) How do the functions of the British queen differ from those of the
British prime minister? Give examples.
(8) What office does the President of South Africa hold?
(9) How and by whom is the President of South Africa elected to the
office of head of state?
(10) What office does Queen Elizabeth II of Britain hold?
(11) How did she come to hold this office?
(12) Is the president of the United States of America a nominal or an
actual head of state? Give reasons for your answer.
(13) What are the ways in which heads of state and heads of
government can obtain their positions?
152
SELF-EVALUATION 7.2
book.
Study pages 234 to 243 in the prescribed book by Jackson and Jackson
(1997):
(1) What do the writers give as the functions of the head of state?
(2) From the discussion of the Sultan of Brunei by the authors, would
you say the Sultan is a monarch or a president?
(3) Is the Sultan of Brunei an actual or a nominal head of state?
(4) In the view of the writers, can a head of state give a state
continuity? Explain this point of view with reference to the position
of Queen Elizabeth II in Britain.
(5) The writers' discussion of the position of former President Boris
Yeltsin of Russia makes it clear that he was an actual head of
state. Indicate whether this statement is correct and give
SELF-EVALUATION 7.3
Study pages 236±253 in Hague and Harrop (2001).
(1) Explain briefly the types of head of state that the authors identify
on page 241.
(2) Explain how, according to the authors, the position of a head of
state in a democracy differs from a head of state in
authoritarianism.
TEST 7
QUESTION 1
Indicate which statement is correct.

correct.
In the United States of America the President
1 is a nominal head of state
2 is an actual head of state
3 shares his position with a prime minister
PLC102-S/1 153
QUESTION 2
Indicate which statement regarding heads of state is incorrect.

incorrect.
1 States that are ruled by monarchs are called constitutional
monarchies.
2 A state in which the head of state is elected is usually known as a
republic.
3 The President of the United States of America is elected by an
electoral college.
4 In some states the head of state is elected by the legislature.
QUESTION 3

false.
Most constitutional monarchs perform mainly ceremonial functions as
heads of state.
1 True
2 False
QUESTION 4
Indicate which statement on heads of state is correct.

1 A nominal head of state has actual governing function.
2 An actual head of state has only ceremonial functions.
3 The United States of America has a head of state that has only
ceremonial powers.
4 In some states one person may be both head of state and head of
the government.
5 Nominal heads of state obtain their positions through hereditary
succession only.
QUESTION 5
Actual heads of state in a democracy ought to obtain their positions

through
1 direct elections
2 nomination
3 hereditary succession
154
COMMENTS
QUESTION 1
The appropriate option is no 2. The President of the USA has real political
powers and therefore he is an actual head of state.
QUESTION 2
The appropriate option is no 1. A state that is ruled by a monarch is not

necessarily a constitutional monarchy. In a constitutional monarchy the
power of the monarch is limited by the constitution. However, some
monarchs still exercise unlimited and real political power.
QUESTION 3
This statement is true. The functions of a constitutional monarch are

mainly of a ceremonial nature.
QUESTlON 4
The appropriate option is no 4.

It is true that in some states, like in the United States of America, the
President is both head of state and head of government. Therefore option
no 3 is incorrect.
Option 1 is incorrect for a nominal head of state has limited powers only.
Option 2 is incorrect for an actual head of state has real political powers.
Option 5 is incorrect for a nominal head of state may also be elected by
parliament or the people.
QUESTION 5
The appropriate option is no 1. It is best when an actual head of state with

real political powers is directly elected. Indirect elections are also
acceptable. Nomination and hereditary succession in a democracy are
however unacceptable.
PLC102-S/1 155
SOURCES
Banks, AS. 1995. Political handbook of the world 1994±1995. New York: CSA.
Collier's Year Book. 1990, 1991, 1992, 1993, 1994, 1995, 1996. New York: Collier's.
Dicey, AV. 1924. Introduction to the study of the law of the constitution. London:
Macmillan.
Jackson, RI & Jackson, D. 1997. A comparative introduction of political science. Upper
Lawson K. 1993. The human polity: a comparative introduction to political science. 3rd
edition. Boston: Houghton Mifflin.
Mayer, LC, Burnett, JH & Ogden, S. 1993. Comparative politics: nations and theories
in a changing world. Englewood Cliffs, NJ: Prentice-Hall.
Plischke, E (ed). 1964. Systems of integrating the international community. Princeton:
Van Nostrand.
Roberts, GK. 1971. A dictionary of political analysis. London: Longman.
Roskin, M, Cord, RL, Madeiros, JA & Jones, WS. 1997. Political Science: an
introduction. 6th edition. London: Prentice-Hall.
Van Vuuren, DJ & Kriek, DJ (reds). 1982. Politieke alternatiewe vir Suider-Afrika:
grondslae en perspektiewe. Johannesburg: Macmillan.
Wheare, KC. 1963. Federal government. London: Oxford University.
156
T H E M E 6
THE BRANCHES AND LEVELS

(TIERS) OF AUTHORITY
OVERVIEW
The functions of the authorities can be classified as follows:
legislation, that is the formalising of decisions in laws

the execution of decisions
the adjudication of decisions
The branches of authority (in this sense usually referred to as government) that deal with
these functions are, respectively, the following:
the legislature
the executive
the judiciary
In this theme we shall attempt to answer the question, ``What is the relationship between
the various branches and levels of authority?'' In order to answer this question, you must
be able to explain
what the branches of authority are and the functions of each

what the levels (or tiers) of authority are and the functions of each
PLC102-S/1 157
KEY TERMS The following key concepts, which will be explained below, are
AND KEY important in this theme. Ensure that you understand these
CONCEPTS concepts.
central government judicial authority
confederation legislative authority
constituency party list systems
proportional representation
electoral systems
provincial government
executive authority
union
federation
form of state union representation
franchise
158
STUDY
UNIT 8
THE BRANCHES OF
AUTHORITY:THE
LEGISLATIVE AUTHORITY
INTRODUCTION
In this study unit we shall attempt to answer the question, ``What are the nature and
functions of the legislative authority?'' In order to be able to answer this question, you will
need to be able to answer the following focus questions:
FOCUS What is the legislative authority?

QUESTIONS What are the functions of the legislature?
What is franchise?
What is representation?
What types of electoral systems are found?
Of how many houses does a parliament consist?
What procedural rules are applied in parliament?
8.1 WHAT IS THE LEGISLATIVE AUTHORITY?

the legislature is the In simple terms, the legislative authority is the branch of authority
institution responsible
for the legislative which makes laws for a particular society and has the power to
function, ie to make amend or repeal those laws. In all societies which are politically
amend and repeal laws organised there are specific institutions which are responsible for
on behalf of the state
the legislative function. The institution responsible for the legisla-
PLC102-S/1 159
tive function is known as the legislature, and the people attached to
the legislature whose responsibility it is to promulgate legislation
(acts) are known as the legislators.
When we think about the legislature, we are inclined to think of

parliaments and democracy. Parliament is one type of legislature,
but it is by no means the only one. The following activity highlights
this situation.
ACTIVIT Y 8.1
Study the following quotation and then answer the questions that fol-
low.
A legislature is an institution in which individuals gather with the pri-
mary purpose of making laws. It need not be an elected body,
although it often is, sometimes it is not. A legislature is established
every time a tribal chief, king, military commander, or the highest po-
tentate in a theocracy summons some of the elders, nobles, senior of-
ficers, or higher clergy (respectively) to help work out policy on a
matter of politywide concern. [A polity is a society which is politically
organised.] When the governor of a colonial territory appoints a few
trusted individuals to form a legislative council, as was the British
practice in the heyday of empire, that too is a legislature.
The more familiar form of a modern legislature, is a permanent, peri-
odically convened institution composed of officials elected for a lim-
ited term for the express purpose of making laws, such as the
German Bundestag, the British House of Commons, the Japanese
Diet, the French National Assembly, the Mexican National Congress,
and the United States Congress. Even in this category there are nu-
merous variations. The legislators' relationships with their constitu-
ents vary significantly from polity to polity. Other differences include
the number and nature of the individual houses of the legislature, the
power of committees, and the customs and mores of the particular
legislature ö all relatively minor variations that will take considerably
less of our time to understand (Lawson 1989:315^316).
(1) Which concept is discussed in this quotation? Mark it clearly in
the text.
(2) Which, according to the writer, is the more familiar form of a
legislature?
(3) Give at least three examples of better known legislatures.
(4) Name three examples of more unusual legislatures which the
author mentions.
(5) According to the author, there are important differences be-
tween modern legislatures. Name four of these differences.
160
(6) What is the main point which the author is making in this quo-
tation?
The answers to most of the questions asked in this activity are fairly
obvious. The concept under discussion is legislatures. (The term
parliament is a term which is often used to refer to particular
legislatures.) The main point of the quotation is that legislatures
differ from one another. At a later stage of our discussion you will
be learning more about such differences. We shall, however, be
dealing mainly with modern legislatures, because the legislative
function is one of the characteristics of the exercise of authority in
the modern state.
To sum up
Legislatures and legislators are found in all societies which are
characterised by political organisation (polities). However, the
nature of such legislatures is likely to differ from one society to the
next.
8.2 WHAT ARE THE FUNCTIONS OF THE LEGISLATURE?

form of regime refers to The legislative authority is primarily responsible for legislation.
the manner in which
authority and/or power
This is not, however, the only function of the legislature. The
is exercised following are important functions which are carried out by
legislatures, but you must remember that these functions will differ
from one state to the next. Important differences result from the
way in which authority is exercised in particular states. In a state
with a democratic form of regime the functions of the legislature
will differ from the functions of the legislature in a state with a
totalitarian form of regime.
We shall now take a brief look at the following functions:
legislation
setting objectives and priorities
miscellaneous functions
LEGISLATION
Legislation is the primary function of the authorities because it
PLC102-S/1 161
precedes both the executive and the judicial functions. Government
policy must be laid down in the form of statutes (laws) before it can
be executed. The existing laws of a state therefore serve as bases for
executive actions and as guidelines for court decisions. The other
two branches of authority are therefore largely dependent on the
legislative authority.
In order to determine the functions of the legislative authority, we

need to take note not so much of what it can do (namely make laws)
but rather of what it does do, as reflected by the content of the acts
and the use the legislative authority makes of its additional powers.
Generally speaking, the legislative authority passes laws on the
following categories:
Amendments to the constitution of the state. The legislative

authority normally has the power to amend the constitution.
The rights and duties of individuals regarding their
relationships with one another and with the authorities.
Some examples here would be acts regulating marital
relationships and Acts which lay down rules governing the
registration of the population.
The services the government provides for the benefit of the
general public, such as laws on education.
The organisation and procedure of administrative and
judicial institution.
The acquisition of state revenue and the expenditure of
public funds (ie state revenue). We generally refer to this
aspect as the budget.
To sum up
The legislative authority is responsible for formulating and
adopting a policy which will enable the government to achieve its
goals.
SETTING OBJECTIVES AND PRIORITIES
The task of the legislature is not, however, confined to law-making.

The formal function of legislation Ð for instance the drafting and
formulation of Acts Ð is a minor task in comparison with the
legislature's broader function, namely to create a balance between
divergent interests within the state in order to ensure a reasonable
level of welfare for all. Of greater importance than formal law-
162
making, therefore, is the determination of objectives and priorities
in the areas of politics, social questions and economics, although in
practice it is chiefly the executive authority which takes the
initiative in determining the objectives of legislation. The correct
solution for an imbalance between people or groups of people lies
in reasonableness. The inherent rationality of a viewpoint only
becomes apparent after broad discussion and a free exchange of
ideas.
MISCELLANEOUS FUNCTIONS
There are also a few other functions which are relegated to some
legislative institutions. In some states it is the practice for the
legislative institution to appoint the head of state and/or the head
of government. You learned about this in study unit 7. The
legislatures of some states also have quasi-executive and even
quasi-judicial functions. In the USA the House of Representatives
has a say in certain appointments made by the President. It is also
possible to impeach public office-bearers, try them and relieve them
of their offices. In the USA it has mainly been judges who have been
relieved of their office in this way. President Richard Nixon
resigned in 1974 when it became clear that the House of
Representatives was about to impeach him on account of the
Watergate scandal.
To sum up
Legislation is the primary function of the legislatures, but it is not
their only function. It should be remembered that the functions of
legislatures will differ from one society to the next.
8.3 WHAT IS FRANCHISE?

franchise is the right to Franchise (or suffrage) is the right to vote in elections, such as
vote in elections
elections for representatives, or in referenda, in which the
enfranchised population has to indicate how they feel about a
particular question and/or policy.
Enfranchisement and elections are mechanisms which enable

authorities to stay in touch with the people on whose behalf they
have to take authoritative decisions. Enfranchisement and elections
are not confined to states which have a democratic form of
PLC102-S/1 163
government, but they are necessary and extremely important in
democracies.
In all modern democracies universal adult franchise is recognised as

the only true basis for representation. Representation refers to the
mandate given by a group of people to another person to act on
representative their behalf. Someone can therefore only function as a representa-
tive if the people that he or she claims to represent have appointed
him or her to do so after exercising freedom of choice.
The underlying theory is that the authorities to which the

population owes obedience have a responsibility not only to look
after that population's interests but also to govern in accordance
with their wishes. The rulers must be accepted by those whom they
rule Ð not only out of habit but also from deliberate choice. This
lends a positive meaning to the idea of ``government by consent''. It
is therefore accepted that those who are governed should not only
personally elect those who govern them but also have the
opportunity to renew the mandate to govern at suitable intervals.
It therefore follows logically that the governors should voluntarily
resign their power if they no longer enjoy the confidence of the
majority.
The system of representative democracy therefore depends on the

principle that the ultimate control over the authorities and
government of a state rests with the enfranchised citizens, and that
they should exercise that control through the agency of freely
elected representatives. By exercising their right to vote, voters fulfil
a modest but important function in the process of government.
QUALIFICATIONS FOR FRANCHISE
Qualifications for franchise determine who has the right to vote.

Franchise qualifications differ from one state to another but there
are certain common factors, such as the following:
In most states franchise is restricted to citizens, whether they

have acquired their citizenship by birth or by naturalisation.
Foreigners are excluded because their allegiance is to another
state.
In most states there is a minimum age qualification.
The mentally ill are excluded because they are not
responsible for their actions.
164
Some categories of criminals are sometimes excluded,
because people who break the law cannot claim any say in
the making of laws.
In South Africa all adults, including prisoners who are at least 18

years of age, have the right to vote. The mentally ill are, however,
excluded from the franchise.
ACTIVIT Y 8.2
Study the list below which shows the age qualifications for franchise in
a number of states and then answer the questions based on the list.
Argentina: 18 years Lesotho: 18 years
Botswana: 18 years Mexico: 18 years
Brazil: 18 years Canada: 18 years
Germany: 18 years Austria: 18 years
France: 18 years Russia: 18 years
India: 18 years Singapore: 21 years
Iran: 15 years China: 18 years
Italy: 18 years Turkey: 18 years
Japan: 20 years South Africa: 18 years
Cuba: 16 years United States of America:
18 years
United Kingdom: 18 years
Source: Encarta world atlas; Country web sites.
(1) In which state or states is the age of enfranchisement the high-

est?
(2) In which state/s is the age of enfranchisement the lowest?
(3) In which state are people deprived of their franchise on account
of advanced age?
(4) At what age do people get the vote in most states?
We shall now examine the practical implications of franchise qualifica-

tions:
(5) In your opinion, should there be franchise qualifications? Give
(6) In your opinion, at what age should people get the vote? Give
(7) Do you think an upper limit should be imposed on the age at
which people can vote?
PLC102-S/1 165
It should again be clear to you that states differ from one another in
their provisions regarding franchise. It would appear, however, that
few states consider people below the age of 18 years to be fit to take
important political decisions. In general advanced age is not a
disqualification for franchise, since few states have any regulations
regarding this.
There are still states like Saudi Arabia where people are not
enfranchised. Only men have the right to vote in Kuwait. There are
various states, such as Australia, where it is compulsory to vote.
To sum up
Provision is made for franchise in most states. Franchise qualifica-
tions determine who has the vote in a particular society. There are
certain trends regarding franchise qualifications, but there is no
uniformity.
8.4 WHAT IS REPRESENTATION?

representation refers to Representation refers to the mandate a group of people give
the mandate that a
group of people give someone else to act on their behalf. Representation therefore implies
someone else to act on that the citizens participate in politics, through the agency of someone
their behalf else. This is in contrast to public meetings, where ordinary citizens
are able to participate personally in decision-making and legisla-
tion. Representation is important today, not only because it keeps
the government in touch with the wishes of the population, but also
because the majority of ordinary citizens simply do not have the
time for full-time participation in politics. Representation, especially
through the medium of political parties, therefore structures the
citizens' participation in politics.
8.5 WHAT ARE THE DIFFERENT KINDS OF ELECTORAL

SYSTEMS?
The idea of representation of the population is a characteristic of

democracy, but when we take the wide variety of functions of the
authorities and the complexity of our society into account we
cannot help asking, ``What should the basis for representation be?''
166
On close inspection, the problems attached to electoral systems all
centre around the question of exactly what the relationship should
be between the representatives and the voters. The ideal is that the
kind of representatives sent to the legislative authority should be an
accurate reflection of the interests they are supposed to represent and the
degree of support from the electorate which they enjoy.
In order to achieve this ideal, states have developed various ways of

electing representatives. Although representation is extremely
important in a democracy, representation and consequently also
electoral systems are found in states which do not have a
democratic form of government.
We shall take a brief look at the most important electoral systems

under which representatives are elected. In order to understand the
issues surrounding the ideal, you need to know about the
following:
the system of one member per constituency

the general characteristics of proportional representation
list systems as a form of proportional representation
the system of the single transferable vote and proportional
representation
mixed systems
the advantages and disadvantages of electoral systems
THE SYSTEM OF ONE MEMBER PER CONSTITUENCY

a constituency is all the The system of one member per constituency is also known as the
voters in a particular
geographic area who
traditional electoral system and the single-member plurality system.
elect one representative This system is the traditional method of representation and is found
in many states. According to this system, one representative has to
be elected in every constituency, and the candidate who obtains the
largest number of votes during the election is the elected member.
The size of his or her majority is not important. Indeed, there have
been instances in South Africa where a member of parliament has
been elected with a majority of one vote.
Because this system usually requires only an ordinary or relative

majority, in practice the result may be unfair and unrealistic
representation. Because an ordinary relative majority is required, it
is possible for an elected candidate to have obtained fewer votes
than the other candidates jointly.
PLC102-S/1 167
ACTIVIT Y 8.3
Study the following hypothetical example and then answer the ques-
tions:
There are three candidates (A, B and C) in an election in which only one
candidate can be elected. Candidate A received 5 000 votes in the
election, candidate B 4 000 and candidate C only 3 000.
(1) Which candidate obtained the most votes?
(2) How many votes did B and C obtain jointly?
(3) Who obtained the most votes: A, or B and C jointly?
(4) Do you think it is fair that A should be the candidate to win the
election? Give reasons for your answer.
(5) In your opinion, which candidate should have won the election?
relative majority A obtained the most votes (we can say that A obtained a relative
majority in relation to B and C). But B and C jointly gained 7 000
votes, that is 2 000 votes more than A. An analysis of the full
election results of a state of this kind often shows a similar situation.
There have even been cases where a party with the minority of
votes overall has won the largest number of seats. When the
National Party came to power in South Africa in 1948, it had
obtained only 37,2% of the votes.
In order to overcome the shortcomings of this system, the
absolute majority
requirement of an absolute or outright majority (that is 50% + 1
of the votes) was introduced in certain states, such as France. This
means that in order to be elected a candidate must obtain at least
one more than half of the total number of votes cast. In order to
obtain an absolute majority, one of the following two alternative
methods is followed:
a second ballot
the use of the alternative vote
second ballot The system of the second ballot is used when more than two
candidates compete for a seat but only one representative is to be
elected and no candidate obtains an outright majority at the first
vote. In the hypothetical triangular election in activity 8.3 the
second ballot system would require a new election between A and B
only (C would fall away). At the second ballot the voters would
therefore have an opportunity to make their choice between these
two candidates (A and B). A serious drawback of this system of the
168
absolute majority is that it can lead to abuses such as bribery and
conspiracy during the period between the first and second elections
when the two strongest parties go all out to win the votes of the
third or fourth parties. Furthermore, this system pushes up the costs
of the election.
alternative vote The system of the alternative vote achieves the same purpose as the
second ballot without a second ballot actually being held. When
there are more than two candidates, voters are asked to rank them
in order of preference by writing the numbers 1, 2, 3 etcetera behind
the names of the candidates. If no candidate obtains an absolute
majority, the candidate against whose name the fewest first choices
have been recorded is deleted from the list and his or her votes are
divided among the other candidates whom voters indicated as
second choices on their ballot papers.
disadvantages However, neither of these systems eliminates the most important
objection to the system of one member per constituency. Neither
system promotes the representation of minority parties, so many
votes are lost in each constituency. These systems do not ensure a
representative legislative authority and do not always guarantee a
strong or stable government.
THE GENERAL CHARACTERISTICS OF PROPORTIONAL

