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POLITY
S.N. TOPIC PAGE NO.
1. Preface
2. Polity PYQs Analysis
3. Overview of Indian Constitution: Origins Evolution and 1-12
Core Principles
4. The Preamble 13-20
5. Citizenship 21-31
6. Fundamental Rights Directive Principles of State Policy and 32-74
Fundamental Duties
7. Separation of Powers Between Various Organs 75-82
8. Union and State Executive 83-101
9. Union and State Legislature 102-120
10. Indian Judiciary 121-136
11. Elections 137-165
12. Federalism 166-188
13. Local Self Governance 189-204
14. Constitutional Bodies 205-229
15. Quasi-Judicial Bodies 230-245
16. Regulatory Authorities in India 246-254

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Preface
A Message to the Dedicated Mains 2025 Aspirant
Dear Aspirant,
Congratulations on conquering the first stage of the Civil Services Examination. The journey from Prelims to
Mains is a test of not just knowledge, but also of strategy, endurance, and smart work. We understand that
this crucial period is often marked by a sense of urgency and confusion. With a vast syllabus to cover and
limited time on the clock, you might find yourself asking: What should I read? What can I afford to skip? How
do I structure my preparation to gain a genuine competitive edge?
It is with a deep understanding of these challenges that we have crafted this Polity Value Added Material
(VAM) for Mains 2025. This document is not just another compilation of notes; it is a strategic tool designed
to be your trusted companion in navigating the complexities of the GS Paper 2 Polity section.
The Philosophy: Precision and Relevance through PYQ Analysis
The foundation of this VAM lies in a thoughtful and objective analysis of the UPSC Mains Polity questions
from 2013 to 2024. We believe that the surest way to understand the expectations of the examiner is to
meticulously study the questions they have asked over the past decade. This rigorous analysis has been the
guiding light in designing every aspect of this material.
At the very beginning of this document, we have provided a comprehensive macro-analysis of the PYQs. This
will offer you a bird's-eye view of the entire Polity syllabus, helping you to intelligently allocate your time and
energy by understanding the relative importance of various themes.
Furthermore, each theme within the document is prefaced with a micro-level PYQ analysis. This will guide
you on the specific sub-topics to focus on, the nature of questions asked, and how to approach each theme to
maximize your score.
How Will This Document Empower Your Mains Preparation?
Our primary goal is to equip you with the content and confidence to write high-scoring answers. This VAM is
structured to achieve three key objectives:
1. Revise Core Content Efficiently: The material is designed to facilitate a quick and effective revision of
the core constitutional and political concepts that you have already studied for the Prelims. It ensures
your foundational knowledge is sharp and ready for application.
2. Provide High-Impact Value Addition: Moving beyond the basics, this document provides curated,
value-added content for each theme. This includes critical analysis, relevant committee
recommendations, important judgments, and contemporary viewpoints that will help you enrich your
answers and stand out from the competition.
3. Cover High-Probability Current Affairs Themes: We recognize that Mains is increasingly dynamic.
Therefore, we have identified and comprehensively covered key themes that have been prominent in
the news over the last few years. This proactive approach ensures you are well-prepared for
questions that connect static concepts with current events, a high-yield area in recent trends.
Our Commitment to Your Success
This document is a culmination of dedicated effort aimed at simplifying your preparation and maximizing your
output. We believe that with a clear strategy and the right resources, you can transform your hard work into
success. Trust the process, utilize this material to its fullest potential, and walk into the examination hall with
the confidence that you have prepared smartly.

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A Thematic Analysis of Mains Questions (2013-2024) and

Strategic Insights

The Polity section of General Studies Paper 2, as specified in the official UPSC syllabus, covers a broad range of
topics. The syllabus for this section includes the following:

• "Indian Constitution—Historical Underpinnings, Evolution, Features, Amendments, Significant Provisions

and Basic Structure.
• Functions and Responsibilities of the Union and the States, Issues and Challenges Pertaining to the
Federal Structure, Devolution of Powers and Finances up to Local Levels and Challenges Therein.
• Separation of Powers between various organs Dispute Redressal Mechanisms and Institutions.
• Comparison of the Indian Constitutional Scheme with that of Other Countries.
• Parliament and State Legislatures—Structure, Functioning, Conduct of Business, Powers & Privileges and
Issues Arising out of these.
• Structure, Organization and Functioning of the Executive and the Judiciary—Ministries and Departments
of the Government; Pressure Groups and Formal/Informal Associations and their Role in the Polity.
• Salient Features of the Representation of People’s Act.
• Appointment to various Constitutional Posts, Powers, Functions and Responsibilities of various
Constitutional Bodies.
• Statutory, Regulatory and various Quasi-judicial Bodies."
To navigate this comprehensive scope effectively for Mains preparation and enable a deeper, more focused
analysis of examination trends, we have structured this extensive syllabus into 14 distinct thematic chapters.
This thematic organization serves multiple strategic purposes:
• It allows for a targeted study of interlinked concepts within each theme.
• It facilitates a clearer identification of high-priority areas based on the patterns observed in past
questions.
• It enables the delivery of focused value-added content tailored to the specific requirements of each
theme.
All subsequent analysis, insights, and preparatory guidance for Polity will be aligned with this 14-chapter
framework. Our aim is to help you master the subject with enhanced clarity, strategic understanding, and a
well-organized approach to your preparation.

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Topic-wise Previous Year Questions (2013–2024) for UPSC Mains
1. Overview of Our Constitution - Origins, Evolution, Features, Amendments, Significant Provisions
and Basic Structure
• Recent directives from Ministry of Petroleum and Natural Gas are perceived by the 'Nagas' as a threat to
override the exceptional status enjoyed by the State. Discuss in light of Article 371A of the Indian
Constitution. (2013, 10 marks)
• 'The Supreme Court of India keeps a check on arbitrary power of the Parliament in amending the
Constitution.' Discuss critically. (2013, 10 marks)
• Starting from inventing the 'basic structure' doctrine, the judiciary has played a highly proactive role in
ensuring that India develops into a thriving democracy. In light of the statement, evaluate the role played
by judicial activism in achieving the ideals of democracy. (2014, 12.5 marks)
• To what extent is Article 370 of the Indian Constitution, bearing marginal note "Temporary provision with
respect to the State of Jammu and Kashmir", temporary? Discuss the future prospects of this provision in
the context of Indian polity. (2016, 12.5 marks)
• Did the Government of India Act, 1935 lay down a federal constitution? Discuss. (2016, 12.5 marks)
• What was held in the Coelho case? In this context, can you say that judicial review is of key importance
amongst the basic features of the Constitution? (2016, 12.5 marks)
• Explain the salient features of the Constitution (One Hundred and First Amendment) Act, 2016. Do you
think it is efficacious enough "to remove cascading effect of taxes and provide for common national
market for goods and services"? (2017, 15 marks)
• Under what circumstances can the Financial Emergency be proclaimed by the President of India? What
consequences follow when such a declaration remains in force? (2018, 10 marks)
• India and USA are two large democracies. Examine the basic tenets on which the two political systems are
based. (2018, 15 marks)
• "Parliament's power to amend the Constitution is a limited power and it cannot be enlarged into absolute
power." In the light of this statement explain whether Parliament under Article 368 of the Constitution
can destroy the Basic Structure of the Constitution by expanding its amending power? (2019, 15 marks)
• What can France learn from the Indian Constitution's approach to secularism? (2019, 10 marks)
• 'Constitutional Morality' is rooted in the Constitution itself and is founded on its essential facets. Explain
the doctrine of 'Constitutional Morality' with the help of relevant judicial decisions. (2021, 10 marks)
• Explain the significance of the 101st Constitutional Amendment Act. To what extent does it reflect the
accommodative spirit of federalism? (2023, 15 marks)
• Discuss India as a secular state and compare with the secular principles of the US constitution. (2024, 15
marks)

2. The Preamble
• Discuss each adjective attached to the word 'Republic' in the 'Preamble'. Are they defendable in the
present circumstances? (2016, 12.5 marks)

3. Citizenship
• (No direct questions from Citizenship)

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4. Fundamental Rights, Directive Principles and Fundamental Duties
• Discuss Section 66A of IT Act, with reference to its alleged violation of Article 19 of the Constitution.
(2013, 10 marks)
• What do you understand by the concept "freedom of speech and expression"? Does it cover hate speech
also? Why do the films in India stand on a slightly different plane from other forms of expression? Discuss.
(2014, 12.5 marks)
• Discuss the possible factors that inhibit India from enacting for its citizens a uniform civil code as provided
for in the Directive Principles of State Policy. (2015, 12.5 marks)
• Does the right to clean environment entail legal regulations on burning crackers during Diwali? Discuss in
the light of Article 21 of the Indian Constitution and Judgement(s) of the Apex Court in this regard. (2015,
12.5 marks)
• Examine the scope of Fundamental Rights in the light of the latest judgement of the Supreme Court on
Right to Privacy. (2017, 15 marks)
• Analyze the distinguishing features of the notion of Right to Equality in the Constitutions of the USA and
India. (2021, 15 marks)
• "The most significant achievement of modern law in India is the constitutionalization of environmental
problems by the Supreme Court." Discuss this statement with the help of relevant case laws. (2022, 10
marks)
• "Right of movement and residence throughout the territory of India are freely available to the Indian
citizens, but these rights are not absolute." Comment. (2022, 10 marks)
• "The Constitution of India is a living instrument with capabilities of enormous dynamism. It is a
constitution made for a progressive society." Illustrate with special reference to the expanding horizons of
the right to life and personal liberty. (2023, 15 marks)
• Right to privacy is intrinsic to life and personal liberty and is inherently protected under Article 21 of the
constitution. Explain. In this reference discuss the law relating to D.N.A. testing of child in the womb to
establish its paternity. (2024, 15 marks)

5. Union and State Executive

• Instances of President's delay in commuting death sentences has come under public debate as denial of
justice. Should there be a time limit specified for the President to accept/reject such petitions? Analyse.
(2014, 12.5 marks)
• The size of the cabinet should be as big as governmental work justifies and as big as the Prime Minister
can manage as a team. How far is the efficacy of a government then inversely related to the size of the
cabinet? Discuss. (2014, 12.5 marks)
• Critically examine the procedures through which the Presidents of India and France are elected. (2022, 15
marks)
• Discuss the essential conditions for exercise of the legislative powers by the Governor. Discuss the legality
of re-promulgation of ordinances by the Governor without placing them before the Legislature. (2022, 15
marks)

6. Union and State Legislature

• The role of individual MPs (Members of Parliament) has diminished over the years and as a result healthy
constructive debates on policy issues are not usually witnessed. How far can this be attributed to the anti-
defection law which was legislated but with a different intention? (2013, 10 marks)

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• The 'Powers, Privileges and Immunities of Parliament and its Members' as envisaged in Article 105 of the
Constitution leave room for a large number of un-codified and un-enumerated privileges to continue.
Assess the reasons for the absence of legal codification of the 'parliamentary privileges'. How can this
problem be addressed? (2014, 12.5 marks)
• Discuss the role of Public Accounts Committee in establishing accountability of the government to the
people. (2017, 10 marks)
• The Indian Constitution has provisions for holding joint session of the two Houses of the Parliament.
Enumerate the occasions when this would normally happen and also the occasions when it cannot, with
reason thereof. (2017, 15 marks)
• Why do you think the committees are considered to be useful for parliamentary work? Discuss, in this
context, the role of the Estimates Committee. (2018, 10 marks)
• Individual Parliamentarian's role as the national law maker is on a decline, which in turn, has adversely
impacted the quality of debates and their outcome. Discuss. (2019, 15 marks)
• 'Once a Speaker, Always a Speaker'! Do you think this practice should be adopted to impart objectivity to
the office of the Speaker of Lok Sabha? What could be its implications for the robust functioning of
parliamentary business in India? (2020, 10 marks)
• Rajya Sabha has been transformed from a 'useless stepney tyre' to the most useful supporting organ in
past few decades. Highlight the factors as well as the areas in which this transformation could be visible.
(2020, 15 marks)
• To what extent, in your view, the Parliament is able to ensure accountability of the executive in India?
(2021, 10 marks)
• Explain the constitutional provisions under which Legislative Councils are established. Review the working
and current status of Legislative Councils with suitable illustrations. (2021, 15 marks)
• Do Department-related Parliamentary Standing Committees keep the administration on its toes and
inspire reverence for parliamentary control? Evaluate the working of such committees with suitable
examples. (2021, 15 marks)
• Discuss the role of the Vice-President of India as the Chairman of the Rajya Sabha. (2022, 10 marks)
• Compare and contrast the British and Indian approaches to Parliamentary sovereignty. (2023, 10 marks)
• Discuss the role of Presiding Officers of state legislatures in maintaining order and impartiality in
conducting legislative work and in facilitating best democratic practices. (2023, 10 marks)
• Explain the structure of the Parliamentary Committee system. How far have the financial committees
helped in the institutionalisation of Indian Parliament? (2023, 15 marks)
• "The growth of cabinet system has practically resulted in the marginalisation of the parliamentary
supremacy." Elucidate. (2024, 10 marks)

7. Indian Judiciary
• Critically examine the Supreme Court's judgement on National Judicial Appointments Commission Act,
2014' with reference to appointment of judges of higher judiciary in India. (2017, 10 marks)
• The judicial systems in India and UK seem to be converging as well as diverging in recent times. Highlight
the key points of convergence and divergence between the two nations in terms of their judicial practices.
(2020, 10 marks)
• Discuss the desirability of greater representation to women in the higher judiciary to ensure diversity,
equity and inclusiveness. (2021, 10 marks)
• "Constitutionally guaranteed judicial independence is a prerequisite of democracy." Comment. (2023, 10
marks)

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• Explain the reasons for the growth of public interest litigation in India. As a result of it, has the Indian
Supreme Court emerged as the world's most powerful judiciary ? (2024, 15 marks)

8. Federalism
• Many State Governments further bifurcate geographical administrative areas like Districts and Talukas for
better governance. In light of the above, can it also be justified that more number of smaller States would
bring in effective governance at State level? Discuss. (2013, 10 marks)
• Constitutional mechanisms to resolve the inter-state water disputes have failed to address and solve the
problems. Is the failure due to structural or process inadequacy or both? Discuss. (2013, 10 marks)
• Though the federal principle is dominant in our Constitution and that principle is one of its basic features,
but it is equally true that federalism under the Indian Constitution leans in favour of a strong Centre, a
feature that militates against the concept of strong federalism. Discuss. (2014, 12.5 marks)
• The concept of cooperative federalism has been increasingly emphasized in recent years. Highlight the
drawbacks in the existing structure and the extent to which cooperative federalism would answer the
shortcomings. (2015, 12.5 marks)
• Discuss the essentials of the 69th Constitutional Amendment Act and anomalies, if any, that have led to
recent reported conflicts between the elected representatives and the institution of the Lieutenant
Governor in the administration of Delhi. Do you think that this will give rise to a new trend in the
functioning of the Indian federal politics? (2016, 12.5 marks)
• Whether the Supreme Court Judgement (July 2018) can settle the political tussle between the Lt.
Governor and elected government of Delhi? Examine. (2018, 15 marks)
• From the resolution of contentious issues regarding distribution of legislative powers by the courts,
'Principle of Federal Supremacy' and 'Harmonious Construction' have emerged. Explain. (2019, 10 marks)
• How far do you think cooperation, competition and confrontation have shaped the nature of federation in
India? Cite some recent examples to validate your answer. (2020, 10 marks)
• Indian Constitution exhibits centralising tendencies to maintain unity and integrity of the nation. Elucidate
in the perspective of the Epidemic Diseases Act, 1897; The Disaster Management Act, 2005 and recently
passed Farm Acts. (2020, 15 marks)
• How have the recommendations of the 14th Finance Commission of India enabled the States to improve
their fiscal position? (2021, 10 marks)
• The jurisdiction of the Central Bureau of Investigation (CBI) regarding lodging an FIR and conducting probe
within a particular State is being questioned by various States. However, the power of the States to
withhold consent to the CBI is not absolute. Explain with special reference to the federal character of
India. (2021, 15 marks)
• "While the national political parties in India favour centralisation, the regional parties are in favour of
State autonomy." Comment. (2022, 15 marks)
• Account for the legal and political factors responsible for the reduced frequency of using Article 356 by
the Union Governments since mid 1990s. (2023, 15 marks)
• What changes has the Union Government recently introduced in the domain of Centre-State relations?
Suggest measures to be adopted to build the trust between the Centre and the States and for
strengthening federalism. (2024, 15 marks)

