Chapter 11

Authority and
the State
Lecture PowerPoint
W. W. Norton & Company, 2008

Types of Legitimate Authority

Authority = justifiable right to exercise power.

Charismatic authority: personal appeal of an
individual leader.
Difficult

Traditional authority: a long established way

of doing things.
Not

to maintain or pass on

very flexible or adaptable

Legal-rational authority: legal, impersonal

rules that have been routinized and rationalized.
You May Ask Yourself
Copyright 2008 W.W. Norton & Company, Inc.

Authority, Legitimacy, and the State

Max Weber
power = ability to carry out ones will despite
resistance
domination = probability that a command will be
obeyed by a given group of people
domination by economic power = coercion, reward
domination by authority = willing obedience to
legitimate authority
Key question: What makes power legitimate?
You May Ask Yourself
Copyright 2008 W.W. Norton & Company, Inc.

Political vs. Personal Power

Bases of Political Power

Bases of Personal Power

Coercion

Coercion

Reward

Reward

Tradition*

Tradition*

Charisma

Empathy, affection*

Law*

Persuasion
Knowledge*

* Most common

The State

Answer: consensus, formalized as the state

Weber: state = a human community that
(successfully) claims the monopoly of the legitimate
use of physical force within a given territory.
ultimate example of domination by authority
paradox of authority states may use coercion,
but they shouldnt have to

Coercion = people are not obeying

Legitimate authority is not working
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Copyright 2008 W.W. Norton & Company, Inc.

Authority, Legitimacy, and the State

Webers ideas apply best to European states

developed over hundreds of years

long series of fights over territorial boundaries
History of traditional authority

Result: the international state system: countries

recognize each others boundaries and laws.
Formalized by the United Nations.
Other countries have been somewhat arbitrarily
produced through colonization and decisions of the
UN
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Copyright 2008 W.W. Norton & Company, Inc.

Types of governments

Democracy citizens rule themselves through

representation by elected leaders

About 70% of countries have elected govts.

Not all are fully democratic
Rely on rational-legal authority
Most still involve unequal representation and
distribution of power

Figure 11.3 | Voter Registration by

Social Group, 2004 (pt. 1)

Figure 11.3 | Voter Registration by

Social Group, 2004 (pt. 2)

Types of governments

Totalitarian single group has control over

government, communications, resources.
Planned economy. Strong ideology.

Nazi Germany
Former Soviet Union
May begin with charismatic leader
Often expensive, cumbersome to manage

Types of governments

Authoritarian controlled by non-elected

rulers. Some individual freedom.

May involve traditional authority

May be controlled by monarch or dictator
Strong military, sometimes coercive power
More vulnerable revolution or seizures of power
Cuba (Castros), Saudi Arabia (King Fahd), Iraq
(Saddam Hussein)

Role of the Democratic State

Historically, little role in economy or individual life
More recently, welfare state
System in which the state is responsible for the welfare
of its citizens, at least during hardship
logic of industrialism thesis industrialization creates
dependents; state must help care for them
neo-Marxist theory capitalist state must grant
concessions to workers to prevent revolt
State-centered bureaucrats use social welfare projects
to further their own interests

12

You May Ask Yourself

Copyright 2008 W.W. Norton & Company, Inc.

Radical Power and Persuasion

Steven Lukes: 3 dimensions of power

First dimension - outright conflict over
something that results in one side winning
Second dimension - power that is so imposing
that it seems pointless to resist
Third dimension - avoiding conflict by limiting
choices or influencing preferences
Many

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argue that U.S. system doesnt offer real choices

Elite control both major parties
Citizens may vote against rather than for You May Ask Yourself
Copyright 2008 W.W. Norton & Company, Inc.

Radical Power and Persuasion

14

Hard power vs. soft power

Hard power: military or economic. Expensive,
difficult to maintain
Soft power: cultural or ideological means.
Marketing, image, candidate or policy as product.
Very effective in contemporary society.

You May Ask Yourself

Copyright 2008 W.W. Norton & Company, Inc.

Philosophy and Power

15

Thomas Hobbes - state of nature is chaos and competition.

Government needed to maintain order.
People submit to authority as a means of survival.
Authority should be created by citizens themselves.
Saw need for strong government
John Locke - people naturally live in peace and equality.
Conflicts do arise, usually over property.
Authority can help iron out disagreements.
Government should not get too involved in peoples lives
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Copyright 2008 W.W. Norton & Company, Inc.

Dictatorship or Democracy?

Barrington Moore democracy develops when there is a

strong business class (bourgeoisie) that can stand up to the
land-owning, noble class. Western Europe fits this model.

theory of collective action - harder to organize larger

groups than smaller ones. Masses are unlikely to organize
when risks are high and resources are low. Elites have more
resources, more to lose, and better coordination. South
America, Asia fit this model.

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You May Ask Yourself

Copyright 2008 W.W. Norton & Company, Inc.

Who Rules the USA?

Ordinary citizens have relatively little

power
Debate is between pluralist and elitist views
of government

Pluralist many powerful groups compete and

negotiate
Elitist very small group (Power Elite) makes
most decisions

Interest Groups Model

Comes from functional perspective

David Riesman major decisions made among
special interest groups
Interest group organized for purpose of influencing
political decisions.

100,000 interest groups in U.S.

Political Action Committee (PAC) established by

interest groups to raise and distribute funds for
candidates

4000+ PACS in 2006

Figure 11.1 | How Interest Groups

Influence Congress

Interest Groups Model - assumptions

Power is spread out among different groups

No group controls everything power is specific to
issue
Interest groups have great influence on public policy
Interest groups goals and values are generally
shared by public
Although citizens have little individual power, their
interests are often met

Power Elite Model Part 1

Comes from conflict perspective

C. Wright Mills same small group of
individuals operate between corporations,
military, and executive branch.
Are personally acquainted.
Same schools and social circles
Shared values, strong consensus
Operate behind scenes to influence interest
groups and Congress

Power Elite Model Part 2

Domhoff (1990, 2005) found strong evidence of a

cohesive upper class

Looked at private clubs, schools, Social Register

Most members were well educated, affluent, urban,
white, Anglo Saxon, upper class
Over-represented in leadership positions in
government, business, and military
Called them a governing class.
Does not prove they work together for own interests

Power Elite Model Part 2

Dye (2001) 7314 First Rate positions control

of assets of private foundations

2/3 of assets of private universities
Media, civic & cultural organizations, all 3
branches of govt.
5778 individuals occupied all 7314 positions
15% held more than one position
Still does not prove they work together, but they
have the ability to do so.