REPRESENTATION
The underlying idea of a system of proportional representation is

that the number of representatives which the various parties have in
the legislative authority should be in proportion to the number of
votes each party has gained. Proportional representation attempts
not only to eliminate the shortcomings of the ordinary majority
system of one member per constituency but also to obviate the
possible anomaly of a minority government.
variations of There are several variations on the system of proportional
proportional
representation
representation. One factor that is common to all of them is that
the constituencies are big, in other words are grouped so that more
than one representative is elected for a single big constituency. An
entire country, such as the Netherlands, could be regarded as a
constituency.
The three principal variations on the system of proportional

representation are the following:
the party-list system
PLC102-S/1 169
the system of the single transferable vote
the mixed system
THE PARTY-LIST SYSTEM OF PROPORTIONAL

REPRESENTATION
According to this system each party obtains as many representa-

tives in each constituency as correspond pro rata to the number of
votes cast for that party. Each party supplies the same number of
candidates as the number of vacancies that occur on a party list of
candidates. The voters generally do not vote for a particular
candidate, but for a particular party. The total number of votes cast
for each party are then counted and the seats are allocated to the
various parties pro rata. For example, if a party gains 70 per cent of
the total number of votes cast, the party can count on 70 per cent of
the number of representatives that exist for those vacancies.
There are certain variations on this system in that in some states

voters have a choice between candidates, or in other words they can
express a preference for certain candidates on the ballot paper. You
are not required to know the finer details of this procedure,
however.
Variations on the party-list system of representation are applied in

Israel, Denmark, Norway, Sweden, Finland, Switzerland, Belgium
and the Netherlands. This system was also used in the South
African 1994 and 1999 elections. (See diagram 8.1.)
THE SINGLE TRANSFERABLE VOTE SYSTEM IN

PROPORTIONAL REPRESENTATION
The purpose of the single transferable vote is to enable voters to

choose their own representatives as far as is practicable, but also to
ensure that the representatives are evenly distributed among the
parties, in accordance with the number of votes they received.
This system works more or less as follows: At least three

constituencies are grouped together to form one large constituency
for which a number of representatives have to be elected. As an
illustration, let's assume that five representatives have to be elected
in a particular constituency. Suppose there are three parties
participating in the election: the Green Party, the Blue Party and
170
the Red Party. These three parties combined put eight candidates in
the field: the Red Party three, the Green Party three and the Blue
Party two. Each voter has one effective vote, but he can also rank
the four other candidates in the order of his choice. Voter X's ballot
paper, for example, would look like this:
DIAGRAM 8.1
Ballot paper used in the 1994 election Ð the first non-racial

election held in South Africa
PLC102-S/1 171
Candidate 1 (Blue Party) 4
Candidate 2 (Green Party) Ð
Candidate 3 (Blue Party) Ð
Candidate 4 (Red Party) 1
Candidate 5 (Green Party) Ð
Candidate 8 (Green Party) 5
When the electoral officer starts counting the votes, his first task is
to sort the ballot papers according to first choices. Let us suppose
that the result of this sorting in our hypothetical example is as
follows:
Candidate 1 (Blue Party) 7 000

Candidate 2 (Red Party) 6 700
Candidate 3 (Green Party) 6 500
Candidate 7 (Blue Party) 3 000
TOTAL 40 000
Quota At this stage the counting is by no means complete. The next task of
the electoral officer is to establish what quota of the total number of
votes a candidate needs before he can be declared elected. This
quota is usually calculated by the Droop method, according to
which the general formula for calculating the quota in an electoral
division is as follows:
Total number of votes
Quota = Total number of seats
+ 1 +1
40 000
Quota = 5 + 1 +1
40 000
Quota = 6 +1
Quota = 6 667 + 1
Quota = 6 668
Any candidate who was the first choice of over 6 668 voters is
declared elected.
In the above example there were only two candidates, 1 and 2, who
gained more votes than the quota. The following procedure is then
applied: Candidate 1 gained 332 more votes than he needed in
172
order to be elected. These `èxtra'' votes are not discarded under this
system, but are transferred to the remaining candidates according
to the second choices of the voters and are added to the number of
votes of the candidates who were indicated as second choices on the
`èxtra'' ballot papers. The same procedure is followed with the
`èxtra'' votes cast for candidate 2.
If, after this process has been completed, there are still insufficient
candidates with the required quota, the candidates are eliminated
from the bottom. The process begins with the candidate who has
received the lowest number of votes, such as candidate 8 in our
example. All the ballot papers on which he was the first choice are
re-sorted according to the second choice added to the number of
votes received by the ``remaining'' candidates. This continues until
the required number of candidates have reached the quota and
accordingly been declared elected. Any surpluses that arise in this
process are then distributed among the ``third choice'' candidates.
This system is applied in the Republic of Ireland.
MIXED SYSTEMS
a mixed system is a In some states, such as Germany, a combination of the one-member-
combination of the one-
member-per- per constituency and proportional representation is used. This is an
constituency system attempt to overcome the problem that minorities often remain
and proportional unrepresented in a system of one member per constituency. In the
representation
German system a certain number of representatives are elected
according to the method of one member per constituency. In an
attempt to achieve better proportionality between the support
enjoyed by any political party and the number of seats it holds, a
further number of representatives are appointed by means of
proportional representation.
THE ADVANTAGES AND DISADVANTAGES OF ELECTORAL

SYSTEMS
The one-member-per-constituency is still in general use today. The

question is, however, whether this is so because in practice this is
the most satisfactory system, or whether the system is so widely
used because it is the traditional system and people have never
really thought of changing to an alternative system. The system of
proportional representation in all its various forms undoubtedly
PLC102-S/1 173
presents a big challenge to the traditional one-member-per-
constituency system.
One of the biggest objections that has been raised to the system of
encourages minority
thinking
proportional representation is that it encourages minority thinking,
which can be unhealthy or even harmful in the social and economic
fields. It is said that this system could encourage various antisocial
factions, fanatical religious sects or even an anti-taxation party.
Although this is a valid objection, it is doubtful whether a group of
this kind could ever be a factor that would need to be taken
seriously. And besides, all societies have their quota of malcontents.
It is also alleged that the system of proportional representation
disrupts personal
contact
disrupts the personal contact between the representative and the
voter and that representatives are completely indifferent to the
interests they are supposed to represent. This is an objection which
has been frequently heard in South Africa since the system of
proportional representation was introduced in this country at the
time of the 1994 election. These drawbacks are aggravated by the
fact that the constituencies are so big. As a result candidates do not
have the opportunity to introduce themselves to their voters or to
keep in touch with public opinion in their constituency. Advocates
of proportional representation point out that under the traditional
system many voters do not even know who their candidate is. In
any event, most voters vote for a particular political party,
irrespective of who their representative will be.
Critics also contend that the system of proportional representation
complicated
is too complicated. Those in favour of it point out, however, that it
is not the voter's job to count the votes but that of the electoral
officers.
DIRECT PARTICIPATION IN POLITICS
The different electoral systems are frequently criticised. It is said

that no system can ever really reflect the will of the people, because
any system can be abused. One alternative which is sometimes put
forward is that the people should be allowed to play a direct part in
the legislative process Ð that is without the intervention of political
parties and representatives Ð in that bills and other measures taken
by the government should be submitted directly to the people for
their approval. In some states there is direct participation by the
electorate by means such as the following:
People's assembly (open-air assembly, popular assembly). The
174
popular assembly is an assembly of individuals who
formulate proposals and take binding decisions. The best-
known example was probably that of ancient Athens, but
popular assemblies are still held in some Swiss cantons
(provinces), such as Appenzell Innerrhoden where they are
called landsgemeinde.
Plebiscite. This is the name of the procedure by means of
which the electorate expresses its preferences regarding a
particular matter which the decision-makers have referred to
the people. The decision makers are not necessarily bound
by the electorate's opinion.
Referendum. A referendum is usually a vote by the electorate
on specific bills or draft amendments to statutes which have
to be submitted to the people for approval in terms of the
constitution. Switzerland is the leading example of countries
that make use of referendums.
Popular initiative. Popular initiative makes it possible for the
ordinary individual to make proposals regarding legislation
or amendments to statutes which will ultimately be referred
to decision makers. Proposals must, however, meet certain
criteria, which would differ from one political community to
the next. Requirements are generally imposed regarding the
number of signatures that must accompany a proposal of
this nature.
To sum up
There are various electoral systems which states can use. The
different electoral systems are often criticised, and there are
certainly advantages and disadvantages to all of them. It has been
alleged that no system can really represent the will of the people
because all systems are open to abuse. One alternative that is
sometimes advanced is that the people should be given a direct say
in legislation Ð that is without political parties and representatives
acting as intermediaries Ð in that bills and other measures taken by
the government should be directly submitted to the people for their
approval.
8.6 HOW MANY HOUSES OF PARLIAMENT ARE THERE?
The exact form taken by the legislature differs from one state to the
next. One important difference is the number of houses which make
PLC102-S/1 175
up the legislature. The following two basic variations are found in
this regard:
the single chamber parliament (unicameral system)

the dual chamber parliament (bicameral system)
SINGLE CHAMBER PARLIAMENT
In some states with a democratic form of government the

legislature, or parliament, consists of only one house which is
responsible for legislation. Unicameral parliaments are also often
found in states with an authoritarian form of government (where
parliament's powers are usually limited). The states with a
unicameral parliament are usually the smaller ones with a fairly
homogeneous population where regional sentiment is largely
absent.
In states with a democratic form of government the voters usually

elect the members of the single chamber. The following are
examples of single chamber parliaments:
Sweden. The voters elect the members of the Riksdag (name of

the parliament) for a period of three years, according to the
system of proportional representation.
Finland. The members of the Eduskunta are elected for a
period of four years according to the system of proportional
representation.
Portugal. The members of the AssembleÂia da Republique are
elected for a period of four years according to the system of
China. The National People's Assembly is elected for a period
of five years.
THE DUAL CHAMBER PARLIAMENT OR BICAMERAL SYSTEM
In states with a bicameral system of parliament a (dual chamber

parliament), there are two houses of parliament. The first house is
known as the lower house and the second house as the upper house. A
name often used for the upper house is the senate. Legislation is
generally handed in at the lower house. Although the upper house
does play a role in legislation, it is the lower house which has the
most important role to play in the making of laws.
176
reasons for a second There are different reasons why states have a second house, and the
chamber
composition and role of the upper house differ from one state to the
next.
We should not regard the state as a homogeneous entity with a

single will. There are likely to be numerous wills within the same
state. Both the first and the second chamber of the legislature
represent the multiple wills within the state. In the upper house the
group aspect of the social structure of a state is usually represented.
Measures are usually discussed from a different point of view from
the one adopted in the lower house. The upper house plays an
important part in the attempt to strike a balance between the
various groups in a state, especially where there are important
regional sentiments.
This is why an extra house (the upper house) is introduced for

legislation. The upper house is composed in a particular way, at a
particular time. Its composition must be such that it is representa-
tive of the population, but at the same time it should not merely
duplicate the composition of the lower house. Furthermore, the
upper house should not thwart the operations of the government
which has the majority in the lower house.
The following are the most important functions of the upper house:
functions of a second The prevention of overhasty legislation. If there were only one
chamber
house, the legislative body elected by popular vote might
proceed to legislate on the basis of emotion rather than
common sense. It is quite possible that a legislature that has
come to power after a hotly contested election might try to
introduce measures which would never have been adopted
upon calmer reflection. If one chamber consists of people of
mature wisdom and considerable experience of politics, they
could possibly prevent the adoption of potentially harmful
legislation, or at least delay it.
Regarding the above aspect, the upper house therefore

serves as a reviewing body, with the function of subjecting
all legislation to sober consideration.
The protection of specific interests. It occasionally happens that

there are specific interests in a state which the lower house
may not necessarily take into account. The upper house is
intent on representing these interests in parliament and is
specially composed for this purpose. Regional interests,
ethnic interests and even the interests of particular classes are
PLC102-S/1 177
all important. In the United States of America regional
interests (ie interests of the different states which make up
the USA, such as California, Texas and Florida) are
important. In Switzerland regional and language interests
are important, and in the United Kingdom (Britain) the
aristocracy is represented in the upper house (House of Lords).
Recognition for outstanding service. In all societies there are
people who have rendered outstanding service to the
country and who would, in theory at any rate, be extremely
useful in the legislative process. It has been suggested from
time to time that people who have distinguished themselves
in one field or another, or who have expert knowledge of
some kind, should be given the opportunity to put their
talents and abilities at the service of the state. In most
democracies the need is felt to apply the cream of the
country's talent and expertise in politics. Political life has
become so complicated that expert knowledge has become
indispensable in numerous respects. Ordinary members of
the lower house Ð or the upper house Ð cannot possibly
exercise sound judgment on all the matters they have to
decide on and it is therefore essential that experts in one field
or another should be called upon for guidance.
disadvantages of An important problem with reference to the upper house is the age-
second chamber
old struggle regarding the division of power between the two
legislative chambers. If the two chambers are equally powerful they
will continually thwart one another. In states where the population
elects the lower house directly and the upper house is constituted
by other means, the lower houses are showing an increasing
tendency to insist that the restraining influence of the upper houses
should be limited. Since an indirectly elected upper house can so
easily lose touch with the population, it is only reasonable that the
house which in general has the greatest say should be the directly
elected lower house. Some upper houses, however, like the senate
in the USA and in Australia, are directly elected by the population
and retain their power. In fact, the American senate occupies a very
influential position.
Norway does not have a formal two chamber parliament. However,

the Norwegian parliament (Storting) chooses one third of its
members of parliament to serve on the Lagting (for practical
purposes an upper house) and the remaining two-thirds serve on
the Odelsting (for practical purposes a lower house). The `ùpper
house'' deals with certain issues, including the constitution itself.
178
To sum up
The way in which the legislatures of states are constituted differs
from one state to the next and is determined largely by
circumstances in each state. Their powers may also differ
considerably from state to state.
8.7 THE INTERNAL PROCEDURAL RULES OF THE

LEGISLATURE
Democracies attempt to achieve two basic purposes through the

internal procedural rules of their legislatures. These purposes are to
permit a government which is based on majority support to govern,
and to allow the voices of the minority to be heard. In order to
reconcile these conflicting interests, a democratic legislative body
has internal procedural rules which allow the opposition to put its
point of view. These procedural rules may include the right to
filibuster, that is to delay or obstruct the proceedings in the
legislature in order to prevent a vote. There are also rules such as
time allocation, guillotine or closure, which permit the government
or the majority party to end the debate and force a decision (see
Jackson & Jackson 1997:248).
When draft legislation is submitted to the legislature it is known as

a bill. In order to become a law, the bill has to pass through various
stages. There is usually an introductory first reading, a debating
stage known as the second reading, a stage for detailed study in
committees, a report back to the whole house and a final third
reading, during which a decision is taken on the principles
contained in the bill. Once the bill has passed through all these
stages it goes to the second chamber, if there is one. In South Africa
the President then signs the bill and it becomes an act of parliament
which is speedily published and comes into operation immediately
or on a date specified in the act (see Article 81 of the Constitution of
the Republic of South Africa 1996).
In states like South Africa with its parliamentary system of

executive authority, the government submits most of the bills.
They are known as government bills. Ordinary or private members
can, however, submit their own bills. In South Africa, like in other
states with disciplined political parties, private bills seldom become
law (see Jackson & Jackson 1997:249).
PLC102-S/1 179
parliamentary Like other legislatures, the South African legislature carries out its
committees
functions by appointing committees to deal with various types of
business. The kind of power the legislative authority will have in
policy making and surveillance over these committees is deter-
mined largely by the relative importance of the committees. The
powers of committees are often placed in the following categories:
legislative functions, careful scrutiny of the executive's authority to
spend money, and investigations into the administration (see
Jackson & Jackson 1997:249).
Although the legislative authority as a whole could perform these

tasks, the committees are often able to do so more effectively. In
theory the committees should allow more specialisation and reduce
partisanship. The reality is more complex, however. In the United
States legislature these principles sometimes allowed the commit-
tees to become power centres in congress. This is because American
parties usually do not display very much party solidarity and the
role of the individual representative or senator may be enhanced by
the rules that reward seniority and involvement in congress
committees (see Jackson & Jackson 1997:249).
In parliaments such as ours a high degree of party solidarity and

discipline overshadow the committees and reduce their overall
significance. In the British type of legislature the committees place
the emphasis on scrupulous investigation rather than on law-
making, in order to avoid contentious areas.
You will need to evaluate the significance of the committee system

in relation to other bodies, such as political parties and the
legislature, and decide what role it plays in each individual state.
Although the committee system in the USA is very influential, for
example, other states may have very weak committees.
To conclude
The legislative authority is one of the branches of the authorities
(government) but it may take on a variety of forms.
SELF-EVALUATION 8.1
(1) Explain in five lines what constitutes the legislative authority.
(2) Name the functions of the legislative authority.
180
(3) What is franchise?
(4) Were you able to vote in the 1994 election? Why/why not?
(5) Name the most important qualifications for franchise.
(6) What is representation?
(7) Name the various electoral systems.
(8) Briefly explain the traditional method of representation (one
member per constituency).
(9) What are the disadvantages of the traditional system?
(10) Explain the functioning of the requirement that there should be an
absolute majority in an election.
(11) What are the disadvantages of the absolute majority require-
ment?
(12) Briefly explain the following variations on the system of
(a) the party-list system
(b) the mixed system
(c) the system of the single transferable vote
(13) Which electoral system is used in South Africa?
(14) What are the advantages and disadvantages attached to the
system of proportional representation?
(15) Briefly explain the functions of the second house of parliament.
SELF-EVALUATION 8.2
book.
Study the following sections in the book by Jackson & Jackson (1997):
pages 243±250, 364±374, 267±268:
(1) According to the writers, what is the most important character-
istic of the legislature (p 243)?
(2) According to the writers, what are the most important functions
of the legislature (pp 244; 267±268)?
(3) In which different ways can legislatures be organised, according to
the authors (pp 246±247)?
(4) Which are the states whose upper houses the authors discuss
(pp 247±248)?
(5) Which internal rules of the legislature do the writers discuss
(pp 248±250)?
(6) What do the authors see as the functions of elections (pp 365±
366)?
(7) Which techniques of direct democracy do the authors discuss
(pp 367±370)?
(8) Which types of electoral systems are discussed by the authors
(pp 371±375)?
PLC102-S/1 181
SELF-EVALUATION 8.3
Study pages 218±235 in the book by Hague and Harrop (2001) and
answer the following questions:
(1) Explain how the authors define the concept of legislature on page
218.
(2) According to the authors, what are the most important
characteristics of a legislature (pp 223±230)?
(3) Which is more popular among states: unicameral or bicameral
legislatures (p 219)?
(4) What is the role of committees in a legislature (pp 221±222)?
(5) What are the reasons for the decline of legislatures (p 232)?
TEST 8
QUESTION 1

false
A legislature has to be a permanent, periodically convened institution
composed of officials elected for a limited term for the express purpose of
making laws.
1 True
2 False
QUESTION 2
In the United States of America the legislature is called the

1 Congress
2 House of Representatives
3 Senate
QUESTION 3

false
Though it is not the only function of the legislature, lawmaking remains the
most important function of a legislature.
1 True
2 False
182
QUESTION 4
Study pages 243±245 in Jackson and Jackson (1997) and indicate which
one of the following statements is incorrect.
incorrect
1 Nearly all states have some kind of legislative authority.
2 In Western liberal democracies, legislatures make decisions by
counting votes.
3 The only function of a legislature is lawmaking.
4 Legislatures and executives often share the function of lawmaking.
QUESTION 5

false
Government policy in a democracy is determined by the executive.
1 True
2 False
QUESTION 6
Indicate which statement on the qualifications for franchise is incorrect.

incorrect
1 All states set some qualifications to determine who may vote.
2 The minimum age qualification may be as low as 15 years.
3 Some states set both a minimum and a maximum age qualification
for compulsory voting.
4 Some categories of criminals are sometimes excluded.
5 There are certain trends, but no uniformity regarding franchise
qualifications.
QUESTION 7
In an electoral system that requires an absolute majority, which of the

following candidates (A, B, C or D) will be declared elected if they have
polled the following number of votes:
A: 1 000 votes
B: 500 votes
C: 2 000 votes
D: 1 500 votes
1 Candidate C will be elected.
2 It is impossible to determine with the information available.
3 None of the candidates will be elected because the election
will be declared invalid.
PLC102-S/1 183
QUESTION 8
In which electoral system does the number of representatives of each

political party correspond pro rata to the number of votes cast for that
party?
1 One member per constituency
2 Single-member plurality
3 Proportional representation
QUESTION 9
Which state is regarded as the leading example when it comes to the use
of referendums?
1 The United Kingdom (Britain)
2 The United States of America
3 Switzerland
4 Germany
5 Italy
QUESTION 10
Indicate the correct statement

The Plebiscite is associated with the following:
1 Single chamber parliament
2 Direct participation in politics
3 Proportional representation
4 Single-member plurality
5 None of the above
QUESTION 11
Study pages 246±248 of the book by Jackson and Jackson (1997).