9. Local Self Governance

• Discuss the recommendations of the 13th Finance Commission which have been a departure from the
previous commissions for strengthening the local government finances. (2013, 10 marks)

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• In absence of a well-educated and organized local level government system, 'Panchayats' and 'Samitis'
have remained mainly political institutions and not effective instruments of governance. Critically discuss.
(2015, 12.5 marks)
• "The local self-government system in India has not proved to be effective instrument of governance."
Critically examine the statement and give your views to improve the situation. (2017, 10 marks)
• Assess the importance of the Panchayat system in India as a part of local government. Apart from
government grants, what sources the Panchayats can look out for financing developmental projects?
(2018, 15 marks)
• "The reservation of seats for women in the institutions of local self-government has had a limited impact
on the patriarchal character of the Indian Political Process." Comment. (2019, 15 marks)
• The strength and sustenance of local institutions in India has shifted from their formative phase of
'Functions, Functionaries and Funds' to the contemporary stage of 'Functionality'. Highlight the critical
challenges faced by local institutions in terms of their functionality in recent times. (2020, 15 marks)
• To what extent, in your opinion, has the decentralisation of power in India changed the governance
landscape at the grassroots? (2022, 10 marks)
• "The states in India seem reluctant to empower urban local bodies both functionally as well as
financially." Comment. (2023, 10 marks)
• Analyse the role of local bodies in providing good governance at local level and bring out the pros and
cons merging the rural local bodies with the urban local bodies. (2024, 10 marks)

10. Separation of Powers

• Resorting to ordinances has always raised concern on violation of the spirit of separation of powers
doctrine. While noting the rationales justifying the power to promulgate ordinances, analyze whether the
decisions of the Supreme Court on the issue have further facilitated resorting to this power. Should the
power to promulgate ordinances be repealed? (2015, 12.5 marks)
• What are the major changes brought in the Arbitration and Conciliation Act, 1996 through the recent
Ordinance promulgated by the President? How far will it improve India's dispute resolution mechanism?
Discuss. (2015, 12.5 marks)
• Do you think that Constitution of India does not accept principle of strict separation of powers rather it is
based on the principle of 'checks and balance'? Explain. (2019, 10 marks)
• Judicial Legislation is antithetical to the doctrine of separation of powers as envisaged in the Indian
Constitution. In this context justify the filing of large number of public interest petitions praying for issuing
guidelines to executive authorities. (2020, 15 marks)

11. Elections in India

• "Simultaneous election to the Lok Sabha and the State Assemblies will limit the amount of time and
money spent in electioneering but it will reduce the government's accountability to the people." Discuss.
(2017, 10 marks)
• On what grounds a people's representative can be disqualified under the Representation of Peoples Act,
1951? Also mention the remedies available to such person against his disqualification. (2019, 15 marks)
• "There is a need for simplification of procedure for disqualification of persons found guilty of corrupt
practices under the Representation of Peoples Act". Comment. (2020, 10 marks)
• Discuss the procedures to decide the disputes arising out of the election of a Member of the Parliament or
State Legislature under The Representation of the People Act, 1951. What are the grounds on which the
election of any returned candidate may be declared void? What remedy is available to the aggrieved party
against the decision? Refer to the case laws. (2022, 15 marks)

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• Examine the need for electoral reforms as suggested by various committees with particular reference to
"one nation one election" principle. (2024, 10 marks)

12. Constitutional Bodies

• Exercise of CAG's powers in relation to the accounts of the Union and the States is derived from Article
149 of the Indian Constitution. Discuss whether audit of the Government's policy implementation could
amount to overstepping its own (CAG) jurisdiction. (2016, 12.5 marks)
• To enhance the quality of democracy in India the Election Commission of India has proposed electoral
reforms in 2016. What are the suggested reforms and how far are they significant to make democracy
successful? (2017, 15 marks)
• In the light of recent controversy regarding the use of Electronic Voting Machines (EVM), what are the
challenges before the Election Commission of India to ensure the trustworthiness of elections in India?
(2018, 10 marks)
• Whether National Commission for Scheduled Castes (NCSC) can enforce the implementation of
constitutional reservation for the Scheduled Castes in the religious minority institutions? Examine. (2018,
10 marks)
• "The Comptroller and Auditor General (CAG) has a very vital role to play." Explain how this is reflected in
the method and terms of his appointment as well as the range of powers he can exercise. (2018, 10
marks)
• How is the Finance Commission of India constituted? What do you know about the terms of reference of
the recently constituted Finance Commission? Discuss. (2018, 15 marks)
• "The Attorney-General is the chief legal adviser and lawyer of the Government of India." Discuss. (2019,
15 marks)
• Which steps are required for constitutionalization of a Commission? Do you think imparting
constitutionality to the National Commission for Women would ensure greater gender justice and
empowerment in India? Give reasons. (2020, 15 marks)
• Discuss the role of the National Commission for Backward Classes in the wake of its transformation from a
statutory body to a constitutional body. (2022, 10 marks)
• Discuss the role of the Election Commission of India in the light of the evolution of the Model Code of
Conduct. (2022, 15 marks)
• "The duty of the Comptroller and Auditor General is not merely to ensure the legality of expenditure but
also its propriety." Comment. (2024, 10 marks)

13. Quasi-Judicial Bodies

• National Human Rights Commission (NHRC) in India can be most effective when its tasks are adequately
supported by other mechanisms that ensure the accountability of a government. In light of the above
observation assess the role of NHRC as an effective complement to the judiciary and other institutions in
promoting and protecting human rights standards. (2014, 12.5 marks)
• What is a quasi-judicial body? Explain with the help of concrete examples. (2016, 12.5 marks)
• Is the National Commission for Women able to strategize and tackle the problems that women face at
both public and private spheres? Give reasons in support of your answer. (2017, 15 marks)
• How far do you agree with the view that tribunals curtail the jurisdiction of ordinary courts? In view of the
above, discuss the constitutional validity and competency of the tribunals in India. (2018, 15 marks)
• "The Central Administrative Tribunal which was established for redressal of grievances and complaints by
or against central government employees, nowadays is exercising its powers as an independent judicial
authority." Explain. (2019, 10 marks)

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• Though the Human Rights Commissions have contributed immensely to the protection of human rights in
India, yet they have failed to assert themselves against the mighty and powerful. Analyzing their structural
and practical limitations, suggest remedial measures. (2021, 15 marks)
• Explain and distinguish between Lok Adalats and Arbitration Tribunals. Whether they entertain civil as
well as criminal cases? (2024, 10 marks)

14. Regulatory Authorities in India

• The product diversification of financial institutions and insurance companies, resulting in overlapping of
products and services strengthens the case for the merger of the two regulatory agencies, namely SEBI
and IRDA. Justify. (2013, 10 marks)
• The setting up of a Rail Tariff Authority to regulate fares will subject the cash strapped Indian Railways to
demand subsidy for obligation to operate non-profitable routes and services. Taking into account the
experience in the power sector, discuss if the proposed reform is expected to benefit the consumers, the
Indian Railways or the private container operators. (2014, 12.5 marks)
• "For achieving the desired objectives, it is necessary to ensure that the regulatory institutions remain
independent and autonomous." Discuss in the light of the experiences in recent past. (2015, 12.5 marks)
• Discuss the role of the Competition Commission of India in containing the abuse of dominant position by
the Multi-National Corporations in India. Refer to the recent decisions. (2023, 10 marks)

Analysis of Polity PYQs (2013-2024) - Marks Distribution Table:

SN Theme 2 2 2 2 2 2 2 2 2 2 20 20 Avg.
0 0 0 0 0 0 0 0 0 0 23 24 weightage
1 1 1 1 1 1 1 2 2 2 of the
3 4 5 6 7 8 9 0 1 2 topic

1 Overview of 2 1 0 3 1 2 2 0 1 0 15 15 13.51%
Our 0 2 7 5 5 5 0
Constitution . .
- Origins, 5 5
Evolution,
Features,
Amendments
, Significant
Provisions
and Basic
Structure

2 The 0 0 0 1 0 0 0 0 0 0 0 0 0.96%
Preamble 2
.
5

3 Citizenship 0 0 0 0 0 0 0 0 0 0 0 0 0.00%

4 Fundamental 1 1 2 0 1 0 0 0 1 2 15 15 9.84%
Rights, 0 2 5 5 5 0
Directive .
Principles 5

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 and
Fundamental
Duties

5 Union and 0 2 0 0 0 0 0 0 0 3 0 0 4.25%

State 5 0
Executive

6 Union and 1 1 0 0 2 1 1 2 4 1 40 10 15.25%

State 0 2 5 0 5 5 0 0
Legislature .
5

7 Indian 0 0 0 0 1 0 0 1 1 0 10 15 4.25%
Judiciary 0 0 0

8 Federalism 2 1 1 1 0 1 1 2 2 1 15 15 13.70%
0 2 2 2 5 0 5 5 5
. . .
5 5 5

9 Local Self 1 0 1 0 1 1 1 1 0 1 10 10 8.30%

Governance 0 2 0 5 5 5 0
.
5

10 Separation of 0 0 2 0 0 0 1 1 0 0 0 0 3.86%
Powers 5 0 5

11 Elections in 0 0 0 0 1 0 1 1 0 1 0 10 4.63%
India 0 5 0 5

12 Constitutiona 0 0 0 1 1 4 1 1 0 2 0 10 10.61%
l Bodies 2 5 5 5 5 5
.
5

13 Quasi- 0 1 0 1 1 1 1 0 1 0 0 10 6.95%
Judicial 2 2 5 5 0 5
Bodies . .
5 5

14 Regulatory 1 1 1 0 0 0 0 0 0 0 10 0 3.47%
Authorities 0 2 2
in India . .
5 5

To 7 8 7 1 1 1 1 1 1 1 120 100 100%

tal 5 7 5 1 2 1 3 1 3 1
Ma . 5 5 5 0 5 5 5
rks 5
Ea
ch
Ye
ar

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Overall Analysis and Key Insights for Polity Preparation (GS Paper 2):

1. Focus Heavily on Core Pillars of Indian Polity:

• The data clearly shows that certain topics form the bedrock of the Polity paper. Specifically, S.No. 6:
Union and State Legislature (15.25%), S.No. 8: Federalism (13.70%), S.No. 1: Overview of Our
Constitution ( 13.51%), S.No. 12: Constitutional Bodies (10.61%), and S.No. 4: Fundamental Rights,
Directive Principles and Fundamental Duties ( 9.84%) together account for a very substantial portion of
the questions. Students must build an impeccable understanding of these areas, covering their
theoretical aspects, landmark cases, and contemporary issues.
• Example (S.No. 6): "Rajya Sabha has been transformed from a 'useless stepney tyre' to the most useful
supporting organ in past few decades. Highlight the factors as well as the areas in which this
transformation could be visible. (2020, 15 marks)"
• Example (S.No. 8): "Indian Constitution exhibits centralising tendencies to maintain unity and integrity of
the nation. Elucidate in the perspective of the Epidemic Diseases Act, 1897; The Disaster Management
Act, 2005 and recently passed Farm Acts. (2020, 15 marks)"
2. Dynamic Nature – Link Static Knowledge with Current Events and Judiciary:
• While the syllabus is defined, the questions are often dynamic. Static portions from topics like S.No. 4
(FRs, DPSPs, FDs) or S.No. 1 (Overview of Constitution) are frequently linked to current events or
recent judicial pronouncements. For instance, a Supreme Court judgment can trigger a question on a
Fundamental Right or a Basic Structure aspect. Mere rote learning of articles will not suffice;
understanding their interpretation and contemporary relevance is crucial.
• Example (S.No. 4): "Examine the scope of Fundamental Rights in the light of the latest judgement of the
Supreme Court on Right to Privacy. (2017, 15 marks)"
3. Analytical Depth and Critical Examination are Key:
• Across most topics, especially those with higher weightage, UPSC demands more than factual recall.
Questions often require critical analysis ("Critically examine..."), discussion of implications ("What are
the implications..."), or your well-reasoned opinion ("Do you think..."). This necessitates developing the
ability to analyze issues from multiple perspectives and form cogent arguments.
• Example (S.No. 10 - Separation of Powers): "Judicial Legislation is antithetical to the doctrine of
separation of powers as envisaged in the Indian Constitution. In this context justify the filing of large
number of public interest petitions praying for issuing guidelines to executive authorities. (2020, 15
marks)"
4. Interconnectedness of Polity Topics:
• Many questions inherently bridge multiple topics from your list. For example, a question on a
Constitutional Amendment (falling under S.No. 1) might have significant implications for Federalism
(S.No. 8) or the powers of Constitutional Bodies (S.No. 12). Therefore, an integrated study approach is
more effective than studying topics in complete isolation.
• Example: "Explain the significance of the 101st Constitutional Amendment Act. To what extent does it
reflect the accommodative spirit of federalism? (2023, 15 marks)" (This connects S.No. 1 and S.No. 8).
5. Strategically Approach Topics with Varied Weightage:
• An analysis of past papers indicates that while core constitutional areas are frequently tested, some
topics such as S.No. 2: The Preamble (0.96% over the analyzed period), S.No. 3: Citizenship ( 0.00%),
S.No. 10: Separation of Powers (50 marks, 3.86%), and S.No. 14: Regulatory Authorities in India (
3.47%) have seen more sporadic appearances or carried lower aggregate marks. While strategic
prioritization towards high-weightage areas is essential, it would be prudent not to completely overlook
these less frequently asked topics. UPSC has a pattern of including questions from such areas, and a
foundational understanding can be beneficial.

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 • Example (S.No. 2): "Discuss each adjective attached to the word 'Republic' in the 'Preamble'. Are they
defendable in the present circumstances? (2016, 12.5 marks)" This underscores that even topics with
historically low frequency can appear. The consistent absence of direct questions on S.No. 3: Citizenship
is also a significant data point to consider in your preparation depth for that specific chapter under this
framework.
6. Evolution in Questions on Governance-Oriented Polity:
• Topics like S.No. 9: Local Self Governance (8.30%) and S.No. 11: Elections in India (4.63%) are
consistently important, reflecting a focus on the operational and functional aspects of Indian
democracy. Questions here often revolve around challenges, effectiveness, and reforms, requiring an
understanding of their practical working.
• Example (S.No. 9): "The strength and sustenance of local institutions in India has shifted from their
formative phase of 'Functions, Functionaries and Funds' to the contemporary stage of 'Functionality'.
Highlight the critical challenges faced by local institutions in terms of their functionality in recent times.
(2020, 15 marks)"
• Example (S.No. 11): "Examine the need for electoral reforms as suggested by various committees with
particular reference to "one nation one election" principle. (2024, 10 marks)"
7. Be Prepared for Both Direct and Applied Questions:
• The examination features a mix of question types. Some may be direct, asking for explanations of
constitutional terms or bodies. Others are applied, requiring you to use your foundational knowledge to
analyze a statement, a problem, or suggest solutions.
• Direct Example (S.No. 13): "What is a quasi-judicial body? Explain with the help of concrete examples.
(2016, 12.5 marks)"
• Applied Example (S.No. 8): "How far do you think cooperation, competition and confrontation have
shaped the nature of federation in India? Cite some recent examples to validate your answer. (2020, 10
marks)"

By understanding these trends, students can strategize their preparation by building strong foundations in core
areas, developing analytical skills, staying updated with current affairs and judicial rulings relevant to Polity, and
practicing integrated answer writing.

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transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise,
without prior permission of Vision IAS

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 Student Notes:
OVERVIEW OF INDIAN CONSTITUTION:
ORIGINS, EVOLUTION AND CORE PRINCIPLES
Contents
Previous Years' Questions (2013-24).............................................................................................. 2

Previous Years' Questions Analysis: (Avg. weightage: ~13.51%).................................................... 2

1. Constitution................................................................................................................................ 3

1.1. Constitutionalism ................................................................................................................ 3

2. Historical Underpinnings and Evolution of Indian Constitution................................................. 3

2.1. Changes during the British Rule .......................................................................................... 4

2.1.1. Indian Councils Act of 1909 (Morley-Minto Reforms).................................................. 4

2.1.2. GoI Act 1919 (Montagu-Chelmsford Reforms)............................................................. 4

2.2. Making of the Indian Constitution ...................................................................................... 5

3. Salient features of our Constitution ........................................................................................... 5

4. Factors That Shaped the Making of the Indian Constitution ..................................................... 6

4.1. Role of the British Rule in Shaping the Indian Constitution ................................................ 6

4.2. Constitutional Ideals Shaped by the Freedom Struggle ...................................................... 7

4.3. Prevailing circumstances at the time of independence ...................................................... 8

4.4. Global Inspirations in Shaping India's Constitution ............................................................ 9

4.5. The Indian Constitution as a Living and Organic Document ............................................. 12

Copyright © by Vision IAS

All rights are reserved. No part of this document may be reproduced, stored in a retrieval system or
transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise,
without prior permission of Vision IAS.

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 Student Notes:
Previous Years' Questions (2013-24)
• Recent directives from Ministry of Petroleum and Natural Gas are perceived by the 'Nagas'
as a threat to override the exceptional status enjoyed by the State. Discuss in light of Article
371A of the Indian Constitution. (2013, 10 marks)
• 'The Supreme Court of India keeps a check on arbitrary power of the Parliament in amending
the Constitution.' Discuss critically. (2013, 10 marks)
• Starting from inventing the 'basic structure' doctrine, the judiciary has played a highly
proactive role in ensuring that India develops into a thriving democracy. In light of the
statement, evaluate the role played by judicial activism in achieving the ideals of democracy.
(2014, 12.5 marks)
• To what extent is Article 370 of the Indian Constitution, bearing marginal note "Temporary
provision with respect to the State of Jammu and Kashmir", temporary? Discuss the future
prospects of this provision in the context of Indian polity. (2016, 12.5 marks)
• Did the Government of India Act, 1935 lay down a federal constitution? Discuss. (2016, 12.5
marks)
• What was held in the Coelho case? In this context, can you say that judicial review is of key
importance amongst the basic features of the Constitution? (2016, 12.5 marks)
• Explain the salient features of the Constitution (One Hundred and First Amendment) Act,
2016. Do you think it is efficacious enough "to remove cascading effect of taxes and provide
for common national market for goods and services"? (2017, 15 marks)
• Under what circumstances can the Financial Emergency be proclaimed by the President of
India? What consequences follow when such a declaration remains in force? (2018, 10 marks)
• India and USA are two large democracies. Examine the basic tenets on which the two political
systems are based. (2018, 15 marks)
• "Parliament's power to amend the Constitution is a limited power and it cannot be enlarged
into absolute power." In the light of this statement explain whether Parliament under Article
368 of the Constitution can destroy the Basic Structure of the Constitution by expanding its
amending power? (2019, 15 marks)
• What can France learn from the Indian Constitution's approach to secularism? (2019, 10
marks)
• 'Constitutional Morality' is rooted in the Constitution itself and is founded on its essential
facets. Explain the doctrine of 'Constitutional Morality' with the help of relevant judicial
decisions. (2021, 10 marks)
• Explain the significance of the 101st Constitutional Amendment Act. To what extent does it
reflect the accommodative spirit of federalism? (2023, 15 marks)
• Discuss India as a secular state and compare with the secular principles of the US
constitution. (2024, 15 marks)

Previous Years' Questions Analysis: (Avg. weightage:

~13.51%)
1. Core Conceptual Clarity Demanded: This is a high-weightage area. Questions often test deep
understanding of foundational concepts like the Basic Structure doctrine, constitutionalism,
and the impact of significant amendments.
○ PYQ Example: "Parliament's power to amend the Constitution is a limited power and it
cannot be enlarged into absolute power." In the light of this statement explain whether
Parliament under Article 368 of the Constitution can destroy the Basic Structure of the
Constitution by expanding its amending power? (2019, 15 marks)
2. Focus on Evolution and Salient Features: Understand the historical evolution that shaped
the constitution, its key features (e.g., secularism, parliamentary form), and how specific
provisions (like emergency provisions or Article 371 series) operate. Comparative aspects
with other constitutions also appear here.

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 ○ PYQ Example: "Did the Government of India Act, 1935 lay down a federal constitution? Student Notes:
Discuss. (2016, 12.5 marks)"
3. Link to Current Judicial Interpretations: Be aware of how the judiciary interprets various
provisions and doctrines like 'constitutional morality'. Recent amendments and their
implications are also crucial.
○ PYQ Example: "'Constitutional Morality' is rooted in the Constitution itself and is founded
on its essential facets. Explain the doctrine of 'Constitutional Morality' with the help of
relevant judicial decisions. (2021, 10 marks)"
------------------------------------------------------------------------------------------------------------------------------

1. Constitution
A Constitution is a document that serves as the fundamental law of a country, acting as the
rulebook that governs society and thus holds supreme legal importance. Key functions of the
constitution include:
• Expression of Ideology: It reflects the nation's ideology and philosophy. It also reflects the
people's faith and aspirations.
• Basic Law: It outlines fundamental laws, which can be amended or replaced.
• Organizational Framework: It defines the roles of the legislature, executive, and judiciary,
and their inter-relationships and limitations.
• Levels of Government: It explains the structure of government, whether federal,
confederation, or unitary.
• Amendment Provisions: It includes provisions for amendments to address future changes in
the constitution itself due to unforeseen circumstances.

1.1. Constitutionalism Constitutionalism vs Basic Structure Doctrine

Constitutionalism is the idea that Constitutionalism is a broad principle guiding how
government power comes from a set a government should function within the limits of a
of fundamental laws (a constitution) constitution, while the Basic Structure doctrine is a
and is limited by them. It ensures specific legal principle that protects the essential
that: features of the Constitution from being altered.
• Government Authority: Derived Constitutionalism applies to the overall
from the constitution. governance and legal framework, while the Basic
• Power Limitation: Government Structure doctrine specifically addresses
powers are clearly defined and constitutional amendments.
restricted.
• Protection of Rights: Citizens' rights and freedoms are safeguarded against arbitrary rule.
In India, the government is constitutionally limited, meaning it must follow specific principles
and actions outlined in the Constitution.
In IR Coelho v. State of Tamil Nadu, the Court held that Constitutionalism requires
government power to be limited to protect democratic principles.

2. Historical Underpinnings and Evolution of Indian

Constitution
The origin of India's constitutional framework goes back to British rule. During this period, the
rule of law was established through a codified legal system, uniform laws, and standardized
judicial procedures, bringing legal consistency and predictability.
• However, this system was undemocratic, serving colonial interests rather than the Indian
people.

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• Indians had minimal participation in governance, with key decisions made by British officials. Student Notes:

This lack of representation fuelled the desire for self-governance, eventually leading to the
creation of the Indian Constitution, reflecting aspirations for democracy and self-rule.

2.1. Changes during the British Rule

The changes that occurred following the Councils Act (1892) are important for UPSC CSE Mains
Exam and are discussed here.
2.1.1. Indian Councils Act of 1909 (Morley-Minto Reforms)

2.1.2. GoI Act 1919 (Montagu-Chelmsford Reforms)

We have discussed key provisions of GoI Act 1935 in later sections.

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2.2. Making of the Indian Constitution Student Notes:

The Constituent Assembly of India was formed in 1946 under the Cabinet
Mission Plan to draft a constitution for an independent India. Initially, it
comprised 389 members representing both British Indian provinces (292
members) and princely states (93 members), with an additional 4
members from Chief Commissioners' provinces like Delhi.
Following the partition of the country, the Assembly's membership was
reduced to 299 members (from the initial 389 members), yet it continued
its dual role: drafting the Constitution and legislating for India until the
first Union Parliament was elected in 1952.

3. Salient features of our Constitution

The following aspects make our Constitution special:
• Lengthiest Written Constitution and Diverse Inspirations: India's
Constitution is the world’s longest, with about 470 articles in 25 parts
and 12 schedules. It draws from various diverse global constitutions
like the Government of India Act of 1935, the American Constitution,
and the British model.
• Flexibility and Stability: The Constitution is designed to be adaptable
through Article 368, which allows for amendments while protecting
core principles like the "basic structure" doctrine. This balance
ensures it can evolve without compromising its foundation.
• Federal Structure with a Central Bias: While the Constitution
establishes a federal system with distinct powers for central and
state governments, it also includes a strong central authority,
especially through provisions like emergency powers and a unified
legal system.
• Parliamentary System: The Constitution follows the British
parliamentary system, ensuring cooperation between the legislature
and executive, with accountability through the Council of Ministers.
• Unified Judiciary: An integrated judicial system, led by the Supreme
Court, ensures uniform application of laws across the country.
• Fundamental Rights and Duties: Part III of the Constitution
guarantees six fundamental rights, safeguarding against government
overreach. Additionally, Fundamental Duties, added in 1976,
emphasize civic responsibility and national consciousness.
• Secularism: The state treats all religions equally, promoting religious
pluralism without endorsing any official state religion.
• Universal Voting Rights: Every citizen aged 18 and above has the right
to vote, ensuring democratic participation and equal representation.
• Single Citizenship: Despite the federal structure, India has a single
citizenship, fostering national unity.
• Emergency Powers: The Constitution grants the President special
powers to act decisively during crises (Articles 352, 356, 360),
safeguarding national sovereignty.

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 Student Notes:
4. Factors That Shaped the Making of the Indian
Constitution
The development of India's Constitution
was the culmination of various historical
factors spanning over two centuries,
which played a crucial role in shaping its
final form. Below are the key historical
factors that influenced the Indian
Constitution:

4.1. Role of the British Rule

in Shaping the Indian
Constitution
The British colonial rule introduced and institutionalised several political offices, processes, and
principles in India that significantly influenced the drafting of the Indian Constitution. These
principles and practices, originally intended to maintain British control, inadvertently helped
Indian leaders develop an understanding of representative governance, judicial independence,
and federalism. Below is an outline of these influences:
• Parliamentary System and Bicameral Legislature: India’s parliamentary democracy and bicameral
legislature structure draw directly from the British parliamentary system.

• Federal Structure and State Autonomy: The Government of India Act of 1935 introduced a federal
structure that balanced central authority with provincial autonomy. This principle of power-sharing
is reflected in India’s division of powers between the central and state governments, ensuring that
states have authority over certain matters.
• Electoral Process: The introduction of electoral processes by the British, including indirect and direct
elections, established a foundation for India’s comprehensive electoral system. The Indian
Constitution adopted direct elections for the Lok Sabha and state assemblies, along with indirect
elections for the Rajya Sabha and the President.

• Judicial Independence and Rule of Law: The British-established judicial system introduced principles
of judicial independence and the rule of law, which became foundational to the Indian Constitution.

• Reserved Seats: The British concept of communal representation through separate

electorates was modified in independent India to ensure reserved seats for marginalized

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 communities. The Indian Constitution abolished separate electorates based on religious Student Notes:
identity but introduced reservations for Scheduled Castes and Scheduled Tribes, ensuring
their participation in the political process.

It is said that every civilization emerges from the womb of previous civilizations. India remained
under British rule for two hundred years. During this period, the British shaped Indian polity and
government to suit their needs. Thus, we find many aspects of the Indian constitution and
political system, the roots of which can be traced to British rule.
Impact of GoI Act 1935 on Indian Constitution
The Government of India Act of 1935 is often considered a prototype for the Indian
Constitution due to the extensive overlap in structural and functional aspects. Here are the
main areas where the 1935 Act influenced the Constitution:
• Federal Structure: The 1935 Act introduced a federal structure, defining powers and
responsibilities for provinces and the central government. This model directly influenced
India’s federal framework, where powers are divided across central, state, and concurrent
lists.
• Provincial Autonomy: The 1935 Act granted provinces autonomy in local matters, an idea
that became the basis for state autonomy in India. The Constitution adopted a similar
power-sharing arrangement to respect regional diversity.
• Bicameral Legislature: The Act created a bicameral legislature with a Federal Assembly
and Council of States, mirroring the structure of the Indian Parliament, which has the Lok
Sabha and Rajya Sabha.
• Governor’s Role: The 1935 Act established the role of a Governor in provinces with
considerable powers, including executive authority and veto rights. The Indian
Constitution retained the position of the Governor, though with limited powers.
• Judiciary and Rule of Law: The 1935 Act’s Federal Court formed the basis for the Supreme
Court of India. Moreover, the Act’s emphasis on the rule of law and an independent
judiciary was incorporated into the Indian judicial system.
• Civil Services: The Indian Administrative Service and other civil services were structured
based on the All-India Services established by the 1935 Act, ensuring continuity in
administration.
• Electoral Processes: The Act’s provisions for direct elections to provincial legislatures,
albeit limited, were foundational to India’s adoption of universal adult franchise and a
structured electoral process in the Constitution.
While the Government of India Act, 1935, provided a structural prototype for the Indian
Constitution, it was not adopted wholesale. Elements like the conditional federation, limited
jurisdiction of the Federal Court, and the Governor’s overriding powers, which restricted
democratic autonomy, were rejected. Instead, India expanded key democratic elements of the
Act to ensure democracy, inclusivity, and equality, transforming the Act from a colonial tool
into a foundation for a sovereign nation.