Rank Germany, the United States of America and the United Kingdom
(Britain) according to the power that the upper house exercises in each
state respectively. Ranking should be from the most to the least powerful.
1 Germany; United States of America; United Kingdom
2 United States of America; United Kingdom; Germany
3 United Kingdom; United States of America; Germany
4 Germany; United Kingdom; United States of America
5 United States of America; Germany; United Kingdom
184
QUESTION 12

false
Legislatures are only found in democracies.
1 True
2 False
QUESTION 13
What is the most important function of the legislative authority?

1 legislation
2 determining objectives and priorities
3 election of the head of state
4 judicial functions
QUESTION 14

false
The qualifications of franchise in various states are more or less similar.
1 True
2 False
QUESTION 15

false
According to Jackson and Jackson (1997), the electoral system will
determine who will vote and how votes will be counted. It is therefore
possible that the ideal of representation may be distorted.
1 True
2 False
COMMENTS
QUESTION 1
This statement is incorrect.
QUESTION 2
The appropriate option is no 1. The legislature in the USA is known as
PLC102-S/1 185
Congress and it is composed of two houses, namely the House of
Representatives and the Senate.
QUESTION 3
This statement is true. You will find the discussion in this study unit and
on pages 243±245 of the prescribed book. Legislation is the most
important focus of a legislature even though the legislature may have
advisory powers also.
QUESTION 4
The appropriate option is no 3. Though legislation is the primary function

of the legislative authority, it is not the only function. You will find the
discussion on the same pages mentioned in question 3.
QUESTION 5
This statement is false. Policies are enacted in acts that are approved by
the legislature even though they may be drafted by the executive. Note,
however, that most acts (law) will make provision for decisions by, for
example, ministers and even public officials. Thus even though the
contents of these decisions are not formally included in a particular law,
they are made in terms of the provisions of a particular law. Even though
this is usually a requirement of democracies, authoritarian governments
may have other practices in this regard.
QUESTION 6
The appropriate option is no 1. Even though most states make use of

elections in some or other form, it is important to remember that not all
states do. States that do not make provision for elections do not have
the need to specify who may vote and who may not vote in elections. All
the other options are therefore correct. Option 5 is apparently confusing
to some students, but it is important to realise from the discussion in
the study guide that there are variations. There is, for example, a
minimum age at which a person may become eligible to vote, however, this
minimum age differs from one state to another.
QUESTION 7
The appropriate option is no 2. Even though candidate C obtained the

majority of votes, he did not get an absolute majority. Usually the
candidate who received the fewest number of votes (in this case, B) is
186
eliminated, and a second election is held. Alternatively the ballot papers of
(B) will be counted in terms of second preferences Ð depending on the
rules of the particular electoral system.
QUESTION 8
QUESTION 9
Switzerland is well-known for its widespread use of referenda. For example,

a law will only come into force after it has been given the go ahead in a
referendum.
QUESTION 10
The appropriate option is no 2. A plebiscite is a form of direct

participation in elections.
QUESTION 11
The appropriate option is no 5. The United States of America's Senate is

indeed a powerful institution. The German upper house (Bundesrat) is
important in the making of political decisions, but not to the same extent
as the Senate in the USA. On the other hand the British House of Lords
is to a large extent a rubber stamp of the lower house (House of
Commons).
QUESTlON 12
The statement is incorrect, for legislatures may be found in states that

are not democratic.
QUESTlON 13
The appropriate option is no 1. Though all the options mention some or

other function of the legislative authority, legislation is the most
important function of the legislative authority.
QUESTlON 14
This statement is incorrect. Though there are common factors and

common trends in franchise qualifications, these may differ widely from
one state to another.
PLC102-S/1 187
QUESTION 15
This statement is correct. This statement is discussed on pages 371±

375 of the book by Jackson and Jackson (1997).
SOURCES
Collier's Year Book 1990, 1991. 1992, 1993, 1994, 1995, 1996, 1997. New York:
Collier's.
Roskin, M, Cord, RL, Madeiros, JA & Jones, WS. 1997 Political science: an
Van Vuuren, DJ & Kriek, DJ. 1982. Politieke alternatiewe vir Suider-Afrika: grondslae
en perspektiewe. Johannesburg: Macmillan.
188
STUDY
UNIT 9
BRANCHES OF GOVERNMENT:
THE EXECUTIVE
INTRODUCTION
In study unit 7 mention was made of the executive.

In this study unit we attempt to answer the question, ``Who is responsible for carrying out
the decisions of a state?'' In order to answer this question, you will need to know the
answers to the following focus questions:
FOCUS What is the executive?

QUESTIONS What different forms can the executive take?
9.1 WHAT IS THE EXECUTIVE?
The executive is that branch of the government which is responsible

for implementing the policies and laws of the legislature.
in the narrow sense this The term `èxecutive'' has both a wider and a narrower meaning. In
branch of government is
also referred to as the the broader sense it embraces the whole public service, including all
political executive officials responsible for the administration of government services,
that is everyone from the president, king or queen or governor-
general right down to the humblest official, constable or soldier. In
the narrower sense the concept refers only to the head of the
PLC102-S/1 189
executive branch, together with his or her immediate subordinates
(usually the cabinet ministers). Some examples are the president
and the cabinet in the USA, the president and the cabinet in South
Africa or the president and the cabinet in Zambia.
wider meaning In this study unit we shall use the term `èxecutive'' in the narrow
sense. We shall use it to mean the head of the executive authority
together with his or her ministers, that is to say those institutions
which in terms of the constitution are responsible for the state's
executive functions. The executive in its narrower sense is usually
known as a state's government. The government is responsible for
carrying out the instructions of the legislature, as contained in the
laws of the state. We refer to the executive in the wider sense as the
administration (the public service).
These days there is an increasing tendency for the executive to

overshadow the legislature. The executive is no longer simply
concerned with the execution of laws, but as a result of the
complexity of modern life it has become the chief architect of the
policy which the legislature has to ratify.
Ironically enough we find that in a modern democracy the larger

the number of acts passed by the legislature, the greater and more
extensive the executive's sphere of influence.
9.2 WHAT FORMS CAN THE EXECUTIVE TAKE?

The executive of a state may take various forms, which are known
as forms of government. The following forms of government are
found:
the parliamentary system

the nonparliamentary system
the combined system
the committee system
THE PARLIAMENTARY SYSTEM OF THE EXECUTIVE (CABINET

SYSTEM)
The parliamentary system of the executive is based on the principle
that the executive should always be responsible to the legislature.
Members of the cabinet should therefore also be members of the
legislature.
190
Because the cabinet is dependent on the support of the legislature,
under the parliamentary system of the executive there is no
absolute separation between the legislature and the executive.
The members of the cabinet must hold the same political views, or
at least reconcilable views. The cabinet is therefore composed of the
members of the majority party, or of a number of parties which
enjoy the support of the majority in the legislature. When the
cabinet is composed of more than one party, we usually speak of a
coalition government coalition government. A majority in the legislature may be
obtained by means of a coalition.
Under the parliamentary system the cabinet only retains its position
for as long as it enjoys the support of the majority in the legislature.
As soon as it loses the support of the parliamentary majority it is
forced to resign.
The cabinet serves as the government's executive institution for the

following reasons:
The head of the executive (the president, king or queen, or

governor-general) is merely a nominal figure. Any executive
action authorised in his or her name must be co-signed by a
member of the cabinet.
Members of the cabinet act as heads of state departments
and supervise the execution of laws.
The cabinet is responsible for formulating the state's
executive policy.
The cabinet controls the legislative programme and takes the

initiative in the legislative process by proposing all the most
important bills or amendments to statutes in the legislature and
piloting them through parliament. Because the cabinet is in such
close contact with the administration, it is in a very favourable
position to perform this function.
The cabinet is collectively fully responsible to the legislature for the

executive policy and all other aspects of the administration of
government services. The cabinet therefore serves as a link between
the legislature and the administration.
The cabinet takes its lead in all respects from the head of the
government, who is usually known as the prime minister. The head
of government is usually the recognised leader of the majority party
who has been requested by the head of state to form a cabinet, after
a general election.
PLC102-S/1 191
When a coalition of parties is required to form a cabinet, the head of
government is usually the person who enjoys the highest status
among the coalition parties Ð or at least at the time when he or she
succeeds in mustering sufficient support to form a coalition cabinet.
The head of government has the power to decide who will serve on
his or her cabinet and how the government departments will be
distributed among the individual ministers. The cabinet usually
consists of the most prominent members of the majority party or
parties.
Although the head of government has been described as the primus

inter pares (the first among peers) in relation to the other members of
the cabinet, he or she is really far more than that. His or her prestige
is far greater because he or she functions as the actual head of
government under the parliamentary system of executive authority.
Today the parliamentary system of the executive is found in

countries such as the United Kingdom, Canada, Australia, New
Zealand, India, Germany, Belgium, the Netherlands, Denmark,
Norway, Sweden and Japan.
THE NONPARLIAMENTARY SYSTEM OF THE EXECUTIVE

POWER
This system is also known as the presidential system. In this case the
executive is directly responsible to the people. In this system, heads
of the executive have real or actual powers; the people elect them
for a fixed period and, provided that they do not contravene certain
laws during that period, the legislature cannot remove them. The
essence of this system is that heads of the executive do not have a
vote in the legislature and need not resign if they lose the
confidence of the legislature.
The USA is probably the best-known example here. Because the

head of the executive in the USA bears the title of president, this
presidential system form of nonparliamentary executive is known as the presidential
system. There are states, however, where the head of state is also
known as the president, but where he or she has no real powers or
competencies and consequently the parliamentary system of the
executive prevails. What is characteristic of this system of the
executive is not that the president is head of state, but that the head
of state has real powers and the executive is not responsible to the
legislature.
192
The concept of a system of the executive which is established for a
certain period and is not responsible to the legislature can be traced
back to the view that the person elected head of the executive
should not be subject to the restrictions imposed by an institution
elected for a different purpose, namely law-making.
disadvantage The big disadvantage of the presidential system as it is applied in
the USA is that it hampers cooperation between the president and
Congress (the American parliament). The reason is that cooperation
between the legislature and the executive arm, which is based on
the principle of the separation of powers, is not institutionalised in a
government institution.
The American president has no vote in Congress and he does not

resign if he loses the confidence of Congress. Congress may refuse
to ratify presidential policy, but on the other hand the president has
the right to veto the laws passed by Congress. When the president
and Congress clash, a constitutional deadlock arises but the
president is not permitted to resign or call an election to allow
the people to serve as the final arbiter, as the president would do
under the parliamentary system of the executive. The only solution
is to wait for the next election. This situation arises quite frequently
when the party to which the president belongs is the minority
group in Congress.
Another major drawback is the fixed terms of office of the American

president and Congress. If both Congress and the president lose the
confidence of the people, this state of affairs simply has to continue
until the next election comes around. It is therefore the calendar
rather than the political situation which determines when the voters
will have the opportunity to hand the reins of government over to
others. The system is not conducive to a wide-awake and
responsible opposition, because the opposition need not be ready
to take over the function of government at any time.
The separation of powers also results in divided responsibilities. In

the event of maladministration the American president and
Congress can lay this at one another's door.
In conclusion it may be said that the presidential system, despite its

weaknesses, generally functions fairly successfully in the USA. The
growth and popularity of the presidential leadership and the special
type of party system have been sufficient in the past to bring about
adequate cooperation and overcome the inherent structural weak-
nesses of the system.
PLC102-S/1 193
THE COMBINED OR SEMI-PRESIDENTIAL SYSTEM
As we explained in study unit 8, some states, such as France and

Portugal, have both a head of state with real or actual executive
powers and a head of government with real or actual executive
powers. The head of state is usually directly elected, but in states
which do not have a democratic form of government there could
even be a hereditary head of state with real or actual powers.
Where hereditary heads of state have real or actual executive

powers, prime ministers may be elected to their position, but it is
also possible that the head of state may appoint the prime minister.
Where heads of state are directly elected, they are generally known
as the president. Prime ministers generally acquire their position in
the same way as under the parliamentary system of executive
authority.
The combined system has all the same advantages as the

parliamentary and nonparliamentary systems of the executive. It
does, however have the additional drawback that differences of
opinion may arise regarding who is responsible for what.
THE COMMITTEE SYSTEM
In Switzerland there has been an attempt to establish an executive

authority which combines the advantages of both the parliamentary
system and the presidential system. At the same time the
disadvantages of both systems are eliminated.
ACTIVIT Y 9.1
Read the following description of the executive authority in Switzer-

land and then answer the subsequent questions:
Under the Swiss committee system the executive is in the hands
of the federal council, which consists of seven members and
which is elected by the bicameral legislature or federal assembly
(made up of the national council and the council of states). The
members of the federal council are usually elected from among
the members of one of the two houses of the legislature, but this
need not necessarily be the case. As soon as someone becomes
a member of the federal council, he or she ceases to be a member
194
of the legislature. The federal council is elected for the same per-
iod as the legislature, namely four years.
An interesting feature of the Swiss system is that there is no per-

manent head of state. However, since there are certain functions
which have to be carried out in the name of the state, the federal
council chooses one of its own members as chairman, who then
serves as the head of state of Switzerland (with the title of presi-
dent) for a period of one year. The same person may not be chair-
man for longer than one year, which is why there is a different
head of state every year.
The executive in Switzerland is in the hands of a committee con-

sisting of seven members. This is in line with the procedure fol-
lowed with regard to executive power in the parliamentary
system, but is unlike the procedure followed in the USA. Although
the seven members may not be members of the legislature, they
may participate in debates in the legislature and state their views
there. Furthermore, each member of the committee is head of a
state department or departments for which they must account to
the legislature. Since they are elected for a fixed term, they are
not called upon to resign if the legislature does not agree with
them.
(1) How many members make up the Swiss executive?

(2) How are these members usually elected?
(3) How long is the period of office of the federal council?
(4) Does Switzerland have a permanent head of state?
(5) How and for what term is the Swiss head of state elected?
The Swiss system therefore makes provision for an executive which

is both responsible and stable. Responsibility is built into the system
by the arrangement that the legislature elects the members of the
federal council and, if they prove to be unsatisfactory, they run the
risk of not being reelected after four years.
To sum up
We could say that the unique Swiss system of the executive has
succeeded in combining the advantages of both the parliamentary
and the presidential systems of the executive while at the same time
eliminating the disadvantages of both.
PLC102-S/1 195
SELF-EVALUATION 9.1
(1) Which are the two meanings of the term `èxecutive''?
(2) What is the principle on which the parliamentary system of the
executive depends?
(3) Why are cabinet members also members of the legislature?
(4) Why is the cabinet obliged to resign if it no longer enjoys majority
support in the legislature?
(5) Why is the cabinet responsible to the legislature for the executive
policy?
(6) What are the characteristics of the nonparliamentary system of
the executive?
(7) Why is the executive directly responsible to the people under the
presidential system?
(8) Does this head of state or head of the executive have real or
actual powers?
(9) Is the head of the executive obliged to resign if he or she loses the
confidence of the legislature?
(10) What are the characteristics of a combined system of the
executive?
(11) What are the characteristics of the committee system of the
executive?
SELF-EVALUATION 9.2
book. Read the following sections in the book by Jackson and Jackson
1977: pages: 235-243, 255-265
(1) Which different forms of executive authority do the writers
discuss?
(2) Study the schematic representation of the parliamentary and the
nonparliamentary systems of executive authority. What is the
most important difference in the examples depicted?
(3) How do the French and Russian executives differ from the other
executives discussed by the writers?
196
SELF-EVALUATION 9.3
(1) Name and explain briefly the various forms of the executive that
the authors discuss.
(2) List the most important differences between the various forms of
the executive.
(3) Explain briefly how the French system of the executive differs from
the other systems discussed by the authors.
TEST 9
QUESTION 1
Which of the following is not a characteristic of the executive in

Switzerland?
1 The executive is in the hands of a seven member Federal Council.
2 As soon as someone becomes a member of the Federal Council he/
she ceases to be a member of the legislature.
3 The members of the executive do not have to resign if the
legislature does not agree with them.
4 The Federal Council chooses one of its members to serve a term of
four years as head of state.
5 The members of the executive may participate in debates in the
legislature, but may not vote.
QUESTION 2
The following is a schematic presentation of what type of executive

system?
Lower house Upper house President
F F F
Cabinet administration
Administration
___________________________________________________________
Voters
___________________________________________________________
PLC102-S/1 197
1 parliamentary system
2 nonparliamentary system
3 combined system
4 committee system
QUESTION 3
Indicate which one of the following is not a characteristic of the

nonparliamentary system of the executive.
1 There is separation of the executive and the legislative authority.
2 The head of the executive does not have a vote in parliament.
3 The head of the executive is directly responsible to the electorate.
4 The executive authority is responsible to the legislative authority.
COMMENTS
QUESTION 1
The appropriate option is no. 4. A characteristic of the Swiss system is

the fact that it does not have a head of state that serves for a long
period of time. The office of head of states therefore rotates annually.
QUESTION 2
The appropriate option is no 2. In a nonparliamentary or presidential

system of the executive, the executive is independent of the legislature
and directly accountable to the electorate. Study figure 13.1 on page 256
of the book by Jackson and Jackson (1997).
QUESTION 3
The appropriate option is no. 4. One of the important characteristics of

the nonparliamentary system of the executive is that it is directly
responsible to the electorate and not to parliament as is the case with
the parliamentary or cabinet system of the executive. Options 1, 2 and 3
are therefore all characteristics of the executive in a nonparliamentary
system of the executive.
198
SOURCES
Banks, AS. 1995. Political handbook of the world 1994-1995. New York: CSA.
Collier's Year Book 1990, 1991, 1992, 1993, 1994, 1995, 1996, 1997. New York:
Collier's.
Lawson, K. 1993. The human polity: a comparative introduction to political science. 3rd
Roskin, M, Cord, RL, Madeiros, JA & Jones, WS. 1997. Political science: an
Van Vuuren, DJ & Kriek, DJ (reds) 1982. Politieke alternatiewe vir Suider-Afrika:
PLC102-S/1 199
STUDY
UNIT 10
BRANCHES OF AUTHORITY:
THE JUDICIAL AUTHORITY
(JUDICIARY)
INTRODUCTION
In the previous study units you were introduced to two of the three branches of authority
(government). In this study unit we are going to seek an answer to the question, ``What is
the nature and what are the functions of the judiciary?'' To be able to answer this question,
you will need to be able to answer the following focus questions:
FOCUS What is the judicial authority (judiciary)?