4.2. Constitutional Ideals Shaped by the Freedom Struggle

The Constitution of India also embodies the values and principles forged during the nation's
independence struggle. The leaders of the movement, many of whom became members of the
Constituent Assembly, used their experiences and learnings to design our constitutional republic.

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Thus, in a way, the constitution serves as a bridge between India's fight for freedom and its Student Notes:
vision for the future, translating the ideals of the independence movement into a framework
for governance.
Here are some points that illustrate the influence of the Indian freedom struggle on the process
of constitution-making and how it moulded the Indian Constitution:
• Popular Sovereignty as a Core Ideal: The Indian freedom struggle, particularly the mass
mobilisation phase led by Gandhi, firmly established the concept of popular sovereignty.
This meant that the legitimacy of the government was derived from the people, not from
any inherent right or colonial authority.
o This ideal is prominently enshrined in the Preamble of the Indian Constitution, which
begins with "We, the People of India," signifying that the Constitution derives its
authority from the people of India.
o The focus on popular sovereignty was strongly evident in the demand for universal adult
franchise throughout the Indian freedom struggle. This call for universal adult franchise
was later integrated into the constitution of independent India.
• A Government Based on Law as a Break from Colonial Oppression: The freedom struggle
exposed the autocratic and unaccountable nature of colonial rule, where the British held
vast, unchecked powers. This experience shaped a strong preference for a system where the
government is accountable for its actions.
o The Indian Constitution adopted a parliamentary form of government based on the
Westminster model, ensuring the accountability of the government to the elected
representatives of the people.
o The movement sought to establish a system where citizens were protected from such
abuses of power. The Indian Constitution adopted a comprehensive list of
Fundamental Rights, enshrined in Part III, to protect individuals from the arbitrary
exercise of state power.
• Social Transformation as a Key Objective: The unequal and exploitative social conditions
prevalent under colonial rule fueled a desire for substantial change.
o This aspiration for social transformation is reflected in the Indian Constitution's
Directive Principles of State Policy, which guide the state toward creating a just and
equitable society. By promoting goals like the elimination of inequality, equal
opportunities for all, and the protection of marginalized communities, the Directive
Principles aim to foster social harmony and uplift those disadvantaged by traditional
social hierarchies.
• Gandhi's Influence on the Shape of Democracy: Gandhi's concept of a "decentralized
village-based republic" while not explicitly incorporated into the Constitution, influenced the
discourse on decentralization and local self-governance.
o While the Indian Constitution adopted a federal structure with a strong central
government, the Directive Principles of State Policy emphasize the importance of
promoting village panchayats as units of self-government.
Thus, shaped by its historical context, the Indian Constitution tries to balance the aspirations of
the freedom movement with the task of building a new nation from the legacy of the empire.

4.3. Prevailing circumstances at the time of independence

The framing of the Indian Constitution was influenced by a complex set of challenges arising from
India's unique circumstances at the time of independence.
Addressing Social Inequality and Diversity
The social landscape of India during the Constitution-making process was defined by profound
diversity, deep-rooted inequalities, and societal divisions. These realities compelled the

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Constitution-makers to ensure that the new legal framework would support social justice, Student Notes:
inclusivity, and unity.
• Caste and Social Inequality: The caste system profoundly impacted Indian society, and the
Constitution’s drafters were determined to address caste-based discrimination. Dr. B.R.
Ambedkar, a key architect of the Constitution, was particularly vocal about the need to
eliminate social inequality. As a result, the abolition of untouchability and affirmative action
(reservation) for Scheduled Castes and Scheduled Tribes were incorporated to uplift these
historically marginalised communities.
• Religious and Ethnic Diversity: The trauma of Partition underscored the importance of a
secular framework in the Constitution. To ensure a fair, unified nation, the framers
established India as a secular nation where all religions would be treated equally. Articles
related to freedom of religion and equality before the law were framed to protect the rights
of all religious communities and uphold secularism as a guiding principle.
• Linguistic Diversity: Linguistic diversity also posed challenges to national unity. Strong
demands arose for linguistic states, where regions would be reorganized based on language.
The framers addressed such demands by recognizing multiple languages in the Constitution
and leaving the question of state reorganization open for future discussion.
This recognition of India’s linguistic, ethnic, and religious diversity was crucial for maintaining
national unity.
Political Unity and Stability in a Post-Colonial Context
The political conditions of post-independence India were complex, shaped by Partition, the
integration of princely states, and the transition from colonial rule. The framers designed the
Constitution to create a stable, unified political structure that could withstand these pressures.
• Partition and the Need for a Strong Central Government: Many members of the Constituent
Assembly favoured a centralized federal structure, where the center would hold significant
powers over the states. This structure was intended to prevent regionalism and
fragmentation, both of which posed serious risks in the volatile political climate of post-
independence India.
• Integration of Princely States: At independence, India consisted of British provinces and over
500 princely states with varying levels of autonomy, making integration a major political
challenge. To accommodate the diverse aspirations of these regions, the Constitution
included provisions like Article 370 (for Jammu and Kashmir) and Article 371 (for other states
with special needs). These provisions were essential in shaping the federal nature of the
Constitution while ensuring national unity and territorial integrity.
Thus, the social, political, and economic circumstances surrounding its making had a profound
impact on its content and structure.

4.4. Global Inspirations in Shaping India's Constitution

As Dr. B.R. Ambedkar aptly stated, "Nobody holds any patent rights in the fundamental ideas of
the Constitution." This reflects the vision of the framers to incorporate universally recognized
ideals such as liberty, equality, and justice.
With this inclusive vision, the framers drew inspiration from a wide array of constitutions and
legal systems, each contributing unique elements that have enriched the Indian Constitution.
Below are the key sources from which various features have been incorporated:
Inspirations from British System of Government
• Parliamentary System: The concept of a parliamentary system of government with a
sovereign Parliament was adopted from the British Constitution.
• Bicameral Legislature: India has a bicameral legislature consisting of two houses—Lok
Sabha (House of the People) and Rajya Sabha (Council of States), similar to the British
House of Commons and House of Lords.

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 • Collective Responsibility: The principle of collective responsibility, where the entire Student Notes:
Council of Ministers must support government policies or resign, is borrowed from the
British system.
• Legislative Procedures: The procedures followed in the functioning of the Indian
Parliament, such as the passing of bills and conducting debates, were modelled after
British parliamentary practices.
• Rule of Law: The principle of the rule of law, ensuring equality before the law and
protection of individual rights, was influenced by British constitutional principles.
• Single Citizenship: The concept of single citizenship, where individuals hold citizenship of
the country as a whole and not specific states or regions within the country, was derived
from the British Constitution.
• Civil Services: The structure of the Indian civil services (e.g., Indian Administrative
Service, Indian Police Service) is modelled after the British system of civil services,
established during colonial rule.
Judicial Precedents: India’s legal system follows the doctrine of judicial precedents, where
past decisions of courts influence future judgments, a practice inherited from British common
law.
Inspirations from the U.S. Constitution
• Fundamental Rights: The Indian Constitution’s Fundamental Rights (Part III) were
modeled on the U.S. Bill of Rights, ensuring freedoms such as speech, equality, and
protection of life.
• Separation of Powers: The Indian Constitution incorporates the American principle of
checks and balances among the executive, legislature, and judiciary to prevent any branch
from overpowering the others.
• Preamble: The Indian Preamble echoes the U.S. Preamble's ideals of "We the People,"
asserting the Constitution’s authority from the people and outlining principles like justice,
liberty, and equality.
• Federalism: India’s federal structure, inspired by the U.S., divides powers between the
Union and the States, but with a strong central government adapted to Indian needs.
Inspirations from the Irish Constitution
• Directive Principles of State Policy: Inspired by Ireland, these principles guide the
government on social welfare and justice but are not enforceable by courts.
• Nomination of Rajya Sabha Members: India adopted Ireland’s practice of nominating
distinguished individuals to the Upper House to ensure expert contributions in policy-
making.
• Election of the President: The electoral college system for selecting the President is based
on the Irish model, ensuring broad representation.
Inspirations from the Canadian Constitution
• Federalism with a Strong Center: India’s federal structure, with a powerful central
government, is adapted from Canada’s model of federalism.
• Advisory Jurisdiction: India borrowed the concept of the Supreme Court's advisory
jurisdiction, allowing the President to seek legal advice from the court.
• Division of Powers: The division of powers between the center and states in India mirrors
Canada’s system, with the center retaining residuary powers over unspecified matters.
• Appointment of state governors by the Centre.
Other Inspirations
Australian Concurrent List, freedom of trade, commerce, and intercourse,
Constitution joint sittings of Parliament.

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 Weimar Constitution Suspension of Fundamental Rights during Emergency. Student Notes:
of Germany
Soviet Constitution Fundamental Duties, ideals in the Preamble (justice – social,
(USSR) economic, and political).
French Constitution Concept of a republic, ideals of liberty, equality, fraternity in the
Preamble.
South African Procedure for amending the Constitution, method of electing
Constitution members to the Rajya Sabha.
Japanese Phrase “procedure established by law”.
Constitution
The debate over the Indian Constitution being a "copy-paste" exercise oversimplifies its creation.
While it drew inspiration from global sources, provisions were carefully modified and adapted to
suit India’s unique socio-political landscape. For example, the federal structure, inspired by
Canada, was modified to strengthen the central government, essential for maintaining national
unity.
This philosophy of drawing from the best systems, adapting them to suit Indian needs, and
ensuring a strong framework of administration underpins the entire structure of the Indian
Constitution.

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4.5. The Indian Constitution as a Living and Organic Document Student Notes:

The Indian Constitution is recognized for its flexibility, adaptability, and

ability to evolve with the changing needs of society. Key aspects that
underline its dynamic nature include:
• Amendability: Article 368 allows the Constitution to be amended to
address new challenges, ensuring its relevance while protecting core
principles like the "basic structure" doctrine from the Kesavananda
Bharati case (1973). Amendments, such as the 42nd Amendment,
demonstrate this adaptability.
• Judicial Interpretation: The Supreme Court plays a crucial role in
interpreting the Constitution to reflect contemporary values.
Landmark cases, such as the Puttaswamy judgment recognizing the
Right to Privacy under Article 21, illustrate the Constitution's evolving
nature through judicial review.
• Basic Structure Doctrine: This doctrine ensures that while the
Constitution can be amended, its essential features like federalism
remain protected, maintaining a balance between necessary changes
and core identity.
• Responsiveness to Social Change: The Constitution adapts to social
and political changes, such as accommodating digital rights, ensuring
its effectiveness in a diverse society.
The framers designed the Constitution to evolve over time, anticipating
that societal views and challenges would change, allowing for necessary
adjustments while preserving core values. Therefore, the Constitution
balances rigidity and flexibility, preventing stagnation while avoiding easy
manipulation, enabling it to adapt to unforeseen circumstances and
maintain its role as a living document.

“However good a Constitution may be, if those who are implementing

it are not good, it will prove to be bad. However bad a Constitution
may be, if those implementing it are good, it will prove to be good.” -
Dr. B. R. Ambedkar

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 Student Notes:
THE PREAMBLE
Contents
Previous Years' Questions (2013-24)............................................................................................ 14

Previous Years' Questions Analysis: (Avg. weightage: ~0.96%) .................................................... 14

1. Preamble .................................................................................................................................. 14

1.1. Key Words in the Preamble ............................................................................................... 15

1.1.1. Sovereign.................................................................................................................... 15
1.1.1.1. Sovereignty and Commonwealth ...................................................................................... 15
1.1.1.2. Sovereignty and Globalization ........................................................................................... 15

1.1.2. Socialist ...................................................................................................................... 15

1.1.3. Secular ........................................................................................................................ 16

1.1.4. Democratic ................................................................................................................. 17

1.1.5. Republic ...................................................................................................................... 17

1.1.6. Liberty ........................................................................................................................ 17

1.1.7. Equality....................................................................................................................... 17

1.1.8. Fraternity .................................................................................................................... 18

1.1.9. Justice ......................................................................................................................... 19

1.2. Critical assessment of working of key preamble values.................................................... 19

1.3 Significance of Preamble as an aid to the interpretation of the constitution .................... 20

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 Student Notes:
Previous Years' Questions (2013-24)
● Discuss each adjective attached to the word 'Republic' in the 'Preamble'. Are they defendable
in the present circumstances? (2016, 12.5 marks)

Previous Years' Questions Analysis: (Avg. weightage:

~0.96%)
Understand Keywords and Philosophy: While direct questions are rare from this topic, focus on
the core philosophy and the meaning/significance of the key terms used in the Preamble
(Sovereign, Socialist, Secular, Democratic, Republic, Justice, Liberty, Equality, Fraternity).
PYQ Example: "Discuss each adjective attached to the word 'Republic' in the 'Preamble'. Are they
defendable in the present circumstances? (2016, 12.5 marks)"
Relevance in Current Context: Be prepared to discuss the contemporary relevance of the ideals
enshrined in the Preamble.
Not a High-Frequency Standalone Topic: Given its low weightage as a direct topic, integrate its
understanding with answers on constitutional features, FRs, and DPSPs rather than dedicating
excessive standalone preparation time.
-------------------------------------------------------------------------------------------------------------------------------

WE, THE PEOPLE OF INDIA, having solemnly resolved to constitute India into a SOVEREIGN
SOCIALIST SECULAR DEMOCRATIC REPUBLIC and to secure to all its citizens:
JUSTICE, social, economic and political;
LIBERTY of thought, expression, belief, faith and worship;
EQUALITY of status and of opportunity; and to promote among them all
FRATERNITY assuring the dignity of the individual and the unity and integrity of the Nation;
In Our Constituent Assembly this twenty-sixth day of November, 1949, do Hereby Adopt, Enact
and Give to Ourselves this Constitution.

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 Student Notes:
1. Preamble
The Preamble of the Indian Constitution is a brief introductory statement that outlines the
fundamental principles and values on which the Constitution is based. It also highlights the key
goals of the nation such as justice, liberty, equality, and fraternity.
• The Preamble was amended by the 42nd Amendment Act, 1976. It added three new words:
Socialist, Secular and Integrity to the Preamble.

1.1. Key Words in the Preamble

1.1.1. Sovereign
In the case of Synthetic & Chemicals Ltd. vs. State of Uttar Pradesh 1989, the Supreme Court
explained that the word 'Sovereign' means that the State has the freedom to do everything
within the restrictions imposed by the Constitution.
• As a sovereign country, India is neither dependent nor a dominion of any other nation. There
is no authority above it, and it is free to conduct its own affairs, both internal and external.

1.1.1.1. Sovereignty and Commonwealth

India’s declaration to continue her full membership of the Commonwealth of Nations in 1949
does not affect India’s sovereignty because
• It is an honorable association between independent states,
• It is voluntary and extra-legal in nature and
Dimensions of Sovereignty
indicates a free association and no • Internal Sovereignty: It means the
obligation. power to legislate on any subject and
jurisdiction over all matters within the
As Pandit Nehru had explained: “It is an
country's territory, without
agreement by free will, to be terminated by free
consideration of any external entity.
will.”
• External Sovereignty: It signifies India's
1.1.1.2. Sovereignty and Globalization independence in conducting foreign
Globalization is not a dilution of sovereignty, relations and its ability to participate
but a modification of the manner in which as an equal in international affairs.
sovereignty is exercised. Globalization requires a more responsible use of sovereignty. This is
evident from the fact that the Government of India continues to ensure its strategic autonomy
in the international sphere. The recent debate in WTO with regards to the food subsidy is a case
in point.
Big Tech vs State
The rise of Big Tech companies challenges the sovereignty of nation-states, as corporations
like Apple, Microsoft, and Amazon now surpass most countries in wealth. Apple’s $2.2
trillion valuation in 2021 surpassed the GDP of 96% of nations. This immense financial power
translates into significant geopolitical influence, undermining the state's ability to act
independently.
1.1.2. Socialist
The ‘socialism’ envisaged by the Indian Constitution is not the usual scheme of State socialism,
which involves ‘nationalisation’ of all means of production, and the abolition of private
property.
• In D.S. Nakara & others Vs. Union of India (1982), the Supreme Court of India held that
Indian socialism is democratic socialism.

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 o The Supreme Court Student Notes:
Ambedkar’s View on State Socialism
even explained the
concept of Ambedkar advocated a mixed economic system for post-
socialism as a independence India, combining socialism and capitalism.
“blend of Marxism His state socialism involved state control of key industries to
and Gandhi’s” promote social justice, reduce wealth concentration, and
which could be address inequalities, especially for marginalized groups.
proximate to This vision aimed to create a fairer society through government
Gandhian intervention in the economy.
Socialism.
• The Constitution has a Relevance of Word “Socialist” in Present Times
socialist content in the form
of certain Directive The Indian Constitution does not equate socialism with
Principles of State Policy complete state control. Instead, it envisions socialism as a
(esp. Articles 39(b) and value promoting a just social order, ensuring equitable
39(c)), even before the term access to resources and opportunities for all. The LPG
was added by the 42nd (Liberalization, Privatization, and Globalization) reforms
Amendment Act in 1976. should be viewed in this context—enhancing the private
o In Excel Wear (1978) the sector’s role while retaining the state's responsibility to
Supreme Court relied on regulate and ensure social justice.
the socialist component By allowing the private sector to share the responsibilities
of the Preamble to and risks of welfare objectives, the state has adjusted its
endorse nationalization role without abandoning its duty. The state continues to
process and State’s regulate markets, ensuring fairness and accessibility.
monopoly over The Indian government continues to implement social
resources. welfare programs, such as MGNREGA and the Right to
o In Radhir Singh (1982) Education, to address these inequalities. Thus, while the
the doctrine of ‘equal nature of Indian socialism has evolved, the core values of
pay for equal work’ was ensuring justice and equality remain central to India's
expounded on the same constitutional vision.
premises.
1.1.3. Secular
• Secularism refers to the principle of maintaining a neutral stance by the state towards all
religions, ensuring that no religion is given preferential treatment or discriminated against.
• In contrast to its western notion, Indian brand of secularism adopts a policy of principled
distance. It has a flexible approach (in place of rigid and uniform) regarding intervention or
abstention, dependent on the context, nature or current state of relevant religions. For
example, our constitution has provided the fundamental right to practice profess and
propagate religion. (For details, read Fundamental Rights chapter)

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Thus, in Indian constitutional scheme, religion is subordinate to the state and thus state can Student Notes:
interfere in religious affairs for the purpose of social reforms.
1.1.4. Democratic
The word ‘Democracy’ essentially means the "power of the people". Democratic way of
governing means the governance is according to the will of the people.
• This term is deeply connected to the phrase "We, the people of India," in the preamble.
India is a democratic state as the people elect their own government at all levels and
everyone has right to vote irrespective of their caste, creed or gender.
• Thus, representation of people, adult franchise, responsible government, rule of law and
various accountability mechanisms etc. denote democratic way of functioning of
government.
1.1.5. Republic
A democratic polity can be either a monarchy or a republic. While in a monarchy, the head of the
state (usually king or queen) enjoys a hereditary position (E.g.-: Britain, Japan); in a republic,
the head of the state is always elected directly or indirectly for a fixed period (E.g.-: US, India)
• The Preamble declares that the source of all authority under the Constitution is the people
of India and there is no subordination to any external authority. We have an elected President
as the Head of State and all offices including that of the President are open to all citizens.
• Thus, ‘republican form of state’ represents a clear break from colonial rule establishing India
as a nation where the people are the ultimate sovereigns, and the government is truly of the
people, by the people, and for the people.
1.1.6. Liberty
The term liberty means an absence of restraints on the activities of individuals and at the same
time, providing opportunities for the development of individual personalities.
• The Constitution secures to all citizens liberty of thought, expression, belief, faith and
worship through Fundamental Rights, which are enforceable in Court of Law.
• Liberty in the Preamble is closely linked with other values such as justice, equality, and
fraternity. True liberty cannot exist without social and economic justice, equality and
fraternity.
• The ideals of liberty, equality and fraternity are taken from the French Revolution.
1.1.7. Equality
Dimensions of Equality
The term ‘equality’ means
Equality can have multiple dimensions such as – civic, political
absence of special privileges
and economic.
to any section of the society
and the provision of • Civil equality is reflected through constitutional provisions
adequate opportunities for such as Equality before Law (Art. 14), Prohibition of
all individuals without any discrimination on grounds of religion, race, caste, sex or
discrimination. place of birth (Art. 15), Abolition of Untouchability (Art. 17)
and abolition of titles (Art. 18).
• The Preamble secures to
• Political equality is reflected through universal adult
all citizens equality of
franchise without discrimination (Art. 325).
status and opportunity.
• Economic equality is reflected in various constitutional
This provision embraces
provisions such as equal right to an adequate means of
three dimensions of
livelihood, equal pay for equal work (Article 39) and
equality – civic, political
equality of Opportunity in matters of public employment
and economic.
(Article 16).

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1.1.8. Fraternity Student Notes:

Fraternity means a sense of brotherhood. According to the Preamble, fraternity assures two
things – the dignity of the individual and the integrity of the nation.
• The Constitution promotes this feeling of fraternity by the system of single citizenship.
• The Fundamental Duties (Art. 51A) puts a duty on every citizen to promote harmony and the
spirit of common brotherhood amongst all people of India transcending religious, linguistic,
regional and sectorial diversities.
The phrase ‘unity and integrity of the Trinity – Liberty Equality and Fraternity
nation’ embraces both psychological and According to Dr. BR Ambedkar, these principles
territorial dimensions of national of liberty, equality and fraternity are not to be
integration. It aims at overcoming treated as separate items in a trinity. They form
hindrances to national integration like a union of trinity in the sense that to divorce
communalism, regionalism, casteism, one from the other is to defeat the very purpose
secessionism etc. of democracy.
• Dr. Ambedkar believed that fraternity is • Without equality, liberty would produce
a crucial element of democracy and is the supremacy of the few over the many.
essential for the principles of liberty • Equality without liberty would kill
and equality to become a natural part of individual initiative.
society. • Without fraternity, liberty equality could
• According to K.M Munshi, the phrase not become a natural course of things
‘dignity of the individual’ signifies that
Political democracy cannot last unless there lies
the Constitution not only ensures
at the base of its social democracy.
material betterment and maintains a
democratic set-up, but it also recognizes that the personality of every individual is sacred.

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1.1.9. Justice Student Notes:

Justice is one of the most important moral and political concepts with no agreed definition as it
is an evolutionary concept. Justice means to give each and every person what they deserve. It
involves fair, moral, and impartial treatment of all persons and is the correct application of a law,
as opposed to ‘arbitrariness'.
• The term ‘justice’ as imbibed in the Preamble embraces three distinct forms –
o Social Justice: It denotes equal
treatment of all citizens without any Related Judgements
distinction based on caste, color, • In the Kesavananda Bharati case (1973),
race, religion, sex and so on. It means Supreme Court rejected its earlier position
absence of privileges to any section in Berubari Case 1960 and held that the
of the society while building in Preamble is a part of the Constitution and
appropriate provisions for the can be amended by the Parliament,
improvement of left-out sections of subject to basic structure doctrine.
society such as economically weaker • In Jacob M. Puthuparambil & Ors Vs.
sections, backward sections (SCs, STs Kerala Water Authority 1990, Supreme
and OBCs) and women. Court observed that:
o Economic Justice: It denotes non- o The Preamble promises socio-
discrimination between people on economic justice to all,
the basis of economic factors. It also o The fundamental rights confer certain
involves the elimination of glaring justiciable socio-economic rights.
inequalities in wealth, income and o The Directive Principles of State
property. Policy aims to fix the socio-economic
o Political justice: It implies that all goals which the State must strive to
citizens should have equal political attain.
rights, equal access to all political These 3 together constitute the core and
offices and equal voice in the conscience of the Constitution.
government. For example, • In Raghunathrao Ganpatrao vs UoI 1993,
provisions relating to 'Equal Justice Supreme Court held that Preamble cannot
and be regarded as a source of prohibition or
o Free Legal Aid' are enshrined under limitation on the power a legislature.
article 39A.
The ideal of justice has been secured through various provisions of the constitution, especially
fundamental Rights and Directive Principles.

1.2. Critical assessment of working of key preamble values

While the Preamble lays out noble goals of Justice, Liberty, Equality, and Fraternity, there are
significant challenges and criticisms regarding the working of these values.
• Social Justice: Although affirmative action policies like reservations have helped in
upliftment of marginalized communities, these policies have at times led to reverse
discrimination, not addressed the underlying socio-economic disparities and have led to
concentration of benefits among a small section of the eligible population, leaving the most
disadvantaged still behind.
• Economic Justice: Though the per capita income has reached ₹ 2.12 lakh in 2023-24
(Economic Survey FY24), India's richest 1% holds 40% of wealth.
• Political Justice: Electoral corruption, Criminalisation and the influence of money and
muscle power in politics, and low voter turnout in some regions etc. has hampered political
justice.
• Liberty: The misuse of sedition laws and anti-terrorism legislation like the Unlawful
Activities (Prevention) Act (UAPA) has raised concerns about the shrinking space for dissent.

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 Issues such as Fake news, deep fakes, social media harassment etc. have hampered the Student Notes:
liberty of expression. Communal tensions and violence add to this.
• Equality: Issues such as gender pay gap, underrepresentation of various sections in politics,
and limited access to education and healthcare for many affect equality of status and
opportunity in the system.
• Fraternity: Issues of hate crimes, regionalism, social polarization and communal violence
etc. undermine the principles of fraternity and social cohesion in the country.

1.3 Significance of Preamble as an aid to the interpretation of the

constitution
Former Chief Justice of India, Justice Dipak Misra emphasized the Preamble as a pillar on which
the Constitution rests. He highlighted that through the Preamble, ambiguity in a law during the
infringement of a right is eliminated.
• A.K. GOPALAN CASE,1950
o In this case, the Supreme Court rejected the view that the Preamble should be ‘the
guiding star in the interpretation of the Constitution’. The Supreme Court clarified that
the Preamble can be used as an aid in the interpretation of the Constitution only where
there is a lack of clarity.
• BERUBARI CASE, 1960
o The Supreme Court said that the Preamble has limited significance in the interpretation
of the Constitution.
o It is, however, acknowledged that the Preamble may be used if there is an ambiguity in
the provisions of the Constitution. According to the Supreme Court, the preamble is the
key to unlocking the minds of the members of the Constituent Assembly.
• KESAVANANDA BHARATI CASE, 1973
o The Court observed that the Preamble is of extreme importance and the Constitution
should be read and interpreted in the light of the grand and noble vision expressed in
the Preamble.
o The Supreme Court further clarified that the Preamble can also be used in the
interpretation of the relationship between Fundamental Rights and Directive
Principles.
o The Supreme Court utilized the above approach in examining the validity of the 25th
Amendment Act, 1971, which added Article 31C (for more detail, refer to the chapter-
Directive Principles of State Policy).
Conclusion
The Preamble sets the tone of an ideal atmosphere for practice and observance as a matter of
law through Constitutional mechanism. The Preamble is often used by the courts to resolve any
ambiguity in the provisions of the Constitution as it can unlock the minds of the Constituent
Assembly.
Thus, in Indira Nehru Gandhi Vs. Shri Raj Narain 1975, the Supreme Court observed that
Preamble is the source of any basic feature thus ensuring that it is revered, honored and admired
widely by people and governments at large.

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 Student Notes:
CITIZENSHIP
Contents
Previous Years' Questions (2013-24)............................................................................................ 22

Previous Years' Questions Analysis: (Avg. weightage: ~0.00%) .................................................... 22

1. Citizenship ................................................................................................................................ 22

1.1. Citizenship Act, 1955 ......................................................................................................... 22

2. Recent debates around Citizenship: ......................................................................................... 25

2.1. Citizenship Amendment Act (CAA) 2019........................................................................... 25

2.2. National Register of Citizens ............................................................................................. 26

2.3. National Population Register (NPR) .................................................................................. 27

2.4. Dual Citizenship ................................................................................................................. 28

2.5. The Growing Trend of Citizenship-for-Sale ........................................................................ 28

2.6. Issues related to Illegal migrants in India .......................................................................... 30

Copyright © by Vision IAS

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transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise,
without prior permission of Vision IAS.

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 Student Notes:
Previous Years' Questions (2013-24)
• None (no direct question from this topic)

Previous Years' Questions Analysis: (Avg. weightage:

~0.00%)
1. Low Direct Emphasis in GS2 Polity: Based on the 2013-2024 data under this thematic
breakdown, direct questions on constitutional provisions of citizenship (Articles 5-11) or the
Citizenship Act have not been asked.
2. Basic Awareness Suffices (for this framework): While crucial for understanding rights, its
direct testing in Mains GS2 Polity under this specific chapter heading has been nil. Basic
awareness for prelims or potential linkage in other GS papers/essays is different.
3. Focus on Related Rights: Questions mentioning "citizens" often focus on the Fundamental
Rights available to them, rather than the process or definition of citizenship itself.
-------------------------------------------------------------------------------------------------------------------------------

1. Citizenship
A citizen is an individual who, by virtue
of their legal status, is a recognized
member of a state or country and is
entitled to specific rights and
obligations as established by that
state.
Citizenship refers to the relationship
between a person and the state,
indicating their membership in a country’s
community. It can be defined as “the status
conferring full community membership with equal
rights and duties.” Citizenship is also referred to as
“the right to have rights.”
Citizenship in India is:
• Primarily governed by Articles 5 to 11 of the
Indian Constitution but does not contain
elaborate provisions on citizenship.
• Constitution has authorised the Parliament to
make laws pertaining to citizenship, leading to
the enactment of the Citizenship Act, 1955.

1.1. Citizenship Act, 1955

Principles for Citizenship
The Citizenship Act of 1955 is a
• Jus Sanguinis: The principle that the nationality of
comprehensive legislation to govern the children is the same as that of their parents,
acquisition, termination, and irrespective of their place of birth.
supplementary provisions concerning • Jus Soli: Nationality is dependent on place of birth.
Indian citizenship.
Key Provisions of the Citizenship Act, 1955 (including various amendments):
1. Modes of Acquisition of Citizenship:
• By Birth: Citizenship by birth is granted to individuals born in India, with certain
exceptions, such as when neither parent is a citizen of India or when one parent is an
enemy alien.