QUESTIONS What are the functions of the judiciary?
How are the independence and impartiality of the judiciary
maintained?
10.1 WHAT IS THE JUDICIARY?
The judiciary (judicial authority) is that branch of authority which

adjudicates the law as laid down by the legislature and adminis-
tered by the executive. The judiciary supplies an authoritative
interpretation of the law in the event of disputes regarding the
meaning, validity or contravention of the law.
200
The fact that the judiciary performs these functions may also affect
the very essence of democracy. It is of the utmost importance that
every state with a democratic regime should have an institution
whose task it is to prevent arbitrary actions on the part of those in
charge of the administration, and settle differences between juristic
persons impartially. In most states this important task is entrusted
to the judiciary. Further, the impartiality of the judiciary is regarded
as indispensable for the protection of civil rights and liberties.
10.2 WHAT ARE THE FUNCTIONS OF THE JUDICIARY?
A few important functions of the judiciary will be singled out in this

study unit:
The first and most important function of the judiciary is to
application of law
apply the law to individuals and other juristic persons. The
performance of this function is usually prompted by one of
two situations. Firstly, it applies when someone has contra-
vened some legal rule and is being prosecuted under the
criminal justice system. Secondly, it performs a civil law
function when a dispute has arisen between two juristic
persons or between an individual and another juristic person
about some matter or action where there has been an
infringement of the rights or freedoms of one party and the
parties have applied to the judiciary to settle the dispute.
In the course of the applications of law the judiciary also
creating law
creates law. When a case is served before the judiciary and
no specific written rules can be found to apply, the judges
seek a recognised precedent. What the precedent system
amounts to is that the decisions of higher courts are binding
in the event of subsequent cases which have more or less the
same kind of factual background. The judiciary are in a
position to fill in the gaps that may exist in laws. In fact, the
greater part of what is known as common law came into
being in this way.
In the normal course of events the judiciary also makes law

in the sense that it interprets the existing acts and laws,
documentary constitutions, administrative rules and regula-
tions, et cetera, in a particular way. These interpretations
then serve as precedents in subsequent cases if the precedent
system is applicable. The possibility of interpretations of this
kind is naturally determined by the wording of the written
PLC102-S/1 201
rules or acts of parliament. In states where the law has not
been codified (ie combined under a system or code), the law-
making activity of the judiciary is very important.
The last point that we should mention is that in some states
the judiciary is responsible for testing the validity of the acts
judicial review (laws) passed by the legislature (this is known as judicial
review). Here it is usually a question of determining whether
a particular act does not contravene the provisions of the
constitution. Some states (like South Africa) have a specific
constitutional court which is entrusted with this function.
When a state has a specific court with the right of judicial
centralised system of review, we call this a centralised system of the constitu-
constitutional court tional court. In other states (such as in the USA), any court
has this function. In this case we call it a decentralised
decentralised system of system of the constitutional court.
constitutional court
The judiciary serves as the guardian and interpreter of the
constitution. The judiciary therefore has the power to declare
any acts or other legal rules that contravene the constitution
to be null and void.
You will remember, for example, that in South Africa, the

constitutional court ruled that the death penalty is in
contravention of the constitution.
The judiciary does not have the right of review in all states,
however. Even in states with a democratic form of regime
the judiciary does not necessarily have the right of review.
The United Kingdom is a case in point.
The right of review of the judiciary also depends to an

important degree on whether or not the constitution is
flexible. In cases where the constitution is inflexible, in other
words where it can only be amended by means of a special
procedure, the judiciary may have the power to determine
whether an amendment is constitutional, that is to say
whether the legislature has acted within its mandate and
according to the required procedures.
10.3 IN WHAT SENSE IS THE JUDICIARY REGARDED AS

IMPARTIAL?
The necessity of having an independent and impartial judiciary is

recognised in all democratic states. There are two ways in which
202
this can be effected. Firstly, the constitution may ensure that the
judiciary maintains its independence. Secondly, the judges should
always act in an impartial and objective manner. It is therefore
important that the judges should be free of any form of pressure
which the other two branches of authority, private interest groups
and any political party may try to exert on them. The acquisition of
this independence depends on a tradition of nonintervention, and
depends largely on the quality, integrity and resolution of the
judges.
appointment The method by which judges are appointed can have an important
influence on the independence and impartiality of the judiciary.
Nomination by the executive is generally considered the best
method of appointment, although nomination by the judiciary itself
can also yield good results. Popular voting is undesirable, however,
because of the danger that the election of judges, and the way their
decisions are received, may be influenced by party politics.
terms of office The term of office is of even greater importance than the
appointment of judges. Judges appointed for life are in a better
position to withstand pressure than those appointed for short
periods. A long term of office should, however, be combined with a
cumbersome dismissal procedure, otherwise it would be of little
value.
adequate remuneration Another method of ensuring judicial impartiality is the guarantee of
adequate remuneration and the knowledge that the judge's salary
will not be reduced if he or she does not comply with certain partial
demands.
In South Africa the 1996 constitution provides that the president

should appoint judges upon the advice of the Judicial Service
Commission. Their term of office is not fixed and it is terminated by
an act of parliament. Their salaries, allowances and benefits may
not be reduced.
sufficient powers The judiciary should also have sufficient powers to enable it to
safeguard its activities and enforce its decisions. The authority to
penalise any person who shows contempt of court ensures an
orderly course of the court procedures and that the orders and
decisions of the courts will be enforced. Other powers which the
judiciary requires in order to carry out its responsibilities effectively
include the power to summons any person to appear before the
court and to penalise him or her in the event of default, to summons
witnesses to appear before the court, to take down evidence and to
call for necessary evidence, documentary or otherwise. The
PLC102-S/1 203
judiciary must also have the power to issue court orders regarding
the actions of certain persons, where this is in accordance with court
decisions.
To conclude
States differ in respect of the nature, method of appointment and
functions of the judiciary, as well as in other respects.
SELF-EVALUATION 10.1
(1) What does the judiciary consist of?
(2) What are the most important functions of the judiciary for
political purposes?
(3) Why should the judiciary be independent?
(4) How could the method of appointment affect the impartiality of
the judiciary?
(5) How could the term of office of judges affect their impartiality?
(6) How and for what period are South African judges appointed?
(7) Could an inadequate salary be detrimental to judicial impartiality?
Give reasons for your answer.
(8) How does the judiciary restrain the government from taking
arbitrary action?
(9) Explain how judges make law.
book.
Read the following pages in the prescribed book by Jackson & Jackson
(1997): pages 210±212.
(1) In the writers' view, what is the most important reason why states
have a judiciary (p. 210)?
(2) According to the writers, the courts have not only a judicial
function but also a political function (p. 211). What reasons do
they advance for this statement?
204
Study pages 190±201 in the book by Hague and Harrop (2001).
(1) Briefly discuss the importance of the judiciary in the state,
according to these authors.
(2) Briefly explain how the judiciary becomes involved in politics,
according to the writers.
TEST 10
QUESTION 1
Which statement regarding the judiciary is incorrect.

incorrect.
1 The judiciary is responsible for the application of the law in a
democratic state.
2 The lawmaking function of the judiciary is very important in some
states.
3 In the United States of America any court may test the validity of
the law passed by the legislature.
4 The United Kingdom has a system of judicial review that is similar
to the system we have in South Africa.
QUESTION 2

false
A Constitutional Court is usually found in a state that has a centralised
system of constitutional review.
1 True
2 False
COMMENTS
QUESTION 1
The appropriate option is no. 4. The judicial system of the United Kingdom
is not characterised by a system of judicial review by a constitutional
court, as is the case in South Africa.
PLC102-S/1 205
QUESTION 2
This statement is correct. In a decentralised system like that of the

United States of America, ordinary courts are also involved in the process
of judicial review.
SOURCES
Collier's Year Book 1990, 1991, 1992, 1993, 1994, 1995, 1996. New York: Collier's.
206
STUDY
UNIT 11
THE BRANCHES OF
AUTHORITY: SEPARATION
OF POWERS
INTRODUCTION
In the previous study units you were introduced to the various branches of authorities,
namely legislative, executive and judicial. If you take note of the discussions of these
different branches, you will observe that different branches involve different people and
institutions. This is a characteristic of the structure of authority found today in any modern
state, especially if the state has a democratic form of government. However, certain forms
of political organisation do exist where these different branches are run by the same
institutions and person or persons. In this study unit we shall attempt to answer the
question, ``Why should the different branches of authority be separated?'' In order to
answer this question you will need to be able to answer the following focus questions:
FOCUS What does the theory of the separation of government powers

QUESTIONS involve?
How is the idea of the separation of government powers
applied?
PLC102-S/1 207
11.1 WHAT DOES THE THEORY OF THE SEPARATION OF
POWERS INVOLVE?
On the basis of the three functions it performs, the government is

divided into three branches, namely the legislature, the executive
and the judiciary.
Besides the functional basis for the division of authority, this

division also depends on the constitutional principle known as the
separation of powers. This separation of powers is also sometimes
referred to as the trias politica. This separation is justified because it
prevents the arbitrary use of power by a single person or institution.
The French constitutionalist, Charles-Louis de Secondat, Baron de
Montesquieu, who is generally known as Montesquieu (1689-1755),
laid the foundation for this theory in his book entitled De l'Esprit des
lois (Spirit of the laws), which was published in 1748.
Montesquieu concluded that if the legislature, the executive and the

judiciary were in the hands of one and the same person, there could
be no question of freedom. Where these functions are carried out by
the same person or persons, the danger is that the same king or the
same senate could pass tyrannical laws which would then be
applied and adjudicated in the same tyrannical fashion. The life and
freedom of the citizens could be made subject to the whims of a
tyrant.
The idea of the separation of powers was not limited to

Montesquieu, for the English jurist, Sir William Blackstone (1723±
1780) subsequently came to the same conclusion in his Commentaries
on the laws of England (1765).
11.2 HOW IS THE CONCEPT OF THE SEPARATION OF

POWERS APPLIED?
Montesquieu and Blackstone's theory strongly influenced the

Philadelphia Convention of 1787, which drew up the federal
constitution of the USA. The compilers of this constitution also tried
to introduce a degree of separation of powers. ``The accumulation
of all powers,'' says the Federalist (an anthology containing essays in
defence of the American constitution by Hamilton, Madison & Jay.)
``legislative, executive, and judicial, in the same hands, whether of a
few or many, and whether hereditary, self-appointed, or elective,
may be justly pronounced the very definition of tyranny.''
208
The application of the theory of separation of powers implies not
only that executive power may not be in the same hands as the
legislative power, but also that these two institutions must be
separate from one another, so that the one does not control the
other. Any state which carries this theory to its logical conclusion
would have an executive which falls outside the control of the
legislature. We call an executive of this kind a nonparliamentary
executive. This type of executive is found in the USA.
In the USA the separation of powers is effected by separating the

personnel serving the three branches of authority. The American
constitution provides that no-one may hold office in more than one
of the branches of authority simultaneously. If for example, a
senator wishes to become a member of the cabinet, he or she must
vacate his or her seat in the upper house (senate). If a judge wants to
accept a post as an ambassador, he or she is required to resign from
the bench (Jackson & Jackson 1997:204).
This traditional threefold classification of authority is misleading in

some respects. In reality all three branches of authority perform
multiple functions. The executive makes use of delegated legislation
in order to perform many of its tasks. Modern governments make
increasing use of regulations when they want to add further
detailed provisions to acts. The legislature has neither the time nor
the desire to frame legislation which contains very detailed
provisions, and so this responsibility is delegated to the executive
and the administration (Jackson & Jackson 1997:244).
To help achieve a separation of powers, each branch of authority
may be empowered by a constitution to impose certain restrictions
on the other two. In the USA this system is known as checks and
balances. The American constitution makes provision for a
non-parliamentary
executive and the
nonparliamentary executive and the right of the president (execu-
separation of powers tive) to veto bills passed by Congress (the legislature). On the other
hand, Congress may refuse to adopt bills proposed by the
president, may refuse to approve financial measures (known as
appropriations), may refuse to ratify some appointments and may
even impeach the president and remove him or her from office.
Because it has the power to declare certain legislation unconstitu-
tional, the American Supreme Court has also become part of the
system of checks and balances (Jackson & Jackson 1997:204).
On the other hand, the principle of the separation of powers and
checks and balances does not apply in the same degree to
parliamentary systems of executive power based on the Westmin-
ster model. In the Westminster system the members of the executive
PLC102-S/1 209
are also members of the legislature. The executive is responsible to
the legislature, but is also usually responsible for tabling legislation.
parliamentary executive In parliamentary systems governments are organised according to
and the separation of the principle of a fusion of powers, which is to say the executive and
powers
the legislative branches overlap. In principle a system of this kind
requires a partial overlap between the people in the legislature and
those in the executive; in other words the rule of compatibility
applies. To use the British terminology: everyone who is in the
cabinet is also expected to be a member of Parliament or to become
one within a certain time limit (Jackson & Jackson 1997:204).
In parliamentary systems of government the constitution often

provides that parliament is the supreme institution of authority. In
Britain the executive derives its authority from the unwritten rules
of the constitution, and parliament has to support both the prime
minister and the members of his or her cabinet. If the executive in a
Westminster type parliament cannot muster a majority in the lower
house, it can be deposed by means of a vote of no confidence
(Jackson & Jackson 1997:204).
To conclude
The basis of the theory of the separation of powers is that the
separation of power is the best guarantee for the maintenance of
civil liberty. Fear of the concentration of political power led to the
insistence, especially during the eighteenth and nineteenth centu-
ries, that in the constitutional field there should be an absolute
separation between the legislative, executive and judiciary powers.
This view undoubtedly formed part of the political philosophy of
the late eighteenth century and was incorporated into the French
constitutions of the Revolutionary period.
(1) Name the three functions performed by the authorities of a state.
(2) Define the following branches of government:
(a) the legislature
(b) the executive
(c) the judiciary
(3) Explain briefly what the theory of the separation of powers

involves.
210
(4) Do you agree with Montesquieu's views on the separation of
powers? Give reasons for your answers.
(5) Do you think that the separation of powers is the best guarantee
for the maintenance of civil liberty?
(6) Did the draftsmen of the American constitution succeed in
building a separation of powers into the constitution? Give
reasons for your answers.
(7) How is the separation of powers effected in the USA?
(8) Why does a constitution give one branch of government the power
to impose restrictions on the other two branches of government?
(9) Briefly explain the system of checks and balances.
(10) Why is the American president entitled to veto bills?
(11) Why can the American Congress refuse to ratify the president's
bills?
(12) How did the American supreme court become part of the system
of checks and balances?
(13) Does the system of checks and balances apply in the Westminster
system?
TEST 11
QUESTION 1
Who wrote the Spirit of the laws in which the idea of the Trias politica was
discussed?
1 Montesquieu
2 Blackstone
3 De Tocqueville
4 Hobbes
5 Rousseau
QUESTION 2

false.
A state that has a parliamentary system of the executive is
characterised by an incomplete separation of the powers of the
authorities.
1 True
2 False
PLC102-S/1 211
COMMENTS
QUESTION 1
QUESTION 2
This statement is correct. Please study page 186 of Study Guide 2 and
pages 256±258 of Jackson and Jackson (1997).
SOURCES
Collier's Year Book 1990, 1991, 1992, 1993, 1994, 1995, 1996, 1997. New York:
Collier's.
Van Vuuren, DJ & Kriek, DJ. (reds) 1982. Politieke alternatiewe vir Suider-Afrika:
212
STUDY
UNIT 12
LEVELS (TIERS) OF
AUTHORITY: UNIONS
AND FEDERATIONS
INTRODUCTION
In this study unit we attempt to answer the question, ``How is the responsibility for
government distributed in a state?'' In order to be able to answer this question, you need to
be able to answer the following focus questions:
FOCUS What is meant by ``form of state''?

QUESTIONS What is a federation?
What is a union?
12.1 WHAT IS MEANT BY FORM OF STATE?
The term form of state refers to the way in which authority is

concentrated and/or distributed within a state. The degree of
integration between units of the same society (such as provinces) or
between different societies (such as different states) is reflected in
the various forms of state.
These degrees of integration are spread across a spectrum which

extends from the highest possible degree of independence, on the
PLC102-S/1 213
one hand, to complete integration, on the other. Absolutely
independent states represent the one pole and centralised unitary
states the opposite pole (Van Vuuren & Kriek 1982:167).
a confederation is an In practice this integration (from the least integrated to the most
association of
independent states. integrated) may take the following forms:
independent states without any diplomatic ties

independent states which cooperate with other states in
terms of various treaties
confederations
federations
decentralised unions
centralised unions
Each form of cooperation between states, societies and communities

represents a specific phase in the process of integration between
various units (van Vuuren & Kriek 1982:167). (See diagram 12.1
below.)
12.2 WHAT IS A FEDERATION?
DIAGRAM 12.1
n
tio
Co era
Ec nf
ed fed
on d
om er
at l ise ion
ic ra rat
as
io
n e nt e
so Dec
d fed
cia
Dip
lom tio a lise
atic n ntr ion
coo Ce un
per ed
atio t Fo alis
n n den sta rms o ce ntr
epe te f De
Ind tes
sta
Independent status Centralised unions
Complete independence Complete integration
A federation may be defined as follows: `À federation has a

constitutional division of power and functions between a central
government and the set of regional governments, which have such
names as states, provinces or cantons'' (Danziger 1994:180).
``[Federations] are those in which power is formally divided

between the national government and certain regional govern-
214
ments, each of which is legally supreme in its own sphere'' (Ranney
1996:40).
A federation therefore represents a particular way of dividing

power between a central or national government and various
regional governments. The federating or constituent units do
nevertheless retain a certain degree of autonomy over certain
matters. The constitutions of federal states usually specify the
matters that fall within the jurisdiction of the central government
and those over which the regional governments have jurisdiction.
states in the USA are It would appear from the above definitions that the communities or
actually constituent
states.
states which form a federation are striving for unity rather than
uniformity. Matters such as foreign affairs and defence, in which all
the federating states have a common interest, are usually entrusted
to the federal authority. Matters which are crucial to the
maintenance of an individual identity are delegated to the
governments of the federating units. In practice, therefore, the
process of federation really means a division of sovereignty. The
federal government is supreme in respect of the matter entrusted to
it, but the federal units, such as states (USA and Australia),
provinces (South Africa and Canada), or cantons (Switzerland), are
sovereign in their own territory (Van Vuuren & Kriek 1982:171±
172). Sovereignty is consequently divided between the central
federal government and the governments of the federating units.
The division of powers between the federal government and the

federating governments is extremely important in a federation,
which is why the original agreement is incorporated in the
constitution and can usually be amended by means of a specified
procedure only. A federal constitution therefore takes the form of
an agreement, in which the division of power and jurisdiction
between the federal government and the federating governments is
clearly spelled out. It is therefore self-evident that neither of the two
parties (ie the federal government or the federating governments)
can arbitrarily change or fail to observe the provisions of this
rigid constitution
agreement. Consequently a federal constitution is always rigid and
it usually has to be interpreted by a court, which accordingly
becomes a very influential role player (compare the position in the
USA and Australia).
residual powers Another important consideration is whether the residual powers Ð
those powers that are not specified in the constitution Ð should be
assigned to the federal government or the federating governments.
In the USA and in Switzerland the residual powers belong to the
PLC102-S/1 215
``states'' and the cantons, whereas the residual powers in Canada
are assigned to the federal government.
It is generally accepted that federalism allows unity with diversity,

or, to put it differently, that it provides harmony, notwithstanding
territorially based loyalties. The degree of federalism therefore
depends on the level of centralisation and decentralisation in a
particular state.
The constitution of the upper house is important in a federation. In

the USA each of the 50 states has two representatives in the senate.
The size and the population of each state are not usually taken into
consideration when determining the number of representatives in
the senate. Regional interests are all that is important, and equal
weight is given to the interests of each region. The way in which the
upper house is constituted differs from one federation to the next.
A federal form of state is likeliest to occur where there is a large

territory, many ethnic or language groups and a historical tradition
of strong regional government. Some examples of federal states are:
the USA, Australia, Canada, Germany, Switzerland, Mexico, India,
Argentina, Brazil, Nigeria, Pakistan, Malaysia and Russia.
12.3 WHAT IS A UNION?
The closest form of cooperation occurs in a unitary state. In a

unitary state there is one central authority which is supreme and
possesses original legislative powers. The powers which the central
and local authorities enjoy have been delegated to them by the
central authority, which delegates power without losing control.
Any regulations legislated by a regional or local authority which are
in conflict with the laws of the central unitary government are null
and void. The central unitary authority has the power to repeal any
regulation or ordinance passed by a local or regional authority.
The two essential characteristics of a unitary state are:
the supremacy of the central unitary legislative authority

the absence of supplementary sovereign institutions
Some examples of unitary states are the United Kingdom, France,