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 • By Descent: A person born outside India can claim Indian citizenship if at least one parent Student Notes:
is an Indian citizen at the time of their birth.
• By Registration: Certain persons, such as those of Indian origin or married to an Indian
citizen, can acquire citizenship through registration, subject to conditions and
procedures.
• By Naturalization: Foreign nationals can acquire Indian citizenship by naturalization after
fulfilling specific residency and other requirements.
• By Incorporation of Territory: If a new territory becomes part of India, the government
may declare persons in that territory as citizens of India.
2. Loss of Citizenship:
• Renunciation: Any Indian citizen who voluntarily renounces their citizenship by
declaration loses Indian citizenship.
• Termination: If an Indian citizen voluntarily acquires the citizenship of another country,
their Indian citizenship is automatically terminated.
• Deprivation: The government may deprive a person of Indian citizenship under certain
conditions, such as disloyalty to the Constitution or obtaining citizenship through fraud.
3. Person of Indian Origin (PIO) Card Scheme:
• The PIO Card Scheme was initially launched in 1999 and revised in 2002 by the
Government of India.
o The scheme aimed to make the journey back to India simpler, easier, and more
flexible for individuals of Indian origin who are citizens of other countries.

Benefits Limitations
1. Visa-Free Travel: No visa required to visit 1. No Employment Rights: PIOs cannot work
India for 15 years from the date of issue of in Government of India services.
the PIO card. 2. No Constitutional Office: They cannot
2. Exemption from Registration: No need to hold constitutional positions in the
register at FRRO/FRO for stays up to 180 Government of India.
days. 3. Prior Permission Required for
3. Parity with NRIs: Eligible for economic, undertaking activities such as
financial, educational, and housing mountaineering, missionary work,
benefits similar to NRIs, excluding research projects, and visiting restricted
agricultural or plantation properties. areas in India.

4. Overseas Citizenship of India (OCI):

• The Citizenship Act was amended in 2003 to introduce Overseas Citizenship of India
(OCI).
o This allows people of Indian origin, who have taken citizenship in another country
(except Pakistan and Bangladesh), to enjoy specific rights in India without becoming
full citizens.

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 Student Notes:
Benefits Limitations

1. Lifetime Visa: OCI cardholders receive a 1. No Political Rights: OCIs cannot vote or
multi-entry, lifelong visa for India. hold legislative positions in India.
2. No Registration Requirement: They are 2. No Constitutional Posts: They are
exempt from registering with the Foreign ineligible for roles such as President,
Regional Registration Office (FRRO) or Foreign Vice President, Supreme Court or High
Registration Officer (FRO) regardless of their Court Judge.
stay's duration. 3. Restricted Employment: Generally,
3. Parity with Non-Resident Indians (NRIs): OCIs OCIs cannot hold government jobs.
have similar access to economic, financial, 4. Special Permissions Needed: OCIs
and educational facilities as NRIs, though must obtain prior permission for
they cannot purchase agricultural or missionary work, journalism, and
plantation land. Eg. Eligibility to enrol in NPS mountaineering.
on par with Non-resident citizens. 5. Protected/Restricted Areas: OCIs need
4. Eligibility for grant of Indian citizenship: After a Protected Area Permit (PAP) or
completion of 5 years as OCI cardholders. Restricted Area Permit (RAP) to enter
certain areas in India.

NOTE: In 2015, the Overseas Citizenship of India (OCI) and Person of Indian Origin (PIO) card
schemes were merged to simplify procedures and provide enhanced benefits for people of Indian
origin living abroad. This merger aimed to streamline the connection between the Indian
diaspora and their ancestral homeland.

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 Student Notes:
2. Recent debates around Citizenship:
2.1. Citizenship Amendment Act (CAA) 2019
The CAA amends the Citizenship Act of 1955 to provide a pathway to Indian citizenship for specific
religious minorities—Hindus, Sikhs, Buddhists, Jains, Parsis, and Christians—who fled from
Pakistan, Bangladesh, and Afghanistan and entered India on or before December 31, 2014.
• The CAA reduces the residency requirement for citizenship by naturalization from 11 years
to 5 years for these groups.
• Act also states that the Central government may cancel registration of OCIs, if the OCI has
violated Citizenship Act or Other law.
Arguments in favour of the Arguments against the Citizenship Amendment
Amendment Act 2019 Act, 2019
• Humanitarian Relief: The CAA • Country Classification: The Act ignores those
provides a pathway to Indian facing persecution in other neighboring
citizenship for persecuted religious countries like Sri Lanka (Tamil Eelams) and
minorities from Afghanistan, Myanmar (Rohingya Muslims).
Bangladesh, and Pakistan, offering • Minority Classification: The Act specifies six
them protection and the religious minorities but does not address
opportunity to live with dignity. broader persecuted minorities or religious
• Historical Responsibility: The Act persecution.
addresses the historical o Excluding Muslims, Jews, and atheists
responsibility of India to protect potentially violates Article 14 of the
these minorities, particularly in the Constitution.
context of the 1947 Partition, o Examples include the persecution of Shia,
which displaced millions based on Hazara, and Ahmadiyya Muslims in
religious lines. Pakistan and the murder of atheists in
• No Impact on Existing Citizens: Bangladesh.
The CAA does not affect the • Date-Based Discrimination: The Act
citizenship of existing Indian differentiates migrants based on their entry
citizens, including Muslims, and is date, only offering citizenship to those who
focused solely on providing relief entered before December 31, 2014.
to non-citizens facing religious • Contradiction with Assam Accord: The Assam
persecution. Accord set March 25, 1971, as the cutoff for
• Constitutional and Security detecting and deporting foreigners, but the CAA
Justification: The Act is viewed as extends this to December 31, 2014.
constitutionally valid, based on • External Relations Impact: The Act’s may strain
reasonable classification, and India’s relations with Bangladesh and challenge
contributes to national security by its commitments to civic nationalism and
regularizing the status of religious pluralism, affecting strategic
persecuted minorities, preventing partnerships with the Western nations.
potential exploitation.
The debate over the CAA 2019 highlights broader issues about India's identity, secularism, and
citizenship. The government sees the Act as essential for protecting vulnerable minorities, but
critics fear it could divide the nation based on religion.

Key Changes to OCI under CAA 2019:

• Cancellation of OCI Registration: The Act now gives the central government the power to
cancel OCI registration if the cardholder violates any law notified by the government. This
broad power has raised concerns about arbitrary or excessive use, as it allows the
government to prescribe any law for this purpose.

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 Student Notes:

• Excessive Delegation: Critics say this provision gives too much power to the executive
branch, potentially putting the security and rights of OCI cardholders at risk.
• Legal Ambiguity: The lack of clear information about which laws could cause the
cancellation of OCI status has created uncertainty for many OCI holders regarding their
rights.

2.2. National Register of Citizens

The National Register of Citizens (NRC) is a register containing details of all Indian citizens. Its
primary purpose is to document legitimate citizens and identify illegal immigrants, particularly in
the state of Assam, where the issue of illegal immigration has been politically sensitive due to the
influx of people from neighbouring Bangladesh.
Background:
• The NRC was first prepared after the 1951 Census of India.
• The Assam Accord, signed in 1985, mandated that illegal immigrants who entered Assam
after March 25, 1971, would be identified and deported.
o The most significant update to the NRC occurred in Assam, initiated in 2013 following a
Supreme Court order. The updated NRC was published on August 31, 2019.
Controversies and Concerns:
• Approximately 1.9 million people were
Benefits of NRC:
excluded from the final NRC list, raising
Identification of Citizens: Helps in identifying
concerns about their future status.
genuine Indian citizens and distinguishing them
• The process was fraught with
from illegal immigrants.
allegations of exclusion of genuine
Enhanced Security: Aids in strengthening
citizens, discrepancies in the document
national security by keeping track of population
verification process.
demographics and curbing illegal immigration.
• The government stated that those
Resource Allocation: Ensures that government
excluded would not be immediately
resources and benefits are allocated to
declared illegal and could appeal to the
legitimate citizens.
Foreigners' Tribunals and higher
Legal and Administrative Clarity: Provides a
courts. This process is lengthy and
clear legal framework for dealing with
stressful.
citizenship issues, reducing ambiguity and
• The fear of statelessness and the
potential disputes.
potential humanitarian crisis,
particularly for those who may be sent
to detention camps.
• Critics argue that it could lead to discrimination and harassment of vulnerable communities,
especially minorities and the economically disadvantaged, who may not have proper
documentation.
Way Forward
• Ensure Transparency: Make the NRC process clear and unbiased.
• Strengthen Legal Support: Provide legal aid for those needing to appeal exclusions.

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• Public Awareness: Educate citizens on the NRC process and provide assistance. Student Notes:
• Improve Coordination: Align NRC with national policies and human rights standards.
The NRC remains a complex and contentious issue
in Indian politics. The government has not Usual Resident
announced a clear plan for implementing a A "usual resident" is defined as a
nationwide NRC, and the future of those excluded person who has resided in a local area
from the Assam NRC remains uncertain. The for the past six months or more, or
debate continues around the legal and ethical intends to reside there for the next six
implications of the NRC and its impact on India's months or more. This definition
social fabric. ensures that the NPR captures the
details of both permanent residents
2.3. National Population Register and long-term temporary residents
(NPR)
The National Population Register (NPR) is a database of the usual residents of India. The NPR is
aimed at improving the delivery of public services and ensuring better governance.
Controversies and Concerns
• The NPR has been subject to controversies, especially concerning its link with the National
Register of Citizens (NRC).
• Critics argue that the NPR could be a precursor to the NRC, potentially leading to the
exclusion of certain communities, particularly if citizenship-related questions are introduced
in the process.
• There have been concerns about the potential misuse of data, privacy issues, and the
administrative burden on the population, especially in terms of documentation and
verification.
Key Differences between NPR, NRC, and Census

NPR vs. NRC: NPR vs. Census:

The NPR is a register of residents, while the The NPR and Census are similar in terms of
NRC is a register of citizens. The NPR includes data collection, but the Census is more
all residents, irrespective of their citizenship focused on providing a statistical overview of
status, whereas the NRC is specifically aimed the population, while the NPR aims to create
at identifying Indian citizens. a detailed identity database of every resident.

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2.4. Dual Citizenship Student Notes:

Dual citizenship refers to the status where an individual is recognized as a citizen of two countries
simultaneously. This concept allows a person to hold and exercise rights in both countries, such
as voting, owning property, and receiving state benefits.
India’s Stand on Dual Citizenship
• India does not currently permit dual citizenship.
• The Indian Constitution, under Article 9, explicitly states that a person who voluntarily
acquires the citizenship of any other country is no longer considered an Indian citizen.
• This is rooted in the belief that an individual should hold allegiance to only one country, and
dual citizenship could lead to conflicts of loyalty and legal complexities.
Arguments for Dual Citizenship in India Arguments Against Dual Citizenship in India
• Globalization and Migration: Dual • Loyalty and National Integrity: Dual
citizenship would allow Indians citizenship could create divided loyalties,
moving abroad for education, work, or potentially undermining national security
marriage to maintain strong ties with and integrity.
India while integrating into their new • Legal and Administrative Complexities: It
country. would require significant changes to India’s
• Diaspora Contributions: The Indian legal and administrative systems, including
diaspora is influential globally. Dual immigration, taxation, and criminal justice,
citizenship could strengthen their leading to bureaucratic challenges and
economic, cultural, and political possible misuse.
contributions to India. • Social and Cultural Concerns: There is
• Retention of Talent: Skilled concern that dual citizenship could dilute
professionals who migrate might cultural identity and social cohesion, as
prefer to keep their Indian citizenship. citizens with ties to another country might
Dual citizenship could encourage them not fully integrate into Indian society,
to stay connected and contribute to causing potential divisions.
India's growth. • Political Concerns: Granting dual citizenship
• National Security: In international could allow external influences in India’s
crises, citizens with dual nationality political affairs, particularly if a large number
can serve as a bridge between nations, of dual citizens participate in elections or
fostering dialogue and protecting both hold significant power.
countries' interests.
While India may not immediately adopt dual citizenship, there are discussions about expanding
the rights and privileges of OCI holders, or introducing a limited form of dual citizenship with
strict conditions and safeguards. This could be a middle path, allowing for greater engagement
with the diaspora while addressing concerns of loyalty and national integrity.

2.5. The Growing Trend of Citizenship-for-Sale

An emerging trend in citizenship is the booming practice of selling passports and residencies.
With prices ranging from $100,000 to $2 million, this has become a lucrative industry for
"investment migrants" seeking visa-free travel, security, or better opportunities.
While this trend boosts economies, particularly small nations like Caribbean states recovering
from disasters, it raises tough questions. Critics argue that citizenship is more than a transaction;
it’s a bond that should go to those who integrate into a nation’s culture. There’s also concern
about tax dodgers and criminals using these schemes for money laundering, as seen in Cyprus
and elsewhere. For example, Indian fugitive Mehul Choksi was granted Antiguan citizenship in
2017 under the investment.

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 Student Notes:

Digital Citizenship
Digital citizenship is the ability to safely and responsibly navigate the online world. It involves
engaging in online spaces respectfully and thoughtfully, just as we would in person. In today’s
digital age, our actions online—whether learning, communicating, or sharing—carry lasting
consequences that affect our reputation, safety, and digital identity. Each interaction shapes
who we are in the virtual world, highlighting the importance of being mindful and responsible
digital citizens.

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2.6. Issues related to Illegal migrants in India Student Notes:

India has historically served as a refuge for people fleeing persecution, conflict, and violence due
to its geographical location and cultural ethos of hospitality. India has not signed any
international agreements on the protection of refugees. But it has historically accommodated
refugee groups on humanitarian grounds and respected customary international law principles.
However, illegal mi
• Significant refugee crises in India include the
o Mass migration during the Partition of 1947, the influx of Tibetan refugees following
China's occupation of Tibet in 1959,
o The arrival of millions of
Refugees & Illegal Migrants
Bangladeshi refugees during the
1971 Liberation War, Refugees: Individuals fleeing persecution due to
o The Sri Lankan Tamil influx during race, religion, nationality, social group, or political
the civil war from the 1980s, opinion, as defined under international law (1951
o Afghan refugees fleeing Soviet UN Convention). Refugees are protected under
and later Taliban rule, and international conventions like non-refoulement,
o The recent Rohingya crisis from which prohibits their return to a country where
Myanmar. they face risk.
These events have deeply influenced Illegal Migrants: People who enter or stay in a
India's demographic landscape and country without legal authorization, often lacking
shaped its domestic and foreign policies. the necessary documentation. Illegal migrants are
treated as trespassers, with no protection under
Current Status and Challenges international law, and may face deportation or
India’s response to refugee crises has legal penalties.
been largely shaped by its non-signatory
status to the 1951 UN Refugee INNER LINE PERMIT
Convention and its 1967 Protocol. This
means that India does not have a legal The Inner Line Permit (ILP) is a document required
framework specifically dedicated to for Indians to enter protected areas. It was
refugees. Instead, refugees are managed introduced under the Bengal Eastern Frontier
under the broader umbrella of the Regulation, 1873, to protect British commercial
Foreigners Act, 1946, which does not interests. After independence, the ILP was
distinguish between refugees and other adapted to safeguard tribal cultures and
foreigners. populations in these regions. Currently, the ILP is
mandatory in four northeastern states—
Challenges: Arunachal Pradesh, Nagaland, Mizoram, and
• Legal Status: Refugees in India often Manipur. Manipur was added to the ILP system on
face issues related to their legal December 11, 2019. The permit regulates entry
status, with limited access to formal for tourism, work, or long-term stays. It aims to
employment, education, and ensure minimal disruption to the lives of
healthcare. indigenous communities.
• Integration: The integration of
refugees into Indian society remains a challenge, with some communities facing
discrimination and socio-economic hardships.
• Security Concerns: The presence of refugees, particularly in border areas, has led to security
concerns, with debates over their impact on local demographics and resources.