Japan, Namibia, Zambia, Zimbabwe and Malawi.
216
To conclude
Government authority can be distributed within a state in various
ways. The method chosen by any particular state will depend
largely on its circumstances.
Federal states are found mainly when there are important divisions
among the population along ethnic or tribal lines or other major
differences. Differences based on economic, geographical, historical
and religious divisions can also play a part.
When a society becomes extremely divided, a federal state offers the

only chance of success, otherwise the chances of continued unity are
very slim indeed. The extent and depth of the cleavages should
naturally be taken into account when the analysis is carried out.
Diversity need not necessarily be an obstacle to a stable and
effective government provided the proper institutional forms of
government are constructed, but the precondition is that the elites
should appreciate the dangers of fragmentation and be willing to
transcend the bounds of hostility. Whether this is attainable in a
given situation will depend on whether the elites have ever
resolved their conflicts in particular historical situations and what
their current motivations toward overall unity are (Jackson &
Jackson 1997:206).
(1) What is the meaning of the concept form of state?
(2) What spectrum of concentration and distribution of government
authority is found?
(3) Briefly explain the most important characteristics of a federation.
(4) To which level of government are matters of common interest
assigned in a federation?
(5) To which level of government are matters which are essential for
the maintenance of national identity assigned?
(6) Why is a federal constitution important?
(7) Why is a federal constitution rigid?
(8) Who usually interprets the federal constitution when conflict
arises between the federal government and the federating
governments?
(9) Briefly explain the most important characteristics of a union.
(10) Do the regional and local authorities in a union have the power to
generate legislation? Give reasons for your answer.
PLC102-S/1 217
(11) Does the central unitary government have the power to repeal the
regulations or ordinances of a regional or local authority? Give
book. Read the following sections in the book by Jackson and Jackson
(1997): pages 205±209, 219±231:
(1) What, according to the authors, are the two most important ways
in which power can be distributed in a state (p 205)?
(2) In the view of the authors, what is the most important
characteristic of a unitary form of state (p 205)?
(3) What do the authors see as the most important characteristic of
a federal form of state (p 205)?
(4) According to the authors, what would determine the degree of
federalism (p 206)?
(5) Give an example of a confederation discussed by the authors
(p 207).
(6) Explain the characteristics of federalism in the USA (pp 207±
208).
(7) What is meant by concurrent powers (p 208)?
(8) Briefly explain the difference between the centralisation and the
decentralisation of power with reference to the discussion of this
subject in Jackson and Jackson (1997:219±220).
(9) What is the difference between a centralised and a decentralised
federation (p 221)?
(10) What is the significance of ethno-regionalism in the way in which
power is distributed (p 223)?
(11) Explain how an authoritarian form of government influences the
distribution of power in a state (pp 224±228).
Study pages 202±211 in the book by Hague and Harrop (2001).
(1) Explain the distinctive feature of federalism, according to the
authors.
(2) Briefly discuss the advantages and disadvantages of federalism
as discussed by the authors.
(3) Briefly summarise how a federal state differs from a unitary
state.
218
TEST 12
QUESTION 1
Which of the following is characterised by the least amount of integration

between the various units of that state?
1 confederation
2 federation
3 decentralised unions
QUESTION 2
Indicate whether the following is true or false.

false
In a federal state the constitution specifically divides jurisdictional
powers between a central government and regional governments, neither of
which owes its authority to the other level of government.
1 True
2 False
QUESTION 3
Complete the following sentence by filling in the missing word.

The vertical distribution of powers reflect the ................. dimension of the
distribution of powers in a state.
1 territorial
2 horizontal
3 functional
QUESTION 4
The category of powers that is assigned to both the regional and the
federal tiers of government is known as
1 original or exclusive powers
2 concurrent powers
3 residual powers
QUESTION 5
In which form of state is the composition of the upper house important?

1 confederation
2 federation
PLC102-S/1 219
3 unitary state
QUESTION 6

false
In a unitary state the constitution is usually rigid in order to protect the
powers of the regional authorities.
1 True
2 False
QUESTION 7
The question deals with the regional and local tiers of government. Is the
following statement an example of a horizontal or a vertical distribution
of power?
The election of new local authorities in South African in 1995
democratised local government.
1 horizontal
2 vertical
QUESTION 8
The question deals with the regional and local tiers of government.
Determine whether the following is an exclusive or a concurrent power.
The constitution of federal state B determines that defence is a
exclusive, federal (national) function. The national Minister of Defence
takes a decision that a section of military property situated in province A
should be converted into a national nature reserve, while the rest should
be used for military exercises. Province A, however, supports a termination
of all military exercises in the area and proposes that it should be only a
nature reserve.
Is the decision that will be taken an exclusive national decision (exclusive
power), or a concurrent decision (concurrent power) by both the national
and provincial governments?
1 exclusive power
2 concurrent power
220
COMMENTS
QUESTION 1
The appropriate option is no 1. Of the three options a confederation is the

least integrated while a decentralised union is the most integrated of the
three options. Study diagram 12.1 in this study unit.
QUESTION 2
This statement is correct.
QUESTION 3
QUESTION 4
QUESTION 5
the appropriate option is no 2. The composition of the upper house is

important in a federation in order to accommodate regional interests
more equally.
QUESTION 6
This statement is incorrect for it is usually in a federation that the

constitution is rigid in order to protect the powers of the regional
authorities.
QUESTION 7
The appropriate option is no 2. The main distinction between the two is

that the horizontal distribution refers to powers at the same level or tier
of government. Therefore, it refers to the distribution between legislative,
executive and judicial powers, though judicial powers are not attached to
a specific tier of government. It implies that, for example, at the provincial
level, legislative and executive powers are exercised by different
institutions and persons.
PLC102-S/1 221
Vertical distribution of powers refers to the distribution between the
different tiers of government. The highest tier in any state is the national
or central authority, followed by the intermediary or regional authorities
and, at the lowest level, the local authorities. Within each of these tiers of
government there is a horizontal distribution of powers.
QUESTION 8
The appropriate option is no 1. Both categories are used in most federal

states.
Exclusive or original powers are powers which are not delegated or shared
with another tier of government but for which a particular authority has
final decision-making power. In other words, that authority enjoys
sovereignty. It is not accountable to any other authority for those
powers it exercises and those powers cannot be withdrawn by another
authority Ð they are normally entrenched in the constitution.
Concurrent powers are those powers for which two or more tiers of
government are co-responsible. They must be exercised by all those
authorities though often each tier of government is responsible for a
specific aspect of that power.
In the scenario set out in question 8 it is evident that defence is an
exclusive federal function. Thus, it is an exclusive/original power. Nature
conservation, on the other hand, may be either a concurrent power
exercised by both the central and provincial authorities or an exclusive
power of the provinces Ð it is not stated clearly in the scenario. However,
because it is a military property, the area earmarked for such a reserve
has not been transferred to the department(s) responsible for nature
conservation. Therefore, it remains a decision within the defence
department and hence it is an exclusive power of the central authority.
SOURCES
Danziger, JN 1994. Understanding the political world: a comparative introduction to
222
PLC102-S/1 223
STUDY
UNIT 13
THE REGIONAL AND

LOCAL TIERS OF GOVERNMENT
INTRODUCTION
In the previous study unit mention was made of the territorial distribution of power and
functions in the state. In this study unit we are going to look for an answer to the question:
``What is the nature of central, regional and local tiers of government''? In order to answer
this broader question we will have to answer the following focus questions.
FOCUS What is meant by the vertical distribution of power?

QUESTIONS What is the nature of the regional tier of government?
What is the nature of the local tier of government?
13.1 WHAT IS MEANT BY VERTICAL DISTRIBUTION OF

POWER?
You should already be aware of the fact that the difference between
a unitary state and a federal state is determined chiefly by the
distribution of powers and functions between these three tiers of
authority.
Before we take a specific look at the regional and local levels of

government, we should again examine the meaning of the
distribution of government power.
224
distribution and Government powers can be distributed and separated in the
separation of
government powers
following two ways:
The horizontal (or functional) separation of powers. Powers are

divided between government institutions which exist at the
same level. This refers specifically to the distribution of
powers between the legislature, the executive and the
judiciary.
The vertical (or territorial) distribution of powers. Powers are
distributed among the different tiers of government. This
refers specifically to the distribution of power between the
central, the regional and the local authorities.
In this study unit our focus is on the vertical distribution of powers.

You should note that a horizontal separation of powers is also to be
found within every level of government in the case of a democratic
government. This can be represented as follows:
the judiciary is usually
only part of the
VERTICAL DISTRIBUTION HORIZONTAL SEPARATION
horizontal separation of
powers on central level legislature
in a unitary state central government
executive
judiciary
legislature
regional government
executive
legislature
local government
executive
You should therefore note that in virtually all modern states

(irrespective of whether they have a democratic or an undemocratic
form of government) there is a vertical distribution of powers
between the central (or national) and the local governments (at the
level of cities, towns and settlements). There are usually also several
intermediary levels between the central and the local levels. We
refer to this as the regional level. It may take the form of a district
larger than the local community, or a few communities may be
grouped together (like the counties in the USA). It could also include
an area larger than a district, such as the provinces in South Africa
and Italy, the cantons in Switzerland, the LaÈnder in Germany, the
PLC102-S/1 225
states in federal structures such as the USA, Nigeria, Australia and
India and the deÂpartements in France (Bertsch 1986:113).
As we said previously, the main reason for the distribution of

powers is a practical one, in particular to keep the government as
close as possible to the people directly affected by it. One of the
architects of the American constitution, Thomas Jefferson, described
the whole matter as follows in the context of a federal state (Ranney
1975:475):
... the way to have good and safe government, is not to trust it
to one, but to divide it among the many, distributing to every
one exactly the functions he is competent to. Let the national
government be entrusted with the defense of the nation, and its
foreign and federal relations; the State governments with the
civil rights, laws, police, and administration of what concerns
the State generally; the counties with the local concerns of the
counties; and each ward direct the interests within itself.
ACTIVIT Y 13.1
In each of the following cases, are we dealing with (a) horizontal se-
paration or (b) vertical distribution of government powers?
(1) Schedule 5 of the South African constitution (1996) contains a
list of the powers of exclusive competence of the provincial leg-
islatures, and includes certain powers for local governments.
(2) The constitution of the Federation of Malaysia provides that
revenue from all forms of taxation goes directly to the federal
government, apart from revenue which is specifically allocated
to the regional governments in terms of the constitution.
(3) The Nigerian constitution of 1979 provides that Nigeria is a fed-
eral state which consists of three tiers of government: the fed-
eral, the state and the local tiers. Specific powers are assigned
to each of these tiers of government.
Both the South African and the Malaysian constitutions make a

clear distinction between the powers assigned to the central and the
regional tiers of government. As a result they are both federal states
and they therefore have a circumscribed vertical distribution of
government power.
The Nigerian constitution of 1979, in which three tiers of
226
government are described, also specified a federal state form for
Nigeria. This also indicates a vertical distribution of power.
None of the cases points to a horizontal separation of power, which

is concerned with the distinction between the legislature, the
executive and the judiciary.
We shall now discuss the regional tier of government.
most states have three 13.2 WHAT IS THE NATURE OF THE REGIONAL TIER OF
tiers, but some have GOVERNMENT?
more complex divisions
The regional tier of government in a state is determined by the

division of the state into territorial units, and by the powers
assigned to these units. The manner in which the powers and
functions are assigned determines whether it is a centralised or a
decentralised state. Both federal and unitary states may be either
centralised or decentralised. It would be incorrect to assume that all
unitary states are centralised and all federal states decentralised.
centralisation/ The centralisation/decentralisation of power is determined by the
decentralisation
following two questions:
Which members of society wield the power?

At which point or points in the state does the power lie?
Paddison (1983:4±5) distinguishes between the pluralist and the

elitist perspectives on the distribution of power in answer to the
question of who wields the power.
The pluralist perspective assumes that power is widely distributed

among individuals, groups and government agencies. Although
they do not necessarily play an equal part in terms of their
influence, the diversity of interests is visible in the policy-making
processes. Each member of the population could potentially be
involved in those processes.
The elitist approach sees political power as being concentrated in

the hands of a small group. The key figures are usually the
politically, economically and socially prominent members of the
community (the elite). These people have a greater share in the
exercise of power and decision making. Because of this exclusive
access to power, the result of their decisions is that inequalities in
society are perpetuated.
The answer to the question as to where in the state power actually
PLC102-S/1 227
lies is that, in general, modern states are becoming increasingly
centralised. Centralisation may take place in the following ways:
by the transfer to a higher tier of government of functions

that were normally performed at a lower tier
through the relative growth in importance of central
governments, measured by their expenditure in relation to
the expenditure of lower tiers of government
by placing increasing emphasis on central government
institutions
Even in federal states, where the distribution of powers is specified

and entrenched, there is a strong tendency to centralise functions in
the central government or even in certain positions in the
government, such as that of the president. The strong support for
decentralisation which also exists is boosted by a reaction against
the alienation and tension which are characteristic of the modern
way of life. A further reason for the need for greater decentralisa-
tion is the inequalities in economic development between regions,
which provides support for the demands for greater local
autonomy. Where there is an overlap between inequalities and
ethnic differences, this results in calls for secession (Paddison
1983:26). Some examples are Quebec in Canada, the Punjab in India,
the Katanga Province in the (Belgian) Congo (now the Democratic
Republic of the Congo), Biafra in Nigeria, the Basque region in
Spain and the Kurdic territory in south-east Turkey.
The decentralisation of power can take the following two forms:
Delegated powers. The institutions which originally had the

powers can delegate them to a lower institution, which then
exercises the powers on behalf of the higher institution. The
higher institution doesn't give up the powers, but uses the
lower institutions as an agency, and the lower institutions
have to account to the higher institution for the way they
have exercised the powers. This system is typical of a unitary
state.
Devolution of powers. Powers are assigned to specific levels of
government, and those levels are given the authority to take
final decisions with regard to those powers. The higher
institutions therefore cannot remove powers from the lower
institutions, as in the case of delegated powers. Furthermore,
the lower authorities need not answer to the higher
228
authorities. This is typical of the original powers in a federal
state.
types of regional We shall now devote specific attention to the types of regional
authority
authority.
Most states divide their territory and their population into large
regional units. Some examples are the states in federations like the
USA, India, Nigeria and Australia; the provinces in South Africa,
Zimbabwe, Namibia and Italy; the LaÈnder in Germany; the cantons
in Switzerland; the counties in Britain; die deÂpartements in France;
and the geographical districts in Turkey.
Some states subdivide these large units into units which are smaller
but are nevertheless slightly larger than local authorities. Some
examples are the counties into which the states in the USA are
divided, the arrondissements into which the French deÂpartements are
divided and the Turkish provinces into which the geographical
districts are divided (Ranney 1975:477±478).
For the purposes of our discussion we need to distinguish between

regional authorities in unitary and in federal states.
REGIONAL AUTHORITIES IN UNITARY STATES

in unitary states Regional authorities in unitary states are seldom elected bodies and
their powers are usually very limited. (There is, however, a growing
trend in favour of elected bodies.) The central and the local
authorities are usually more prominent than the regional autho-
rities. The most important government institutions at the regional
level are the executive and the administrative authorities. In the
case of Turkey, a governor is the executive officer in charge of a
province, and such a person is directly appointed by the central
government. There is no elected legislature at the Turkish regional
level.
The most important duty of regional authorities is to perform

functions which have been delegated to them by the central
government. It frequently happens that central and regional
authority institutions may operate next to one another in the same
area or city, each fulfilling its own functions. An example would be
post offices (which are usually a central function) which might
operate in a specific town next to police stations or ambulance
services (which are often regional or local functions). Here central
PLC102-S/1 229
and regional authorities would be present simultaneously in the
same city.
In the case of Britain and Zimbabwe, the two tiers of government

institutions exist side by side and cooperate when necessary but their
functions do not overlap. Each level is empowered to determine its
own policy and implement it by means of its own administrative
services. Each employs its own officials for this purpose.
In Italy and France there is no administrative separation. A central

government officer coordinates the administration of the central
and the regional/local authorities. Until recently the ministry of
home affairs was represented at the regional level by a prefect. The
prefect was able to withhold his or her approval for the
implementation of policies or the allocation of funds. This resulted
in very close coordination between the central and the regional
authorities.
In France the prefect was not only an agent of the central

government but also an intermediary who channeled information
and requests between the central and the regional levels. Prefects
often tried to promote the interests of the lower authorities. The
status of prefect is being revised, however, and there may be some
major changes in future (Bertsch 1986:113±114).
ACTIVIT Y 13.2
Read the following imaginary case study and answer the questions
which follow:
When Zimbabwe became independent in 1980 the new Minister of
Health assigned the task of rendering primary health services to the
communities to the provinces. By 1985, however, it had become clear
that the provinces could not maintain the minimum standards for
health services. A new national health programme was launched to
take over the services; this programme is being coordinated from Har-
are, the capital.
(1) Does this case study reflect the situation in a (a) unitary or (b)
federal state?
(2) Was the assignment of the task to the provinces (a) a delega-
tion or (b) a devolution of power?
(3) Was the decision of the Minister of Health in 1985 an indication
of (a) the centralisation or (b) the decentralisation of powers?
(4) What type of regional government is involved here?
230
Zimbabwe is a centralised, unitary state. The regional authorities
created under the 1980 constitution are the provinces. Since we are
dealing with a unitary state, the functions the provinces perform
can only be based on delegated powers. The central government
can therefore withdraw these powers at any time. The 1985 decision
was a case in point, and is an example of the increasing
centralisation of state power, concentrated in the central govern-
ment.
REGIONAL AUTHORITIES IN FEDERAL STATES

in federal states Most federal states (such as Switzerland and the USA) historically
developed from confederal forms. (South Africa, Spain and Canada
are a few exceptions.) This means that the regional governments of
these states were originally independent states, separate colonial
areas or areas with a high degree of autonomy. Furthermore,
federal states usually owe their origin to the fact that the areas
consist of a large number of interest groups, population groups or
cultural groups, who wished to enjoy a high degree of self-
government or autonomy. It should be clear to you from this that
the regional tier of government in a federal state is far more
prominent and enjoys more powers than the same tier in a unitary
state.
Regional governments in federal states are usually elected. Some

examples are the provincial legislatures in South Africa and the
state legislatures in the USA and Australia. These governments
usually consist of a legislative and an executive authority. A
prominent political executive figure, such as the provincial prime
minister in South Africa or the governor of a state in the USA,
usually heads the executive authority.
Regional authorities in federal states are often permitted to develop

their own state symbols. In South Africa, in the USA and in
Germany they are permitted to write their own constitutions,
although these may not conflict with the federal constitution. They
are also permitted to design their own regional emblems and flags,
and may even conclude international agreements with regions in
other states.
The most important factor in determining the nature of the regional

authorities is their power relationship with the central (federal) tier
of government. The following two categories of powers are usually
involved:
PLC102-S/1 231
Original or exclusive powers. These are powers assigned to the
federal or regional tier in respect of which they have the sole
say and the competence to take final decisions. They need
not answer to any higher authority and they cannot be
stripped of these powers unless a constitutional amendment
is passed. A federal state can only be said to exist if two or
more tiers of government possess certain original powers.
Concurrent powers. This is a category of powers which are
assigned to both the federal and the regional tiers, and which
are subject to a specific functional division. The power to
formulate policy regarding these powers is often assigned to
the federal government, but the regional governments have a
certain amount of discretion as to the implementation of the
policies. A variation on this system allows both tiers to make
policy, but if there is any conflict between the two the federal
viewpoint usually prevails. The existence of concurrent
powers is not a prerequisite for a federal state. South Africa
and Germany represent this category of powers.
Germany We shall briefly examine the governments in Germany as an

example of a federal relationship.
The German constitution distinguishes between original/exclusive

and concurrent powers. The most important original powers of the
federal government (Bund) are defence, foreign affairs, citizenship,
immigration, monetary policy, railways and airways and patents
and copyright. The powers which the Bund and the LaÈnder hold
concurrently include matters such as transport, civil and criminal
law, national citizenship, the question of refugees and economic
policy. The federal government is able to exercise concurrent
powers only if an individual Land is unable to regulate a matter
effectively or legislation is passed by a Land which could be
detrimental to the interests of another Land or to society as a whole.
(The South African constitution contains identical provisions.) The
original powers of the LaÈnder are very limited, comprising
education, culture, religious matters, policing and local govern-
ment.
Although the federal government is in a strong position in

comparison with the LaÈnder, the governments of the LaÈnder usually
exercise or administer these powers. The federal government plays
a supervisory role, and the federal civil service or bureaucracy is
therefore relatively small (Ibele 1971:440; Bertsch 1986:115).
Taxation is one area where the government of the Bund plays a very
232
prominent part. Most forms of taxation, including income tax, go
directly to the federal government. This revenue is then redis-
tributed to the LaÈnder, so that they can implement the federal
policies. This system results in better redistribution than the grant
system or even the distribution-of-income system. It ensures that
the federal government has the power to ensure that the states do
implement the federal policies. The main purpose is to ensure an
equitable distribution of resources so that both federal policies and
the policies of the LaÈnder can be applied.
This system is susceptible to manipulation and the abuse of power

by the federal government. Two constitutional mechanisms protect
the LaÈnder, however: the Federal Constitutional Court and the
Bundesrat (or the upper house of parliament) in which the LaÈnder are
directly represented (Bertsch 1986:117).
The German arrangement is extremely important to South African

students because the South African constitution of 1996 took over a
lot of the provisions of the German constitution. Some points of
correspondence are the distinction between original/exclusive and
concurrent powers, the federal government's redistribution func-
tion, which persuaded the ANC's Constitutional Committee in 1991
that a federal state could work in South Africa, and the two
protective mechanisms for the regional authorities. Just as the
LaÈnder are represented in the Bundesrat, the South African provinces
have direct representation in the upper house of parliament, the
National Council of Provinces.
The following three aspects regarding regional authorities in federal

states merit our attention:
the representation of regional authorities on national

legislatures
the role of regional authorities in the amendment of federal
constitutions
the solution of federal-regional disputes
Representation on national legislatures

representation on Most federal constitutions make provision for direct regional
national legislatures
representation on national legislatures Ð usually in the second or
upper house.
In the USA (Senate), Switzerland (Council of States), Australia

(Senate), Nigeria (Senate) and South Africa (National Council of
PLC102-S/1 233
Provinces) each state, irrespective of its size, is represented by an
equal number of members in the upper house. In Canada (Senate)
and Germany (Bundesrat), representation is determined on a
proportional basis. In the USA, in Australia and in most cantons
of Switzerland the voters elect the members of the upper house
directly so that it is a type of senate. Germany and Canada have a
council type of upper house because the members are appointed. In
Germany, this is done by the LaÈnder governments and in Canada by
the governor-general (head of state) upon the recommendation of
the federal prime minister.
In the German Bundesrat the regional LaÈnder participate actively in

the federal legislative process. Because they represent the govern-
ments of the LaÈnder, the members do not vote individually; instead
each regional authority votes as a block. The new South African
constitution (1996) is identical to the German arrangement (Ibele
1971:441±442; Ranney 1975:489±490).
Amendment of federal constitutions

amendment of federal Since a constitution regulates the distribution of powers between
constitutions
the central and the regional governments, neither of these levels of
government should have the authority to amend the constitution
unilaterally in such a way that the distribution of powers is altered.
The following are a few examples of the practical application of this

principle:
USA. The constitution can only be amended by the joint

action of both tiers of government. The Congress (both
houses of the federal parliament) has to approve any
amendment by a two-thirds majority and it then has to be
ratified by three-quarters of the legislatures of the states or
by a special convention.
Australia and Switzerland. The national parliament adopts an
amendment which then has to be approved by a ``double
majority'' in a national referendum: this is a majority of the
population plus a majority of the states in the federation.
Germany. The national parliament has the power to amend
the constitution by means of a two-thirds majority in both
houses. No amendments to the distribution of powers and
the federal nature of the state are permissible, however
(Ranney 1975:490; Ibele 1971:441).
South Africa. An amendment requires a two-thirds majority
234
in both houses of Parliament. If it affects specific provinces,
the legislatures of those provinces must approve it before it is
submitted to the National Council of Provinces for approval.
Solution to federal-regional disputes

solution to federal- Two types of dispute may arise between the regional and the
regional disputes
federal authorities:
Disputes concerning the practical interpretation of the

constitutional distribution of powers frequently arise. Con-
stitutions frequently make provision for such disputes to be
resolved by means of the judicial system.
In the USA and in Canada the Supreme Court, in Germany
the Federal Constitutional Court, in Switzerland the Tribunal
FeÂderal, in Australia the Higher Court and in South Africa the
Constitutional Court have the authority to declare the
actions of regional and local authorities invalid if they
conflict with the constitution. All these courts, apart from the
Swiss court, have the power to declare national acts (such as
parliamentary legislation) to be unconstitutional (Ibele
1971:443; Ranney 1975:491).
Another type of dispute may occur between the two houses

of parliament, in which the upper house represents the
regional level.
The South African constitution (1996) Ð under the influence
of the German constitution Ð deals with this as follows:
Any legislation (except financial legislation) must be

adopted by both houses in the same form. A dispute
arises if there is a difference of opinion regarding the
content of legislation. In such cases disputes are referred
to the Mediation Committee. This committee consists of
an equal number of representatives of both houses.
Motions are passed on the basis of an absolute majority
of votes in both delegations of the houses.
ACTIVIT Y 13.3
(1) Identify the statement which is NOT an accurate reflection of

the role of regional governments in a federal state:
(a) Regional governments are usually not elected.
PLC102-S/1 235
(b) The central and the regional governments exercise concur-
rent powers jointly.
(c) The upper chamber of a federal parliament usually repre-
sents the regional level.
(d) A constitutional court or supreme court is usually responsi-
ble for dealing with disputes between the tiers of govern-
ment.
(2) Is the following statement (a) true or (b) false?

The most important factor in determining the form of the state
(federal or unitary) is the way in which powers are assigned to
the central and the regional governments.
The biggest difference between a unitary and a federal state is that

all the government powers in a unitary state are concentrated at the
central level, although they may be delegated to lower levels. In a
federal state there is a division of powers between the central
(federal) level and the regional level (ie a division of original,
exclusive) powers. Concurrent powers may be assigned to both
levels, and such powers would then be jointly exercised. Where a
dispute arises regarding the distribution or exercise of powers, a
specific court (such as a constitutional court or a supreme court) is
used to resolve the dispute.
It is characteristic of a federal state that voters at the regional level

are usually represented on their own elected bodies (such as a state
legislature) as well as having directly or indirectly elected
representatives in the upper chamber of the federal parliament.
In both cases option (a) is therefore the answer.
We now proceed to discuss the local tier of government.
13.3 WHAT IS THE NATURE OF THE LOCAL TIER OF

GOVERNMENT?
importance of local The importance of the local tier of government is determined by the
authorities
following considerations (Ranney 1975:474; Ibele 1971:449±450):
A far larger number of people are enabled to participate

consistently and directly in both local and national govern-
ment. Direct participation by as many people as possible
enhances the quality of democracy.
236
According to the well-known political scientist, Harold J
Laski, `àll problems are not central problems, and ...
problems not central in their incidence require decision at
the place, and by the persons, where and by whom the
incidence is most deeply felt''.
Participation at the local level as a public official or as a voter
is good experience for later participation at the national level.
Local government can be a good laboratory for testing policy
experiments on a small scale, without running the risk of any
miscalculation having large-scale, national implications.
For practical reasons the absence of a local government
would compel the central government to create uniformity in
standards, policy and organisation for all local areas, which
would destroy local individuality and identity.
Elected local authorities are normally found even in the most

centralised states. The forms they take vary a great deal:
metropolitan councils with their substructures, the British admin-
istrative counties and boroughs, the French communes, city councils,
town councils, district councils, settlement councils and so on. As in
the case of regional authorities, some local authorities, such as
metropolitan councils and counties, are subdivided into smaller
bodies. They are all, however, municipal bodies at the lowest tier of
government. The most important function of these authorities is
probably the provision of services, such as the provision of water
and electricity, rubbish removal, sewerage, basic health services,
ambulance and fire-fighting services and the maintenance of roads.
We shall now take a look at the way these authorities are

structured.
FORMS OF LOCAL GOVERNMENT

forms of local The forms of government structures also vary enormously. Some
government
systems are dominated by the elected local councils, some are
dominated by executives, some are managed by a kind of
organisation which is similar to the private business sector, whereas
others are controlled by appointed professional managers.
The following forms will be discussed here:
the mayoral system

the management system
PLC102-S/1 237
the commission or council system
The mayoral system

This system may vary from a mayoral system to a mayor-in-council
system. The mayor is the chief executive officer of the local
authority and is therefore of decisive importance in decision
making. Both the mayor and the local council are generally directly
elected by the voters. They are therefore not dependent on each
other's support.
The following two variations on the mayoral system are found:
Weak mayor. The mayor does not lack the power to influence
decision making because he or she is usually the chairman of
an elected council and its executive arm and is also the most
important political leader. However, it is a weak post
because the person does not have the executive powers to
appoint, dismiss or supervise municipal officers indepen-
dently.
Strong mayor. The mayor is comparable to the American
President, who is the only elected executive officer. The
mayor may appoint and dismiss the heads of municipal
departments and has a more important policy-making
function which he or she shares with the elected municipal
council.
The management system

This system can take the following two forms:
The executive committee system. The elected municipal council

chooses an executive committee from the ranks of its own
members; the executive committee has its own chairman,
who is not the mayor. The mayor fulfils a ceremonial
function and is usually the chairman of the municipal
council. The real power lies in the hands of the executive
committee, which initiates most of the decision making. An
example here is the South African local authorities.
The council-manager system. Policy-making powers are vested
in the elected municipal council, which also has the power to
appoint a full-time, professional city manager. The council's
supervisory administrative function is delegated to the
manager. The manager is responsible for all aspects of the
238
local authority's management and administration, but
remains responsible to the elected local council.
The commission or council system
The commission system does not preserve the separation of powers

and follows the Swiss legislative-executive mix. All legislative and
executive powers are centred in an elected commission. The
members of the commission collectively determine policy and also
serve as the heads of the municipal departments (Ibele 1971:452).
The council system is a variation of this. The municipal council is an

elected body. The council members elect a chairman from among
their ranks. The chairman may bear any of the following titles:
mayor or chairman (Britain), maire (France), BuÈrgermeister (Ger-
many) or alcade (Spain). The council as a whole serves as the
legislature and creates its own committees for the most important
tasks fulfilled by the local authority. Each committee supervises the
activities of the professional municipal officials who are in control
of the municipal departments. The chairmen of the various
committees often form the executive committee or ``cabinet'' of
the council, and are the most important policy-makers (Ranney
1975:480).
ACTIVIT Y 13.4
Determine whether the following statements are (a) true or (b) false:
(1) The aim of local government is partially to prevent the central
government from becoming unnecessarily involved in local is-
sues. Because the central government does not have the ne-
cessary knowledge of local conditions, everyone is treated in
a uniform manner.
(2) With any mayoral system the mayor is chiefly a ceremonial per-
son, and the executive committee possesses the real power.
(3) The committee system makes a clear distinction between the
legislative and executive functions of the local council mem-
bers.
One of the most important justifications for the local tier of

government is to ensure that local issues are dealt with by an
PLC102-S/1 239
authority which has the best knowledge of local conditions. This
will ensure that areas do not lose their unique local identity.
Although the mayoral system does distinguish between strong and

weak mayors, this does not mean that the mayor may have few or
no executive powers. The difference only affects certain aspects of
the executive powers and involves far more than merely ceremonial
powers.
The commission system uses the Swiss principle of making virtually

no distinction between the legislative and the executive functions.
This is why the same council members exercise both functions.
TEST 13
(1) Is the following an example of (a) a horizontal or (b) a vertical
distribution of government power?
The constitution of the Federation of Malaysia provides that the
income from all forms of taxation should go to the federal
government, except for income specifically allocated to the regional
authorities in terms of the constitution.
(2) Is the following statement (a) true or (b) false?
Because the modern state is becoming increasingly decentralised,
more and more power is being assigned to the regional authorities.
(3) Determine whether the following is (a) an exclusive or (b) a
concurrent power:
Province X's Minister of Education recently took a policy decision
that at least two languages of instruction should be used at all
secondary schools. No national minister commented on this
decision or considered interfering with it.
(4) Identify the statement which is NOT a correct reflection of the role
of regional governments in a federal state:
(a) The regional governments are usually elected.
(b) The central and the regional governments jointly exercise
concurrent powers.
(c) The lower chamber of a federal parliament usually
represents the interests of the regional level of govern-
ment.
(5) Determine whether the following statement is (a) true or (b) false:
Under the mayoral system the mayor is chiefly a ceremonial figure,
while the executive committee possesses the real power.
240
COMMENTS
1 (b)
2 (b)
3 (a)
4 (c)
5 (b)
SOURCES
Bertsch, GK. 1986. Comparing political systems: power and policy in three worlds. 3rd
edition. New York: Macmillan.
Ibele, OH. 1971. Political science: an introduction. New York: Chandler.
Paddison, R. 1983. The fragmented state: the political geography of power. Oxford:
Basil Blackwell.
PLC102-S/1 241
T H E M E 7
GOVERNMENT INSTITUTIONS:
THE BUREAUCRACY
OVERVIEW
If the decisions taken by the authorities are to be successfully implemented, the necessary
people and institutions must be available. Here the most important are the respective
government departments and the bureaucracy, which consists of officers who are
responsible for the daily administration of decisions taken by the government. We shall
therefore take a look at the bureaucracy in this theme. The implementation of decisions
depends on the availability of skilled personnel, necessary funds and infrastructure.
KEY TERMS The following key concepts and key terms are important; ensure
AND KEY that you are familiar with these concepts.
CONCEPTS administration
bureaucracy
242
STUDY
UNIT 14
THE STATE AND THE

BUREAUCRACY
INTRODUCTION
In this study unit we shall attempt to answer the question, ``What is the political
significance of the bureaucracy?'' In order to answer this question, you will need to be able
to answer the following focus questions:
FOCUS What does the concept ``bureaucracy'' entail?

QUESTIONS How is the bureaucracy appointed?
What are the functions of the bureaucracy?
What form of control is exercised over the bureaucracy?
14.1 WHAT DOES THE CONCEPT ``BUREAUCRACY''

ENTAIL?
The term ``bureaucracy'' has both a positive and a negative
negative meaning
meaning. In popular language the term has a rather negative
meaning when it is applied to public servants with particular
characteristics such as excessive formality, the use of long-winded
jargon as the basis for communication, inflexible procedures and an
emphasis on the powers and limitations of their offices; in other
words, red tape (Roberts 1971:22).
PLC102-S/1 243
positive meaning In its positive and more technical sense the term bureaucracy has
now come to mean a specific form of organisation, whose task it is
to administer the decisions of the government. The underlying
supposition is that organisations should be so structured that they
are as efficient as possible and that this can best be achieved by
introducing a hierarchically structured decision-making process
which reduces arbitrary or personal factors to a minimum (Jackson
& Jackson 1997:276).
These days we generally use the criteria proposed by the German

sociologist, Max Weber (1864±1920), when discussing bureaucracy.
According to his conceptualisation, bureaucracy is a complex and
hierarchically organised institution. His `ìdeal type'' of bureaucracy
has the following characteristics (Roskin, Cord, Madeiros & Jones
1997:309):
Administrative offices are hierarchically organised.

Each office has its own area of competence.
Government officials are appointed, not elected, on the basis
of technical qualifications in the form of diplomas or
examinations which they have passed.
Government officials receive salaries according to their
ranks.
The post represents a career, and is the official's only, or at
least primary, employment.
The officer does not, however, own his or her office.
The officer is subject to control and discipline.
Promotion is based on the judgment of superiors.
Since both politicians and government officials are involved in the

government and management of a country, one of the most
important questions to be answered when studying the bureau-
cracy is whether these two questions are similar and whether they
can be reconciled with one another. In many respects politicians
and government officials perform exactly the same functions, but
there are three important differences between the political role of
the executive and the administrative functions of the government
officials.
Firstly, there is a difference between the partisanship of the

members of the executive and the supposed neutrality of the public
service. Secondly, their terms of office differ. The terms of office of
political leaders are generally determined by elections and are
244
relatively short, whereas government officials have permanent
appointments. Thirdly, government officials are supposed to
administer, but not make, government policy. The political masters
are supposed to make public policy, and direct the public service in
carrying it out. The task of the public servants is to find ways of
making the plans of the politicians feasible and then implementing
them (Jackson & Jackson 1997:278).
14.2 HOW DOES THE BUREAUCRACY ACQUIRE ITS

PERSONNEL?
There are two basic ways in which a person can become a public
servant: he or she can be given a political appointment or else
appointed on merit.
People who have worked very hard during an election campaign or
else have made a large financial contribution to a candidate's
political appointment election to a public office are often given a political appointment. In
the USA the chairman of the party whose nominated candidate has
won the presidency traditionally receives the office of postmaster-
general. Close friends of the American president (or their close
friends) often become ambassadors. For example, C Howard
Wilkins, Joseph Zappala and Peter Secchia had no experience of
American foreign policy before their appointment in 1989 as
ambassadors for their country in the Netherlands, Spain and Italy,
but they all had close personal and political ties with the president,
who had been elected to the office of president of the United States
with the aid of their contributions to the election campaign and
their skilful fund-raising (Lawson 1993:380).
merit appointment When government officials are appointed on the basis of merit,
various methods can be used to determine who the most
meritorious applicant for the post is. Some of the widely used
criteria are: years of experience in related work, years of teaching in
relevant academic fields and performance in tests designed for a
particular post.
In some states special schools are established to train candidates for

senior bureaucratic posts. France has a whole system of grandes
eÂcoles (literally ``big schools'') for training its government officers,
and anyone capable of passing the stiff entrance examination of the
national school for administration is virtually assured of a senior
post in the public service after successfully taking the examination.
A new technocratic elite has arisen in both the public and the
PLC102-S/1 245
private sectors, and the primary qualification for entry to this new
elite is university training (Lawson 1993:370).
The desire to enhance the efficiency of the public service and make
it more democratic led to the idea that patronage should be
replaced by merit. Ideally speaking, public servants should be
selected on the basis of achievement and merit, rather than on the
grounds of ascriptive characteristics such as class, caste, race,
gender or political friendship. The new entrants should consist of
the cream of the crop or the best qualified people. In accordance
with the merit principle, applicants should be judged by objective
standards such as intelligence, experience, training and expertise
(Jackson & Jackson 1997:275±277).
14.3 WHAT ARE THE FUNCTIONS OF THE BUREAUCRACY?
The following functions of the bureaucracy are important for this

discussion:
administration
services
regulation
licensing
collection of information
receipt of government revenue
preparation of legislation
ADMINISTRATION
The primary function of the public service is administration. This

means that the public service has to implement public policy and,
because this includes policy decisions, has to become involved in
rule making as well. Government departments often launch
campaigns to publicise their work and to inform the public about
the benefits and goals of a programme. In March 1997 the South
African Department of Water Affairs and Forestry held a national
water week to make the public aware of the value of water.
Ongoing educational programmes are run in other states on matters
such as traffic safety, fire prevention and the conservation of natural
resources.
246
In South Africa executive officers and administrators supervise the
day-to-day activities of their departments and senior administrative
officers help to draft proposed legislation and also assist their
ministers in answering questions from members of parliament.
SERVICES
The South African Weather Bureau is a service division of the