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 Student Notes:
Immigration and Foreigners Act 2025
The Immigration and Foreigners Act, 2025, is aimed at regulating the entry, stay, and departure
of foreigners in India. The Act is a comprehensive legislation to regulate all matters relating to
foreigners and immigration.

Advantages and Concerns related to the Act

Thus, while the Act aims to improve the immigration system, it can also lead to exclusionary
practices and thus needs careful scrutiny.

To effectively address refugee/illegal migrants challenges, India must further strengthen legal
frameworks, enhance border management, foster regional cooperation, and promote refugee
integration through access to essential services.

Copyright © by Vision IAS

All rights are reserved. No part of this document may be reproduced, stored in a retrieval system or
transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise,
without prior permission of Vision IAS.

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 Student Notes:
FUNDAMENTAL RIGHTS, DIRECTIVE PRINCIPLES OF
STATE POLICY AND FUNDAMENTAL DUTIES
Contents
Previous Years' Questions (2013-24)............................................................................................ 34
Previous Years' Questions Analysis: (Avg. weightage: ~9.84%) .................................................... 34
1. Introduction ............................................................................................................................. 34
1.1. Fundamental Rights .......................................................................................................... 35
1.2. Features of Fundamental Rights ....................................................................................... 35
1.3. Articles Related to Fundamental Rights ............................................................................ 35
1.4. Reasonable Restrictions for Fundamental Rights ............................................................. 36
1.5. Themes Related to Fundamental Rights ........................................................................... 38
1.5.1. Article 12. ................................................................................................................... 38
1.5.1.1 What Constitutes ‘State’ Under Article 12? ........................................................................ 38
1.5.2. Article 13 .................................................................................................................... 38
1.5.2.1 Judicial Doctrines to decide on Laws in Contravention of Fundamental Rights ................. 38
1.5.3. Article 14 .................................................................................................................... 40
1.5.3.1 Conception of Equality for Fundamental Rights ................................................................. 40
1.5.4. Article 15 & 16............................................................................................................ 41
1.5.4.1 Issues Regarding Reservation ............................................................................................. 41
1.5.5. Article 19 .................................................................................................................... 44
1.5.5.1. Freedom of Press ............................................................................................................... 44
1.5.5.2. Issue of Hate Speech ......................................................................................................... 44
1.5.5.3. Book/Film Ban ................................................................................................................... 45
1.5.5.4. Contempt of Court ............................................................................................................. 45
1.5.5.5. Issue of Defamation ........................................................................................................... 46
1.5.5.6. Internet Ban ....................................................................................................................... 46
1.5.5.7. Other Issues Related to Article 19 ..................................................................................... 46
1.5.6. Article 21. ................................................................................................................... 47
1.5.6.1. Expansion of Right to Life and Personal Liberty ................................................................ 47
1.5.6.2. The Golden Triangle of Fundamental Rights: The Interplay of Article 14, 19, and 21 ....... 49
1.5.7. Article 22. ................................................................................................................... 50
1.5.7.1. Preventive Detention ......................................................................................................... 50
1.5.8. Article 25. ................................................................................................................... 51
1.5.8.1 Indian Secularism ............................................................................................................... 51
1.5.8.2. Freedom of Religion in Indian Constitution ....................................................................... 52
1.5.8.3 Issues Related to Freedom to Manage Religious Institutions and Properties .................... 53
1.5.8.3.1. Waqf Board Property Issue ......................................................................................... 53
1.5.8.3.2. Issues Related to Religious Instructions in Institutions .............................................. 54
1.5.8.3.3. Minority Educational Institutions in India .................................................................. 55
1.5.9 Right to Property ......................................................................................................... 56
1.5.9.1. Right to Property in Indian Constitution ................................................................. 56

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 1.5.10. Article 32 .................................................................................................................. 58 Student Notes:
1.5.10.1. Right to Constitutional Remedies .................................................................................... 58
1.5.11. Comparison of Fundamental Rights in India and USA ............................................. 59
2. Directive Principles of State Policy (DPSP) ............................................................................... 61
2.1. Characteristics of DPSP ..................................................................................................... 62
2.2. Constitutional Provisions under DPSP............................................................................... 63
2.3. Relationship between Fundamental rights and DPSP ....................................................... 64
2.4. Differences Between Fundamental Rights and DPSP ........................................................ 65
2.5. Themes and Cases Related to Specific DPSP ..................................................................... 65
2.5.1. Private Property and Article 39 (B) ............................................................................ 65
2.5.2. Debate Related to Living Wage .................................................................................. 66
2.5.3. Debate Related to Uniform Civil Code ....................................................................... 66
2.5.4. Issues Related to Liquor Prohibition .......................................................................... 68
2.6. Directives Outside Part IV ................................................................................................. 70
3. Fundamental Duties ................................................................................................................. 70
3.1. Relationship Between Fundamental Rights And Fundamental Duties ............................. 71
3.2. Enforceability of Fundamental Duties ............................................................................... 72
3.2.1. Enforcement of Duties through Legislations .............................................................. 72
3.2.2. Enforcement of Duties by courts ............................................................................... 73
3.3. Criticism of Fundamental Duties ....................................................................................... 74

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transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise,
without prior permission of Vision IAS.

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 Student Notes:
Previous Years' Questions (2013-24)
• Discuss Section 66A of IT Act, with reference to its alleged violation of Article 19 of the
Constitution. (2013, 10 marks)
• What do you understand by the concept "freedom of speech and expression"? Does it cover
hate speech also? Why do the films in India stand on a slightly different plane from other
forms of expression? Discuss. (2014, 12.5 marks)
• Discuss the possible factors that inhibit India from enacting for its citizens a uniform civil code
as provided for in the Directive Principles of State Policy. (2015, 12.5 marks)
• Does the right to clean environment entail legal regulations on burning crackers during
Diwali? Discuss in the light of Article 21 of the Indian Constitution and Judgement(s) of the
Apex Court in this regard. (2015, 12.5 marks)
• Examine the scope of Fundamental Rights in the light of the latest judgement of the Supreme
Court on Right to Privacy. (2017, 15 marks)
• Analyze the distinguishing features of the notion of Right to Equality in the Constitutions of
the USA and India. (2021, 15 marks)
• "The most significant achievement of modern law in India is the constitutionalization of
environmental problems by the Supreme Court." Discuss this statement with the help of
relevant case laws. (2022, 10 marks)
• "Right of movement and residence throughout the territory of India are freely available to
the Indian citizens, but these rights are not absolute." Comment. (2022, 10 marks)
• "The Constitution of India is a living instrument with capabilities of enormous dynamism. It
is a constitution made for a progressive society." Illustrate with special reference to the
expanding horizons of the right to life and personal liberty. (2023, 15 marks)
• Right to privacy is intrinsic to life and personal liberty and is inherently protected under
Article 21 of the constitution. Explain. In this reference discuss the law relating to D.N.A.
testing of child in the womb to establish its paternity. (2024, 15 marks)

Previous Years' Questions Analysis: (Avg. weightage:

~9.84%)
1. Deep Dive into FRs is Essential: This is a very important area. Thorough knowledge of Articles
12-35, their scope, limitations, and especially their evolving interpretation through landmark
Supreme Court judgments is critical.
○ PYQ Example: "Examine the scope of Fundamental Rights in the light of the latest
judgement of the Supreme Court on Right to Privacy. (2017, 15 marks)"
2. DPSPs – Implementation and Conflicts: Understand the nature of DPSPs, their relationship
and conflicts with FRs, and government efforts/schemes to implement them (e.g., UCC,
environmental protection).
○ PYQ Example: "Discuss the possible factors that inhibit India from enacting for its citizens
a uniform civil code as provided for in the Directive Principles of State Policy. (2015, 12.5
marks)"
3. Fundamental Duties – Significance: While less frequently asked than FRs/DPSPs, be aware
of the FDs and their significance in promoting civic responsibility. Questions might link them
to contemporary issues.

1. Introduction
The Fundamental Rights, Directive Principles of State Policy (DPSP), and Fundamental Duties
form the core framework of the Indian Constitution, guiding the state's governance and citizens'
responsibilities. While Fundamental Rights guarantee individual freedoms, DPSPs outline the
state's goals for social justice, and Fundamental Duties remind citizens of their moral obligations.
Together, these parts establish a balanced system where rights are protected, duties are
emphasized, and the state's policies aim for a just and equitable society.

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1.1. Fundamental Rights Student Notes:

Rights are principles that Various Types of Rights

define individuals' freedoms Legal Rights:- These rights are derived from statutes,
and entitlements, governing regulations, or other forms of legislation.
what people are allowed to ● For example, Right to work under MGNREGA, Right to food
do and what they are owed. under National Food Security Act, 2013 are legal rights.
Among these, fundamental Constitutional Rights:- They are rights guaranteed by the
rights constitute a specific set constitution.
of rights deemed essential for ● For example, Right to vote is a constitutional right under
human dignity, freedom, Article 326.
development and all-round Fundamental Rights:- They are special subsets of
development of an constitutional rights enshrined in Part III of the Constitution of
individual. They are a special India.
subset of ‘constitutional • For example, Right to life and personal liberty is a
rights’ and have been fundamental right.
accorded special constitutional protection under Part III of the constitution. They are called
“fundamental” because they are essential for the all-round development of an individual.

1.2. Features of Fundamental Rights

1.3. Articles Related to Fundamental Rights

Article No. Subject Matter
12 Defines the scope of “State” for the purpose of Part III of the Constitution.
13 Empowers the judiciary to act as the guardian of fundamental rights by
granting it the power of judicial review.
14 The State shall not deny to any person equality before the law or the equal
protection of the laws.
15 The State shall not discriminate against any citizen on grounds only of religion,
race, caste, sex, place of birth or any of them + Allows Parliament to make
special provisions for women and children.
16 Provides Equality of opportunity in matters of public employment + Allows
State to make special provisions for any backward class of citizens which are
not adequately represented in the services under the State.
17 Abolishes the practice of untouchability in all its forms.
18 Abolition of titles.
19 Right:
(a) to freedom of speech and expression;
(b) to assemble peaceably and without arms;
(c) to form associations or unions or co-operative societies;

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 (d) to move freely throughout the territory of India; Student Notes:
(e) to reside and settle in any part of the territory of India;
(f) Omitted
(g) to practise any profession, or to carry on any occupation, trade or business.
20 Protection in respect of conviction for offences. It provides protection against
self-incrimination, double jeopardy, and retrospective punishment.
21 No person shall be deprived of his life or personal liberty except according to
procedure established by law.
22 Protection against arrest and detention in certain cases. Protection against
Arrest and Detention, Right to be Presented before Magistrate, Right to Consult
a Legal Practitioner, Communication of Grounds for Arrest, Safeguards
regarding Preventive detention.
23 Prohibition of traffic in human beings and forced labour + Allows State to
impose compulsory service for public purpose without discrimination.
24 Prohibits the employment of children below the age of 14 years in any factory,
mine, or hazardous occupation.
25 Freedom of conscience and free profession, practice and propagation of
religion.
26 Freedom to manage the religious affairs.
27 Protects individuals from being forced to contribute through taxes towards the
promotion or maintenance of any specific religion or religious denomination. It
upholds the principle of secularism and religious neutrality.
28 Freedom from attendance at religious instruction or religious worship in
educational institutions wholly funded by the State. In educational institutions
that are not wholly maintained by state funds, religious instruction is allowed.
29 Safeguards the cultural and educational rights of minorities.
30 Right of minorities to establish and administer educational institutions of their
choice.
31 Repealed
32 Right to constitutional remedies empowers individuals to seek protection and
enforcement of their fundamental rights directly from the Supreme Court of
India.
33 Power of Parliament to modify the rights in their application to Forces, persons
employed in any bureau or other organization etc.
34 Restriction on fundamental rights while martial law is in force in any area.
35 Provides Parliament the exclusive power (not State legislature) to make laws
relating to Articles 16 (3), 32 (3), 33 and 34 + Enables the Parliament to prescribe
punishment to offences under the fundamental rights.

1.4. Reasonable Restrictions for Fundamental Rights

There are certain restrictions on exercise of fundamental rights. The term 'reasonable' before
'restriction' ensures that restrictions are logical, not arbitrary, and must not excessively harm
the public interest. For a restriction to be deemed reasonable, it should align with the nature and
circumstances of the occupation it applies to.

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 Student Notes:

Grounds for reasonable restrictions for various fundamental Rights

Articles Reasonable Restrictions
19(1) (a)-Freedom of In the interests of the sovereignty and integrity of India, the security
Speech & expression of the State, friendly relations with Foreign States, public order,
decency or morality or in relation to contempt of court, defamation
or incitement to an offence.
19 (1) (b)- To In the interests of the sovereignty and integrity of India or public
assemble peacefully order.
19 (1) (c)- To form In the interests of the sovereignty and integrity of India or public
associations order or morality.
19(1) (d) & (e)- To In the interests of the general public or for the protection of the
move freely and to interests of any Scheduled Tribe.
reside and settle
19 (1) (g)- To practice In the interests of the general public (the requirement of professional
any profession, or technical qualifications + trade, business, industry or service by the
trade etc State)
21 In the interests of public order, national security, public health, or
morality.
23 State can impose compulsory service for public purpose.
25, 26 In the interest of public order, morality, and health.
Judgments related to Reasonable Restrictions:
Cases Judgment
Shreya Singhal vs Restrictions must have a "proximate" or direct relationship to the
U.O.I 2015 specific public interest they are intended to protect. The restriction
cannot be arbitrary, excessively broad, or based on remote or
hypothetical concerns.
Mr. 'X' vs Hospital The disclosure of the appellant's HIV status did not violate his right to
'Z' 1998 case privacy because it was necessary to protect the health of the
potential spouse.

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 Naveen Jindal Case It is only a legislative act that can curb the rights conferred upon a Student Notes:
(2004) citizen.
Central PWD Right to form association/ organizations is a fundamental right;
Engineers however, the right to get them recognized by the government is not
Association and Anr. protected under Article 19(1)(c).
Case (2023)
Rakesh Vaishnav Farmers protesting near highways have the right to protest, but
Case (2021) cannot block roads for public use.

1.5. Themes Related to Fundamental Rights

1.5.1. Article 12.
1.5.1.1 What Constitutes ‘State’ Under Article 12?
Article 12 mentions the State to include
• The Government and Parliament of India
• The Government and the Legislature of each of the States
• All local or other authorities within the territory of India or under the control of the
Government of India.
However, the scope of this article is kept flexible by including the words ‘other authorities’ in
Article 12.

1.5.2. Article 13
1.5.2.1 Judicial Doctrines to decide on Laws in Contravention of Fundamental Rights
Doctrines Description
Doctrine of It states that a pre-constitutional law that becomes void due to
Eclipse inconsistency with Fundamental Rights can regain validity if the
Fundamental Right is later amended to align with the law. In such cases,
the law does not need to be re-enacted and becomes valid automatically.