Department of Environmental Affairs and Tourism. The Weather
Bureau renders a service to the general public and in particular to
pilots and anyone involved with aviation. The South African
Department of Agriculture supplies information on animal health,
human resources, product analysis and seed technology to farmers.
The public services of Sweden and Germany run an extensive
service for workseekers.
REGULATION
The regulatory functions of the public service were designed to

protect the welfare of the general public. Ever since 1819 Britain has
had legislation that governs working conditions in factories, and
similar legislation exists in most industrialised states. In Germany
the Bundesrat (the upper chamber of the federal legislature)
supervises the application of federal laws by the regional
authorities, and federal administrative courts are empowered to
compel regional authorities to apply the federal laws (Roskin et al
1997:312).
LICENCING
Licensing is closely related to regulation. It enables the government

to enforce minimum standards and qualifications in certain areas.
In the USA and in other federal states the federal authorities lay
down the standards which have to be observed when applying for a
licence to drive a vehicle, to practise as a doctor or a lawyer, to sell
fixed property or to teach in a public school. In states such as the
United Kingdom or France the national government fixes the
standards and conducts the tests.
PLC102-S/1 247
GATHERING OF INFORMATION
Information is required for two important reasons: to determine

whether a law has been contravened and to take public policy
decisions which are rational and are based on factual evidence. All
modern states conduct investigations into matters such as human
rights and the precise extent of air and water pollution before they
issue orders in respect of violations. In South Africa the constitu-
tional court hears the complaints of private citizens regarding
human rights violations. In France the government made an
extensive study of the nation's energy needs before embarking
upon a large-scale nuclear energy programme (Roskin et al
1997:313).
The question of invasion of privacy occasionally arises when

institutions such as the South African national intelligence agency
investigate the activities of alleged subversive elements and
question their relatives, friends and neighbours. The boundary
between investigations which are necessary to protect public
interests and the invasion of privacy is very ill-defined, and it is
often difficult to say where the one begins and the other ends.
COLLECTION OF STATE REVENUE
Public servants collect the revenue required to carry out the

government's official activities. They draft the tax forms and
information brochures for various kinds of taxes such as personal
income tax, corporate income tax, import and export duties, licence
fees, estate duty and value added tax. Public servants not only levy
taxes; they collect fines and mediate disputes (although there is a
final appeal to the judiciary in most cases); and help to draft the
legislation in terms of which the laws governing the collection of
taxes and other revenue can be amended (Lawson 1993:374).
PREPARATION OF LEGISLATION
Although it is the task of the legislature to make law, in practice the

bureaucracy prepares the legislation that will be submitted to
parliament.
248
14.4 HOW IS CONTROL OVER THE BUREAUCRACY
EXERCISED?
Control over the bureaucracy is exercised in the following ways:
internal control
merit as opposed to representativeness
external control
Two main approaches are followed in exercising control over public

servants. One method requires that control over public servants
should be exercised from within the bureaucracy; the other that
control should be exercised from outside.
INTERNAL CONTROL
Internal control is based on the assumption that public servants can
professional standards
and procedures
be disciplined through the application of professional standards
and procedures. The proponents of this view argue that the sense of
duty of public servants sensitises them to public and political
interests. These professional standards can be inculcated in public
servants through recruitment, training and promotion procedures.
In a modern bureaucracy the appointment and promotion

procedure is the most important way of exercising control over
public servants. Unlike in bygone times, when public servants were
appointed on the basis of partisanship or privilege, these days they
are usually appointed in the First World states on the basis of the
results they obtain in competitive examinations, and promoted after
an objective study of their merits. This competitive system is
hierarchically structured in order to promote a career-oriented
public service (Jackson & Jackson 1997:280).
The professional ethics required in a bureaucracy include values

such as honesty and diligence. Professional ethics should also foster
a sense of duty in public servants in that they have an obligation to
put political authority above their individual wishes. In this sense
professionalism in the public service includes the acceptance of the
need to submit to political control. In a democracy public servants
have to retain a sense of objectivity towards political parties and
ideologies. When a new party comes to power public servants must
be able to serve their new masters effectively and loyally (Jackson &
Jackson 1997:280).
PLC102-S/1 249
MERIT VERSUS REPRESENTATION
Some critics of the bureaucracy contend that the only way to

exercise control over a bureaucracy is to make it representative of
society as a whole. They contend that the composition of the public
service should not depend solely on merit, because this would
mean that the bureaucracy was not fully representative of society as
a whole. Unless a bureaucracy is representative, it is argued, it
would become insensitive to people who are denied representation.
The result of this view in some democracies has been a campaign to
appoint more women to senior posts in the public service, greater
insistence on equal employment of certain minority groups and
handicapped persons and emphasis on regional representativeness.
By insisting that public servants should be ``representative'' of the

population as a whole and that public servants should show a high
degree of professionalism, it is assumed that they will be made
responsive to their political masters and so to the public.
Unfortunately these two principles may be contradictory, and even
when they are successfully applied, it would appear that neither of
the two is able to eliminate bureaucratic independence. This is why
the opinion is often expressed that outside controls are needed to
control the public service (Jackson & Jackson 1997:282).
EXTERNAL CONTROLS
Elected politicians, courts and administrative institutions are able to

control the power of the bureaucracy. In most political systems a
hierarchical chain of responsibility is in place which ensures that
responsibility flows from the highest elected official, president or
prime minister, through secretaries and ministers and their top
public servants right down to the lowest levels of the bureaucracy.
There has been a great deal of controversy about the extent to which
the chain of command or hierarchy of authority along which
responsibility passes from the top to the bottom can really hold
public servants responsible (Roskin et al 1997:304).
One form of outside control, which is found in parliamentary

systems based on the British model, requires ministers to submit
regular reports to the legislature on their own activities and those of
their department. In Britain, South Africa, Canada, Australia and
many other states, there is a time set aside in the parliamentary
roster for question time so that the opposition can review the
250
activities of the government and its officials and put any questions
they may wish to ask.
To conclude
States also differ with regard to the nature, method of appointment,
functions and control of their bureaucracies.
(1) What does the bureaucracy consist of?
(2) What are the different ways in which a person can be appointed to
the public service?
(3) Which method of appointment do you consider to be the best? Give
(4) What are the functions of the bureaucracy?
(5) In your opinion, which is the most important function of the
bureaucracy? Give reasons for your answer.
(6) How is control over the bureaucracy exercised?
book.
Read the following sections in the book by Jackson & Jackson (1997:274±
310):
(1) According to the writers, what is the origin of the term
bureaucracy (p 275)?
(2) What is the difference between merit appointments and appoint-
ments on the basis of patronage?
(3) What is the difference between public officers and politicians?
(4) Which functions of the bureaucracy do the writers discuss
(pp 278±279)?
(5) Which control measures applied to public servants are discussed
by the writers (pp 280±285)?
(6) What problem relating to corruption do the writers discuss
(p 285)?
(7) Why do the writers pay special attention to the police and the
military (pp 287±288)?
PLC102-S/1 251
(8) What possible explanations for the growth of the bureaucracy do
the writers discuss (p 295)?
(9) Name the most important differences between the bureaucracy in
a state with a democratic form of government and the bureau-
cracy in a state with a totalitarian form of government, as
discussed by the writers (pp 296±301).
(10) Which other points regarding bureaucracies do the writers discuss
(pp 301±310)?
(1) Explain the meaning of the concept of bureaucracy.
(2) Explain briefly the arguments for and against a representative
bureaucracy.
(3) Briefly explain how public servants are accountable for their
actions.
TEST 14
QUESTION 1
Indicate which statement on the bureaucracy is incorrect.

incorrect.
1 Merit applies to all appointments of public servants.

2 Public servants are usually appointed permanently.
3 Public servants are responsible for the execution of the policies of
the authorities.
4 Public servants should be neutral in the execution of their duties.
QUESTION 2

false.
The executive authority (in the narrower sense of the term) is responsible
for the drafting of the bills that are introduced in parliament.
1 True
2 False
252
COMMENTS
QUESTION 1
The appropriate option is no 1 for it is the most incorrect statement.

Though ideally merit only should apply to the appointments of public
servants, this is not necessarily the case. Political appointments are
often made. For more information study pages 276±282 of the prescribed
book.
QUESTION 2
This statement is incorrect. In the narrower sense, the executive

authority is responsible for introducing bills to parliament. Bills are,
however, usually prepared by the bureaucracy.
SOURCES
PLC102-S/1 253
T H E M E 8
POLITICAL DYNAMICS
OVERVIEW
The discussions in this study guide concentrated on the more formal and structural aspects
of politics, such as institutions. There is also another very important dimension of politics,
namely political dynamics. In brief, political dynamics has to do with the way politics
``works''.
Political dynamics is the focus of some second and third-level modules. In this course and
in the prescribed book you were introduced to important terms and concepts in political
dynamics. The following brief explanation was therefore required.
KEY TERMS The following key terms and key concepts are important for this
AND theme. Make sure that you understand them.
CONCEPTS civil society political dynamics
elites political socialisation
external environment political culture
ideology political leaders
interest groups public opinion
internal environment public policy
NGOs state
political parties state institutions
political communication
254
STUDY
UNIT 15
POLITICAL DYNAMICS:
ACTORS AND PROCESSES
INTRODUCTION
In this study unit we shall attempt to answer the question, ``Which actors and processes
form part of the `workings' of politics?'' In order to answer this question, you need to be
able to answer the following focus questions:
FOCUS What does political dynamics entail?

QUESTIONS Which actors are important in politics?
Which processes are important in politics?
15.1 WHAT DOES POLITICAL DYNAMICS ENTAIL?

As we have already mentioned, up to this point of the course you
have been introduced mainly to the formal structural aspects of
politics. Institutions such as the legislatures are examples of
structures of this kind. Institutions on their own have no particular
significance. On the one hand, they are the product of the
``working'' of politics (ie the political dynamics), and on the other,
they make it possible for the political process to function.
An analogy to the above would be the anatomy and physiology of
the human body. The human anatomy consists of a number of
PLC102-S/1 255
identifiable parts, such as the skeleton and a number of organs
which make human physiology such as the circulatory system and
the digestive system possible but which are also dependent on these
a process is a series of physiological processes for their existence and survival.
successive actions
which follows a more or Similarly, politics consists of a number of identifiable institutions
less fixed pattern.
and actors who participate in the political processes. As in the
human body, these institutions, actors and processes cannot exist
independently of one another.
15.2 WHICH ACTORS ARE IMPORTANT IN POLITICS?
In this section we attempt to answer the question, ``Which actors are

important in politics?'' In order to answer this question, we shall
take a brief look at the following actors:
the state
the individual
political leaders
groups
interest groups
political parties
the elite
THE STATE
You were introduced to the concept state in the previous study

units. One could reason that the state is an abstract entity and that
therefore it cannot be a political actor. Nevertheless, we do find that
the state functions as a political actor, both in its own territory
(internally) and abroad (externally).
Internally, the state makes rules that the population has to obey.
Externally, the government functions as an agent of the state when,
for example, it concludes treaties with other states. Governments
often come and go rapidly, but states usually last for many
centuries. If a government falls, the state concerned is still bound by
the treaties concluded on its behalf with other states by that
government.
An important aspect of the state in the political processes is the

relations between the state and society. It is again important to
256
realise that ideas about the nature of this relationship will depend
on a particular view of the state as either being atomistic or organic.
To a large extent this will also determine the basic philosophy that
underlies state institutions and their actual roles within society.
In most states there is a sphere of activity that falls outside of the

domain of the state. For practical purposes we can call this a private
sphere. However, within this sphere there are also a variety of
organisations and institutions that perform functions largely
independent of the state Ð even though there may be rules that
may guide these activities. These organisations and institutions are
usually referred to as civil society.
According to an organic view of the state, civil society is in fact anti-

state. For this reason there is little that can be regarded as a civil
society in totalitarian states. The anti-state argument is also
furthered by the fact that attempts to democratise totalitarian and
authoritarian states often begin by establishing and utilising
organisations and institutions that fall outside of the domain of
the state and indeed try to weaken the state. On the other hand, in
many liberal democracies the maintenance of democracy and the
safeguard against the abuse of power lie in the very existence of a
well-functioning civil society.
THE INDIVIDUAL
The ordinary individual, like yourself, is probably one of the most

important political actors. This does not mean that all individuals
are necessarily always politically active. Even someone who is
entirely apolitical represents an important form of political activity,
even if this contribution takes the form of inactivity. Most political
actions are in fact performed by individuals, even if they are acting
on behalf of groups. Heads of state, heads of government and
leaders of political parties remain individuals.
POLITICAL LEADERS
Political leaders are individuals who occupy top political posts.

Heads of state and heads of government again serve as examples.
Political leaders also include political representatives (as in
parliament) and leaders of important political groups (such as
political parties). Some political leaders have charismatic personal-
PLC102-S/1 257
ities which secure them a great following. This does not mean,
however, that they have necessarily always had a positive influence
on their followers. Examples of charismatic leaders who have had a
profound influence on history (for good or evil) are Winston
Churchill of Britain (1874±1965), Mahatma Gandhi of India (1869±
1948), Jawaharlal Nehru of India (1889±1964), Gamal Abdel Nasser
of Egypt (1918±1979), Mustafa Kemal AtatuÈrk of Turkey (1881±
1938), Adolf Hitler of Germany (1889±1945), Charles de Gaulle of
France (1890±1970), Ayatollah Ruhollah Khomeini of Iran (1902±
1989), Hendrik Verwoerd of South Africa (1901±1966) and Nelson
Mandela of South Africa (1918±).
GROUPS
A group consists of a collection of individuals with shared

characteristics and/or interests. An individual could inherit
membership of a particular group, such as a church group, but he
could also acquire membership by joining a certain group.
Individuals seldom function in isolation from other individuals in
politics. Individuals usually either form groups or participate in
existing groups. Not all groups necessarily have any political
importance. For a group to be of political importance, it must either
make demands on the government of a state or else it must be
affected by the actions of the government.
INTEREST GROUPS
An interest group is a particular type of group which may be of

political importance. An interest group is a collection of individuals
who are attempting either spontaneously or deliberately to protect
and promote their interests. One of the political functions of interest
groups is therefore the articulation (or making known) of interests
to the government. Not all interest groups are directly involved in
politics. They generally try to achieve their goals by acquiring and
exercising influence. Interest groups are often formally organised,
but unorganised interest groups are also found.
POLITICAL PARTIES
The concept political party is often intuitively understood Ð take for
258
example the African National Congress (ANC) or the National
Party (NP). Political parties show similarities with organised
interest groups and in fact also represent interests which they
attempt to protect and promote. We can therefore regard a political
party as a particular type of organised interest group which
attempts to protect and promote the interests it represents by
acquiring and exercising power. Please note that interest groups
strive for influence and political parties for power. We therefore
usually find that members of the executive and the legislature
represent particular political parties.
It is sometimes difficult to decide whether a particular group is a

political party or not. This may happen when particular groups are
banned, for example. Take the example of the ANC, the South
African Communist Party and the Pan Africanist Congress (PAC),
which were all prohibited organisations during the apartheid era. It
could be argued that they should still be regarded as having been
political parties at that time. However, some academics do not
regard them as such. The details regarding this matter are not
important for this course.
THE ELITE
For the purposes of this course the elite is considered to be the
collection of individuals who take the lead in a variety of fields in a
particular society. The political elite would then be those who take
the lead in politics. The whole idea of an elite implies that there are
people who take the lead and those who are content to follow. Some
academics, such as Robert Michels and C Wright Mills, are of the
opinion that the political decisions of the elite are dominant in a
particular state. Several reasons are given for this. On the one hand,
there is the self-interest of the elite, and on the other, there is the
apathy of the masses.
15.3 WHICH POLITICAL PROCESSES ARE IMPORTANT IN

POLITICS?
Here we are seeking an answer to the question, ``Which processes
are important in politics?'' You have already been introduced to a
number of political processes, such as the legislative process and the
electoral process. To answer this question, we shall take a brief look
at the following processes:
PLC102-S/1 259
political socialisation
public opinion
public policy
POLITICAL COMMUNICATION
vertical and horizontal Political communication means the transferring of politically
relevant information from one person to another. This may take
the form of vertical communication from the government down to
its subjects or vice versa, but communication can also take place
horizontally between members of the government and between
citizens. In fact, this study guide is an example of political
communication, because we are using it to convey politically
relevant information to you.
Political communication is an inherent part of politics. Every

political action involves an element of communication. Without
communication no interaction between people is possible. Without
communication politics is not possible.
Some examples of important communications media are the mass

media, which include the newspapers, the radio and television.
POLITICAL SOCIALISATION
political culture refers Political socialisation is the process whereby
to the dominant
political values and people can be incorporated into a political culture
norms Ð in other
words, the accepted people learn their political values and norms
ways of doing things in
politics. political culture is handed down from one generation to the
next
There are various agents through whom the process of political

socialisation takes place, such as the family and the extended
family, schools, churches, peer and other groups, and the various
communications media.
PUBLIC OPINION
For analytical purposes the concept public opinion can be divided
260
into two components: public and opinion. An opinion is the
expression or articulation of an attitude. And here we are dealing
with the opinion of the public. The term public refers not to all the
inhabitants of a particular state, but to all those people who have
opinions about a particular matter Ð even if their opinions do
differ from one another. Various ``publics'' are therefore to be found
among the population of a state, because there are numerous
questions about which a variety of people have opinions.
Some examples of issues in South Africa which involve various

publics are the death penalty, abortion, AIDS, the seat of
parliament, and education.
PUBLIC POLICY
The authoritative decisions we have so often spoken of in this

course really constitute part of public policy. You could regard
public policy as being that which a government decides to do or not
to do. Public policy can be seen as an indication of what, where,
when, how and by whom things are to be done. Virtually all political
actions are geared to public policy of one kind or another.
15.4 WHICH FACTORS INFLUENCE THE POLITICAL

ACTORS AND PROCESSES?
There are several factors which influence the role of the respective
political actors and the success of the particular political processes.
The most important of these factors are the following:
external environment
internal environment
political culture
ideology
power
nature of the government institutions
EXTERNAL ENVIRONMENT
The external environment consists chiefly of the international

system of states. Multinational corporations and international
PLC102-S/1 261
organisations such as the United Nations (UN) are of importance.
No state lives in isolation from other states. Take the example of the
pressure the international environment placed on South Africa
during the apartheid era.
INTERNAL ENVIRONMENT
The internal environment includes the following:
the physical environment which influences matters such as

communication and transport networks
the economic environment which determines matters such as
how much money is available for particular services
the social environment, which includes issues such as the
population's circumstances, for example poverty
The internal environment can therefore direct both the actions of

particular actors and the nature of particular processes.
POLITICAL CULTURE
Political culture comprises the political attitudes, orientations and

values which generally occur in a society. Political culture therefore
determines what we consider politically correct and incorrect, but it
also governs our expectations of politics and the way we are likely
to behave in politics.
Some political cultures are characterised by vigorous participation

in politics by the population, whereas others are characterised by
submissiveness on the part of the population.
IDEOLOGY
You have already been introduced to the concept of ideology. The

prevailing ideology in a society is naturally also important. This is
because while an ideology is a declaration it also offers a solution to
particular social issues and problems. When the government has to
decide between particular policy alternatives, the prevailing
ideology is usually decisive. For example, the choice before the
government might be whether or not to privatise. If the prevailing
262
ideology were liberalism, the decision might well be to privatise.
However, if the prevailing ideology were socialism, the government
would probably decide against privatisation.
POWER
The way in which power is distributed or concentrated in society

influences political actors' role and the political processes. As we
have already said, the government should have not only the right
but also the ability to exercise power.
NATURE OF GOVERNMENT INSTITUTIONS
The nature of government institutions will also influence the role of

the political actors and the nature of political processes. Some
government institutions are accessible to interest groups, where
others are more inaccessible.
To conclude
There are several factors which influence the role of political actors
and the nature of the political processes.
(1) Name the various political actors who are important in politics and
briefly discuss their role.
(2) Name and briefly discuss the various political processes dealt with
in this study unit.
(3) Name and explain the factors that will influence the role of the
various political actors.
(4) Indicate which of the following statements is correct and which is
incorrect:
(a) There is no connection between political institutions and
political dynamics.
(b) In political dynamics we study the workings of politics.
(c) States cannot serve as political actors, because a state is
not a human being.
(d) Apolitical individuals are also political actors.
PLC102-S/1 263
(e) Charismatic leaders always have a positive influence on
history.
(f) All groups are politically important.
(g) Interest groups strive for influence, and political parties
strive for power.
(h) When we study public opinion, we are usually dealing with
more than one public.
(i) Political values are learned through the process of political
socialisation.
This self-evaluation exercise is based on the prescribed book. Read the
following pages in the prescribed book, Jackson and Jackson (1997):98±
99, 105±107, 110±118, 314, 326.
(1) What are the characteristics of political culture discussed by the
writers on pages 98 to 99?
(2) How do the writers say subcultures are formed (pp 105±107)?
(3) According to the writers, what is the connection between political
culture and political participation (p 110)?
(4) Which agents of political socialisation are discussed by the writers
(pp 110±118)?
(5) How does political socialisation in democratic states differ from
political socialisation in authoritarian states (pp 145±146)?
(6) Why do the writers say that political parties are important
political actors (p 314)?
(7) What, according to the writers, are the goals of interest groups
(p 326)?
Study the following pages in the book by Hague and Harrop (2001):79±91;
96±99; 149±157; 168±174.
(1) Briefly summarise the most important characteristics of political
culture as discussed by the authors.
(2) Explain in five sentences why political socialisation is important.
(3) Name the most important media of political communication.
(4) Mention the reasons why interest groups are important political
actors.
(5) Mention the reasons why political parties are important political
actors.
264
TEST 15
QUESTION 1
Complete the following sentence.

A ... is a particular type of organised group that tries to promote and
protect particular interests through the gaining and the exercising of
power.
QUESTION 2
The process through which political culture is handed down from

generation to generation is known as
1 political communication
2 political socialisation
3 public opinion
4 public policy
QUESTION 3

false.
A political party is a particular type of organised interest group which
attempts to promote and protect the interests it represents.
1 True
2 False
COMMENTS
QUESTION 1
A political party (option 2) is a particular type of interest group that

tries to promote and protect particular interests through the gaining and
the exercising of power.
QUESTION 2
PLC102-S/1 265
QUESTION 3
This statement is correct. Study pages 233±234 in this regard.
SOURCES
mills: Macmillan.
Collier's Year Book. 1990, 1991, 1992, 1993, 1994, 1995, 1996. New York: Collier's.
Prentice-Hall.
Dicey, AV. 1924. Introduction to the study of the law of the constitution. London:
Macmillan.
science. 2nd edition. Englewood Cliffs, NJ: Prentice-Hall.
Martins.
Institute for Security Studies. 1997. Nedcor ISS crime index 1.
Blackwell.
Van Vuuren, DJ & Kriek, DJ (reds). 1982. Politieke alternatiewe vir Suider-Afrika:
Vincent, A. 1994. Theories of the state. Oxford (UK): Blackwell
266
IN
CONCLUSION
You should by now have gone through all the contents of the study
guide and we trust that you found it interesting and informative as
well as easy to understand. Should you still experience some
problems in understanding some of the concepts, please do not
hesitate to contact us.
A brief summary of the contents of this study guide is provided in

this section.
As indicated, the focus of this module is the state as the

predominant political entity of contemporary political life. For this
purpose we have provided a descriptive, and on occasion, a
comparative analysis of the most important characteristics, func-
tions and structures of the state.
It was indicated that the concept of state is an extremely complex

and difficult concept and that the term state is often used
interchangeably with a number of other terms such as society,
community, nation, government, authorities and bureaucracy. However,
it was mentioned that these concepts are not the same, and the
differences between these concepts were briefly discussed.
The first characteristic of the state that was discussed was the
exercise of power and authority in the state. It was also stressed that
power and authority may take on several forms. Furthermore, the
importance of the concept of legitimacy was also discussed. The
second and third characteristics that received attention were
territory, followed by population. It was stressed that the latter
two are important for they may influence the identity, needs and
structures of the state, as well as the loyalties and values present
within the state. The last characteristic that was discussed was
sovereignty. It was indicated that sovereignty is increasingly
becoming problematic within a global world, where a state's
sovereignty is often encroached on by international organisations
and dominant value systems.
PLC102-S/1 267
The importance of constitutions and constitutionalism to the state in
contemporary history was discussed. Constitutionalism is essen-
tially an attempt to place limitations on political power. The values
incorporated into a constitution and the values on which the idea of
constitutionalism are based were discussed.
The next important section of the study guide dealt with the offices
and structures of the state. The positions of head of state and head
of government were briefly explained followed by a discussion of
the functional (horizontal) and territorial (vertical) divisions of the
structures of the state.
With regard to the horizontal or functional divisions in the state,

attention was paid to the legislative authority, executive authority
and the judiciary, as well as the reasons for the separation of the
functional powers of the state. This was followed by a discussion of
the territorial tiers of authority (government). The difference in
territorial arrangements in different states was discussed, notably
federalism and a unitary state and structures on the local level.
The importance and functions of the bureaucracy in the successful

governance of a state were briefly discussed. Lastly some attention
was paid to the dynamics (actors and processes) of the state.
At this stage it is important for you to bear in mind, as we explained

in the introduction, that the state is far more than the sum total of all
these structures and agents that act on behalf of the state. The state
has a character and a life of its own, even though it is an abstract
phenomenon which we experience but cannot see.
We trust that you have enjoyed this module. For your further
preparation for the exams a mock examination is included at the
back of this study.
268
UNIQUE NUMBER OF PAPER
PLC102±S
POLITICS 102
Duration: 2 Hours 100 Marks
EXAMINERS:
First: Dr S Botha Prof PAH Labuschagne

Dr D J Kotze Ms SL Kant
Second: Prof AM Faure
___________________________________________________________
This paper consists of 15 pages plus instructions for completion
___________________________________________________________
Answer ALL the questions on the marking reading sheet in

pencil.
QUESTION 1
Power is something that either we do possess or do not possess. In other

words, power cannot be shared.
1 True
2 False
QUESTION 2
The ideologies adhered to by authoritarian governments may differ

radically from one another.
1 True
2 False
QUESTION 3
PLC102-S/1 269
Even though the term ``sovereignty'' may be associated with terms like
authority, power, influence, government, equality and legitimacy, it
(sovereignty) must not be confused with these terms.
1 True
2 False
QUESTION 4
Franchise and representation are only found in democracies.
1 True
2 False
QUESTION 5
When a constitution is unwritten, it implies that a particular state cannot

be governed in accordance with the principles of constitutionalism.
1 True
2 False
QUESTION 6
A legislature must be a permanent institution that gathers periodically

and that is composed of members that have been elected for a fixed term.
1 True
2 False
QUESTION 7
The electoral system will determine who will vote and how votes will be
270
counted. Therefore it is possible that the ideal of representation may be
distorted by the electoral system.
1 True
2 False
QUESTION 8
The principle of judicial review requires a centralised constitutional court.
1 True
2 False
QUESTION 9
A state with a presidential system of the executive is characterised by an

incomplete separation of government (authorities') powers.
1 True
2 False
QUESTION 10
Regional authorities in federal states are often permitted to develop their

own symbols.
1 True
2 False
QUESTION 11
Indicate which one of the following statements on power and

authority is incorrect.
1 The terms power and authority are often used interchange-

ably by academics and journalists.
PLC102-S/1 271
2 There are definite similarities between the concepts of power
and authority.
3 To some academics, power is the defining characteristic of
the concept of politics.
4 Power is an indivisible whole.
5 Power cannot be exercised without legitimacy.
QUESTION 12
Indicate which statement regarding the relationship between the

authorities and society is the most correct.
1 In totalitarianism, the input from society is minimal but there

is room for individual decision making.
2 In authoritarianism the input from society is minimal and
there is no room for individual decision making.
3 In a totalitarian regime no part of a citizen's life is regarded
as being private.
4 Democracy provides for comprehensive input from society,
but makes only limited provision for individual decision
making.
QUESTION 13
The use of reward and/or punishment in the exercise of power, is

referred to as
1 influence
2 persuasion
3 manipulation
4 inducements
5 force
QUESTION 14
Which one of the following ways of obtaining territory by a state is

least acceptable.
1 historical exercise of jurisdiction
272
2 cession
3 conquest in cases of self-defence
4 secession
5 accretion
QUESTION 15
People who enter a state, with the necessary permission, with a

view to settling there on a permanent basis are called
1 refugees
2 nomads
3 emigrants
4 expatriates
5 immigrants
QUESTION 16
Indicate which statement on the composition of the population is

correct.
1 Religion is unimportant in the way authorities exercise

power and/or authority.
2 Cultural and language differences are not a cause of conflict.
3 The population of states are homogeneous in their basic
characteristics and in the values that they cherish.
4 According to Michael Hechter there is a relationship between
ethnicity, class and separatist movements.
QUESTION 17
If the population of a state is characterised by a high growth rate and a low

life expectancy rate that population is
1 a young population
2 an old population
3 a population in which there are more males
4 a population in which there are more females
PLC102-S/1 273
QUESTION 18
Select the correct term.
A human being's psychological and emotional identification with his or

her fatherland is called
1 nationalism
2 ethnocentrism
3 patriotism
QUESTION 19
Indicate which statement on constitutionalism is incorrect.
The essence of constitutionalism implies that
1 there should be a written constitution

2 there should be restrictions on state power
3 political power and authority should be exercised according
to rules that prevent the abuse of power
4 the existence of a monarchy does not necessarily conflict
with the idea of constitutionalism
QUESTION 20
Indicate which one of the following statements on constitutions is

the most correct.
1 A constitution has to be written in one single document.

2 The United Kingdom has no constitution.
3 A constitution guarantees that the state will be governed
according to the stipulations of the constitution.
4 Constitutions can be used in any form of government Ð
from the most democratic to the most authoritarian.
QUESTION 21
Indicate which statement on heads of state is correct.
1 A nominal head of state has actual governing function.
274
2 An actual head of state has only ceremonial functions.
3 The United States of America has a head of state that has
only ceremonial powers.
4 In some states one and the same person may be both head of
state and head of the government.
5 Nominal heads of state obtain their positions through
hereditary succession only.
QUESTION 22
Fill in the missing word.
........... makes it possible for the ordinary individual to make proposals

regarding legislation or amendments to statutes which will ultimately be
referred to the decision makers for consideration.
1 plebiscite
2 referendum
3 popular initiative
QUESTION 23
Which of the following is not a characteristic of the executive in

Switzerland?
1 The executive is in the hands of a seven member Federal

Council.
2 As soon as someone becomes a member of the Federal
Council he or she ceases to be a member of the legislature.
3 The members of the executive do not have to resign if the
legislature does not agree with them.
4 The Federal Council chooses one of its members to serve a
term of four years as head of state.
5 The members of the executive may participate in debates in
the legislature, but may not vote.
QUESTION 24
Which statement regarding the judiciary is incorrect.
PLC102-S/1 275
1 The judiciary is responsible for the application of the law in a
democratic state.
2 The lawmaking function of the judiciary is very important in
some states.
3 In the United States of America any court may test the
validity of the laws passed by the legislature.
4 The United Kingdom has a system of judicial review that is
similar to the system we have in South Africa.
QUESTION 25
Which is not a characteristic of the parliamentary system of the

executive?
1 The head of government has real or actual powers.

2 The head of government has no vote in the legislature.
3 The head of government has to resign if he or she loses the
confidence of the legislature.
QUESTION 26
Which of the following ways in which judges may be appointed is

considered to be least acceptable, if the independence of the
judiciary is a consideration?
1 nomination by the executive

2 nomination by the judiciary
3 popular voting
QUESTION 27
A federal constitution takes the form of an agreement that clearly

spells out the division of power between the federal government
and the federating governments. Therefore a federal constitution is
usually
1 flexible
2 rigid
3 unwritten
276
QUESTION 28
The process whereby people learn their political values and norms
is called
1 political culture
2 political socialisation
3 public opinion
4 political communication
QUESTION 29
An organised group that tries to promote and protect the interests

that it represents by acquiring and exercising power is called
1 a political party
2 an interest group
3 an ideology
4 a multinational corporation
QUESTION 30
Study the following hypothetical election result and answer the

question that follows.
There are three candidates in an election in which only one candidate can
be elected. Candidate A received 5000 votes, candidate B 4000 votes and
candidate C 3000.
If an absolute majority is required for election, which of the above

candidates will be declared elected with the announcement of the
above result?
1 A
2 B
3 C
4 No one
PLC102-S/1 277
QUESTION 31
Study the following hypothetical example and answer the question

that follows.
In an election in which the system of proportional representation was used,

party A obtained 6000 votes, party B 4000 votes and party C 2000.
If the quota for election is 1000 votes and there is no threshold, how
many elected members will party C be entitled to?
1 6
2 4
3 2
4 0
5 3
QUESTION 32
Study the following hypothetical example and answer the question

that follows.
In an election that requires an ordinary simple or relative majority,

candidate A received 300 votes, candidate B received 400 votes, candidate
C 500 votes and candidate D 600 votes. If only one candidate may be
elected, which candidate will be declared elected?
1 A
2 B
3 C
4 D
5 No one
QUESTION 33
Indicate what type of electoral system is used for the election of the
members of the National Assembly of South Africa.
1 plurality system
2 system requiring an absolute majority
3 party-list system
4 mixed system
278
QUESTION 34
Who wrote the book, Spirit of the laws, in which the separation of
powers was advocated?
1 Jean-Jacques Rousseau
2 Baron de Montesquieu
3 Thomas Hobbes
4 William Blackstone
QUESTION 35
Indicate which of the following is not a component of totalitarian-

ism.
1 an official ideology covering all aspects of human endeavour

2 a multi-party system
3 a secret police for dominating the population
4 control of the media of communication
5 central control of the economy
QUESTION 36
In a study of the acquisition of territory, the partition or breaking

away of a territory to form a new state, or incorporation into
another existing state is referred to as
1 prescription
2 conquest
3 cession
4 voluntary incorporation
5 secession
QUESTION 37
The distribution of powers between the legislature, the executive

and the judiciary is referred to as the
1 centralisation and decentralisation of powers

2 horizontal separation of powers
PLC102-S/1 279
3 vertical distribution of powers
4 devolution of powers
QUESTION 38
States that are smaller, with a fairly homogeneous population and

the absence of regional sentiments, are usually characterised by
having
1 a federal structure
2 unicameral parliaments
3 bicameral parliaments
QUESTION 39
Absolute sovereignty is associated with
1 monarchs, kings or rulers who have complete spiritual and

temporal power
2 the supreme, complete and exclusive legal authority to make
and enforce laws for a particular people residing in a
particular territory
3 the supremacy of coercive power
4 the supreme authority, juridically and politically, of a
government within the borders of the state
QUESTION 40
The trias politica refers to the
1 functional division between the legislature, the executive and

the judiciary
2 territorial division of power between the three tiers of
government
3 three houses of parliament of the 1983 Constitution of South
Africa
4 sharing of power among the head of state, head of
government and the legislature
280
QUESTION 41
Unwritten practices which have developed into a tradition over

time and which are considered to be an inherent part of the
constitution are called
1 organic rules
2 judicial decisions
3 constitutional conventions
4 religious rules
QUESTION 42
A constitution that requires an ordinary majority of 50% + 1 of the

votes for any amendments, is called
1 a short constitution
2 a rigid constitution
3 a flexible constitution
4 an unwritten constitution
5 a long constitution
QUESTION 43
Read the following extract from a constitution and then answer the
question that follows.
The president, selected for a seven-year term by an electoral college ...

appoints the prime minister and, on the latter's [prime minister's]
recommendation ... he [the president] may dissolve parliament at any
time.
In the above extract, the president
1 is an actual head of state

2 is a nominal head of state
3 shares his or her power with that of a prime minister
QUESTION 44
Although it is always difficult to generalise, we can conclude that in
PLC102-S/1 281
states where the head of state possesses actual powers the executive
authority is more often
1 parliamentary
2 non-parliamentary
3 a committee system
QUESTION 45
The powers assigned to the federal or regional tier of government in

respect of which they have the sole say and the competence to take
final decisions are called
1 original powers
2 concurrent powers
3 residual powers
QUESTION 46
Which of the following countries have strong upper houses or

second chambers of the legislature?
1 Britain and the United States of America

2 Germany and Britain
3 Germany and the United States of America
4 France and Norway
QUESTION 47
Which of the following states have a single chamber parliament?
1 Finland and South Africa

2 China and Switzerland
3 Sweden and Portugal
QUESTION 48
Which of the following states have no formal written constitution?
1 Britain and Israel
282
2 United States of America and Iran
3 Britain and Iran
4 France and Britain
5 Germany and France
QUESTION 49
Which one of the following states has the lowest age qualification
for franchise?
1 Britain
2 South Africa
3 France
4 Turkey
5 Iran
QUESTION 50
In some states it is compulsory to vote and voters may be fined for not
doing so.
1 True
2 False
PLC102-S/1 283
Addendum A: Mock Examination
284
PLC102-S/1 285

GGG

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

GGG

Uploaded by

Copyright:

Available Formats

# 2002 University of South Africa

All rights reserved

Printed and published by the

PREFACE: GETTING STARTED v

Since a student's first introduction to a new course is sometimes

The focus of this module is on the structures and functions of the

As you progress in the course (especially if you are taking it as a

STRUCTURE OF THE MODULE

The study material and tuition in this module comprise the

 this study guide, which forms the nucleus of the module

You are also advised to make use of a few good dictionaries.

The study guide repeatedly mentions geographical areas and states

In this module you will be introduced to certain concepts and terms

We wish you every success in Politics at Unisa.

The presenters of the module

Unfortunately the concept of state is one of the most difficult

Do not be concerned if there are things that you do not understand

One reason is the lack of attention that British and American

Another reason for the confusion often experienced when dealing

THE STATE AND OTHER RELATED CONCEPTS

There are several other concepts that are of importance whenever

The term community is another vague term in the sense that it is

The term fatherland refers to that geographic area or patria which a

The term authorities refers to an abstract collection of agents and

The term administration refers to those institutions and officials who

THEORIES OF THE STATE

The state, as a political entity that claims a monopoly on coercive

 Absolutist theory of the state

These theories have a Western origin but are important because

Absolutist theory of the state

Absolutist theory was to a large extent influenced by ideas on

As the monistic God ruled the universe, so the earthly States

Constitutional theory of the state

The theoretical roots of constitutional theory predate those of

The individual's consciousness, despite what individualist

The various individuals within the state therefore identify

Due to ethical theory's implied consensus on values and even

Class theory of the state

The pluralist theory of the state

The term pluralism is used in a number of senses usually to refer to

Groups would communicate via negotiation, not delegation from

Through its agents the state has the potential to become an

In the following study units we will provide descriptive analyses of

KEY TERMS atomistic view of the state legitimacy

FOCUS Who are the authorities in a state?

1.1 WHO ARE THE AUTHORITIES IN A STATE?

You have already come across the concept of authorities in the

 legislation Ð that is, making authoritative decisions

Depending on the circumstances in a particular society it might

1.2 WHAT IS THE NATURE OF POLITICAL POWER AND

Several concepts emerge when we try to clarify the concepts of

The following questions relate to the practical implications of this dis-

In order to understand the nature of power and authority in the

For some academics, the concept of politics without power is just as

 Power concerns a particular type of relationship in which

There are different types of interpersonal relationships where

politics, here we focus on power that is exercised to ensure that the

 There is a misconception that power is something that either

Think of the practice in South Africa.

In practice it is possible that power is concentrated in a particular

From the discussion thus far it is possible to make the wrong

According to this classification, influence, persuasion, inducement,

 Influence. This can be regarded as a power relationship that is

this study guide, which forms the nucleus of the module

Absolutist theory of the state

legislation Ð that is, making authoritative decisions

Power concerns a particular type of relationship in which

There is a misconception that power is something that either

Influence. This can be regarded as a power relationship that is

Law. It is generally believed that a state's laws are rational,

the authorities and its subjects

an official ideology (for example communism) covering all

Democracy provides for comprehensive input from society.

acceptable ways of land acquisition

Historical exercise of jurisdiction. In the establishment of states

the composition of the population