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 Doctrine of It states that if a law enacted by the legislature violates the Constitution Student Notes:
Severability (e.g., Fundamental Rights), only the unconstitutional provision(s) are
struck down as void, while the remaining parts of the law remain valid,
provided they are separable and can function independently.
Doctrine of Basic It limits the power of the legislature to amend the Constitution. It holds
Structure that certain core features of the Constitution, considered essential for its
democratic character, cannot be altered or modified through a simple
amendment procedure.
Exceptions to Article 13
• Personal Laws: Article 13(3)(b) exempts personal laws (e.g., Hindu Law, Muslim Law, and
Christian Law) from the definition of "laws in force."
o In Ahmedabad Women Action Group v. Union of India (1997),the Supreme Court clarified
that personal laws are not part of the "law" under Article 13.
o Bye-laws of cooperative societies are also excluded.
• Certain Constitutional Provisions: Articles 31A, 31B (Ninth Schedule), and 31C offer specific
exceptions to Article 13(2).
Judgements related to Article 13
Cases Judgements
Kesavananda Bharati Constitutional amendments cannot be considered "laws" that are
Sripadagalvaru vs subject to the limitations of Article 13, which applies to ordinary
State Of Kerala, 1973 laws.
Ahmedabad Women Personal laws (Hindu Law, Muslim Law, and Christian Law) are not
Action Group v. Union part of the definition of Law under Article 13. The Bye-Laws made
of India, 1977 by the Cooperative Societies are also not part of the definition of
Law.

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1.5.3. Article 14 Student Notes:

1.5.3.1 Conception of Equality for Fundamental Rights

Equality is the state of being equal, especially in status, rights and opportunities and is a
Preambular goal.
Article 14 mentions ‘Equality before Law’ and ‘Equal Protection of Law’.
Equality before Law Equal Protection of Law
From British tradition. From American Constitution.
All citizens are equal in the eyes of law. Same law will be applied to all the people
equally across the society.
Features- Features-
• There will be absence of any special • There will be equality of treatment under
privileges in favour of any person, equal circumstances, both in the privileges
• There will be equal subjection of all conferred and liabilities imposed by the
persons to the ordinary law of the land laws.
administered by ordinary law courts, • The like shall be treated alike without any
• There will be no person above the law, discrimination. As per the Supreme Court,
whether rich or poor, high or low, where equals and unequals are treated
official or non-official. differently, Article 14 does not apply.
Substantive part of Article 14. Procedural part of Article 14.
Negative in its orientation as the State is Positive concept as it implies that people who
restricted from making any discrimination are in similar circumstances will be treated
between two citizens. similarly, but differently from people in
different circumstances.
Judgements related to Article 14
Cases Judgements
S.G. Jaisinghani Vs UoI “Absence of arbitrary power” as sine qua non to rule of law with
confined and defined discretion, both of which are essential facets
of Article 14.
Maneka Gandhi v. A trinity exists between Article 14, Article 19 and Article 21. All
Union of India, 1978, these articles have to be read together. Any law interfering with
personal liberty of a person must satisfy a triple test: (i) it must
prescribe a procedure; (ii) the procedure must withstand the test of
one or more of the fundamental rights conferred under Article 19
which may be applicable in a given situation; and (iii) it must also be
liable to be tested with reference to Article 14.
Ram Krishna Dalmia v. State can make differential classification of subjects (which would
Justice Tendolkar, otherwise be prohibited by Article 14) provided that the
1958 classification is founded on intelligible differentia (i.e. objects within
the class are clearly distinguishable from those that are outside) and
has a rational nexus with the objective sought to be achieved by the
classification.
Indra Sawhney v UOI, Article 16(1) is a facet of Article 14. Both the provisions have to be
1993 harmonized.
Visakha v State of Sexual Harassment violates the fundamental right of the women of
Rajasthan, 1997. gender equality which is codified under Article 14 and right to life
and to live a dignified life under Article 21.
Shayara Bano v UOI, Gender equality under Article 14 makes triple talaq
2016 unconstitutional.
National Legal Service Right to equality under Article 14 is framed in gender-neutral terms

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 Authority [NALSA] v (“all persons”). The right to equality would extend to transgender Student Notes:
UOI, 2014. persons also.
Exceptions to Article 14
• Under Article 31-C, the laws made
by the state for implementing Rule of Law
DPSPs contained in Article 39 (b) The concept of equality before law is a key element
and Article 39 (c) cannot be of the Rule of Law as defined by A.V. Dicey. It
challenged on the ground that they consists of three main elements:
violate Article 14.
1. Absence of Arbitrary Power: No individual can
• The President of India and
be punished unless they have breached the law.
Governors of States enjoy
2. Equality before Law: All citizens are equally
immunity from prosecution under
subject to the law, without any discrimination.
Article 361.
3. Constitution as a Consequence, Not the Source
• Under Article 361-A, no person
of Rights: Individual rights exist independently
shall be punished for publishing a
of the Constitution, which merely recognizes
substantially true report of any
them.
proceedings of any legislature in
any media (newspaper/ radio/ In India, the first two notions apply, but the third
television). does not, as the Constitution is considered the
• The MPs and MLAs enjoy privileges source of individual rights. The Supreme Court has
in the legislature (Article 105 and declared that the Rule of Law is a fundamental
194). feature of the Indian Constitution.
• The foreign sovereigns (rulers),
ambassadors and diplomats enjoy immunity from criminal and civil proceedings.
• The UNO and its agencies enjoy diplomatic immunity.
1.5.4. Article 15 & 16
1.5.4.1 Issues Regarding Reservation
• Affirmative action is a strategy used by the state to address historical discrimination and
promote social and economic equality. Reservation is a key instrument of affirmative action
in India. It operates as a form of "compensatory discrimination" designed to counter past
injustices and create a more equitable society.
• Reservation in India is backed by Articles 15 and 16, which promotes equality and addresses
non-discrimination. Article 15 has a broader scope, covering discrimination in general public
life, while Article 16 specifically deals with public employment.
• Supreme court—“The basic concept of equality is equality of opportunity for appointment.
Preferential treatment for members of backward classes with due regard to administrative
efficiency alone can mean equality of opportunity for all citizens.”
Cases Judgements
C.A. Rajendran v. Government is under no constitutional duty to provide reservations
Union of India 1967 for SCs and STs, either at the initial stage of recruitment or at the stage
of promotion.
M. Nagaraj vs. Union The Supreme Court validated parliament’s decision to extend
of India (2006) reservations for SCs and STs to include promotions, however the State
has to provide proof for the backwardness, collect quantifiable data
showing inadequacy of representation.
Society for unaided The supreme court upheld the validity of introduction to quota under
private schools for Right to Education Act, 2009 even in private unaided institutions on
Rajasthan vs. Union following grounds:
of India case 2013 • Education cannot be treated as a purely commercial enterprise.

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 • Article 21A is an obligation on the State. Student Notes:
• Right to Education is a child-centered act rather than an
institution-centered act.
Jarnail Singh v. The Supreme Court held that the government need not collect
Lachhmi Narain quantifiable data to demonstrate backwardness of public employees
Gupta (2018) belonging to the Scheduled Castes and the Scheduled Tribes (SC/STs)
to provide reservations for them in promotions.
Janhit Abhiyan Vs 103rd Constitutional Amendment Act is designed to fulfill the
UoI 2019 mandate of Article 46, which directs the state to promote the
educational and economic interests of weaker sections of society.
EWS reservation scheme, by providing a caste-neutral criteria, can
potentially contribute to the constitutional goal of creating a casteless
society.
B.K. Pavitra v Union Upheld the validity of the Karnataka Extension of Consequential
of India-II 2019 Seniority to Government Servants Promoted on the Basis of
Reservation (to the Posts in the Civil Services of the State) Act 2018.
Court argued for a more representative definition of efficiency, where
"merit" should be measured by its contribution to societal good.
Creamy layer exclusion principle, introduced in the Jarnail Singh
judgment, only applies to reservation in promotion and not to
consequential seniority.

Major Debates Around ARTICLE 15 & 16:

The Indian Constitution introduces affirmative action through Articles 15 and 16, empowering
the state to take proactive steps for the upliftment of marginalised groups. In India, affirmative
action is commonly associated with the "reservation system," which ensures representation
and empowerment of disadvantaged communities. The following discussion examines various
issues and perspectives related to the reservation system.
1. Is Reservation a Fundamental Right?
Though Articles 15(4) and 16(4) of the Indian Constitution enable the state to make positive
discrimination in favor of Scheduled Castes (SCs) and Scheduled Tribes (STs), the question
arises: Can citizens claim reservation as a matter of right? This issue has been a matter of
extensive legal scrutiny and public debate.
The Supreme Court of India, in multiple judgments, has clarified that reservation is not a
fundamental right, but rather a provision that the state may use to ensure social and
educational upliftment of the disadvantaged communities.
• In Mukesh Kumar V. State of Uttarakhand 2020, the Supreme Court held that there is no
Fundamental Right to Reservation.
• In other judgments, the Court has held that Article 16 (4) and 16 (4-A) are in the nature of
enabling provisions, and vests a discretion on the State Government to consider
providing reservations, if the circumstances warrant.
It is settled law that the state cannot be directed to give reservations for appointment in
public posts. Also, the state is not bound to make a reservation for SCs and STs in matters of
promotions.
However, if the state wishes to exercise its discretion and make such provision, it has to collect
quantifiable data showing ‘inadequacy of representation of that class in public services. Such
quantifiable data is required to be placed before the court in case the decision of the state
government is challenged.

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 Student Notes:
2. Judiciary's Stance on Reservation Based on Residence
The Supreme Court has consistently emphasized the principle of equality in public
employment and has consistently ruled against reservations based on place of birth or
residence.
• Pradeep Jain vs Union of India (1984): The Supreme Court discussed “sons of the soil”
policies, expressing that such policies would likely be unconstitutional. However, the Court
refrained from a definitive ruling as the case focused on other aspects of the right to
equality.
• Kailash Chand Sharma vs State of Rajasthan (2002): The Supreme Court ruled that
residence, whether at the state, district, or local level, cannot serve as the basis for
preferential treatment or reservation.
Other decisions by various High Courts and the Supreme Court have reinforced these views
by striking down state-level policies that attempted to reserve employment or opportunities
based on local residence, further affirming that such practices violate Article 16(2), which
prohibits discrimination in public employment.
3. Debate On Sub-categorization Of SC And ST Reservation
Sub-categorization within the SCs and STs refers to dividing these broad categories into more
specific sub-groups to ensure a fairer and more equitable distribution of reservation benefits.
The purpose is to address the intra-group disparities where certain sub-castes within SCs and
tribes within STs have historically cornered a larger share of the benefits, leaving the most
marginalized groups with minimal representation.
Constitutional Basis for Sub-Categorization
The recent Supreme Court ruling in the State of Punjab & Ors. vs Davinder Singh & Ors. (2024)
clarified that sub-classification is permissible under Articles 14, 15(4), and 16(4) of the
Constitution. The judgment recognized that sub-categorization is essential for achieving
'substantive equality' rather than mere 'formal equality', thereby overruling the previous E.V.
Chinnaiah vs. State of Andhra Pradesh (2005) decision, which treated SCs and STs as
homogeneous classes.
Critical Examination of Davinder Singh Judgment

The ruling extended the principles established in Indra Sawhney vs. Union of India (1992),
which had allowed for sub-categorization within the OBC category. The Supreme Court's
decision in Davinder Singh was driven by two ground realities:
● SCs and STs are not uniform classes: Inclusion in Articles 341 and 342 is meant only to
distinguish SCs and STs from other groups, not to establish homogeneity.

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 Student Notes:
● Underrepresentation of specific sub-castes: The absence of sub-classification has allowed
dominant sub-castes to corner reservation benefits, leaving others underrepresented.
The ruling on sub-categorization of SC and ST reservations has significant implications for
India's affirmative action policy. While it aims to address internal disparities within SCs and
STs, it also presents challenges related to fragmentation, politicization, and potential de-
reservation. As the constitutional commitment to affirmative action evolves, the focus should
remain on achieving genuine social justice and inclusive development.

1.5.5. Article 19
1.5.5.1. Freedom of Press

Proceedings of the Constituent Assembly debates reveal that the Founding Fathers considered
that freedom of the press was contained in the guarantee of freedom of speech and expression
and need not be specifically mentioned. Thus,
Supreme Court has deduced freedom of the press 44th Amendment, 1976, introduced
from Article 19(1)(a) (Sakaal Papers case 1962) Article 361A, which protects individuals
publishing reports on the proceedings of
In Bennett Coleman & Co. v. Union of India, Parliament and State Legislatures.
(1972), the Supreme court described Freedom of
the press as the ‘Ark of the Covenant of Democracy’, and as one of the most precious freedoms
in a democratic state.
Judgements related to Freedom of Press
Cases Judgement
Brij Bhushan v. State of Delhi There is no prior censorship of the media, meaning no
(1950) prior permission is needed for publication.
Indian Express Newspapers v. Freedom of the press to include the right to information,
Union of India (1985) the right to publish, and the right to circulate.
1.5.5.2. Issue of Hate Speech
There is no universal definition of hate speech in India. The Law Commission has defined it as
“incitement to hatred primarily against a group of persons defined in terms of race, ethnicity,
gender, sexual orientation, religious belief and the like”.
Certain legal provisions in certain legislation prohibit select forms of speech as exceptions to
freedom of speech, such as:
• Sections 196(1) and 197(1) of the Bharatiya Nyaya Sanhita (BNS).
• The Civil Rights Protection Act of 1955. etc.
• Reasonable restriction under Article 19(2) provides certain restrictions, including defamation
or incitement to an offence.
Important Judgements Related to Hate Speech
Cases Judgement
Pravasi Bhalai Sangathan The Supreme Court highlighted the importance of addressing
v. Union of India (2014) hate speech through legislation, but it refrained from issuing
specific guidelines or directions.
Tehseen Poonawala (2018) It is the “sacrosanct duty” of the state to protect citizens from
case hate crimes.
Indira Jaisingh v. State of The judgement emphasised the importance of context, intent,
Rajasthan (2023) and the likelihood of inciting violence in determining whether a
speech constitutes hate speech.

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1.5.5.3. Book/Film Ban Student Notes:

Freedom of speech and expression can be reasonably restricted on specified grounds. This has
paved the way for banning books and films.
Judgements related to book/film banning
Cases Judgements
Phantom Films Pvt. Ltd. Community standard test should be based on standard
vs. The Central Board of prudence, not sensitivity. This means that the court should not
Film Certification, 2016 prioritize the overly sensitive opinions of a small group over the
fundamental rights of expression of artists.
Perumal Murugan case Established guidelines for the government to protect the artistic
2016 freedom of individuals, including the establishment of an expert
body to address future conflicts between artistic expression and
public sentiments.
1.5.5.4. Contempt of Court
Contempt of court is a concept that encompasses actions or behaviours that threaten the
authority and integrity of the judicial system. Contempt of court cases are often fact-specific, and
the outcomes depend on the specific circumstances of each case.
Basis of Contempt of Court:
• Scandalising the Court: This refers to acts or publications that aim to bring the court or a
judge into disrepute or lower their authority.
• Interfering with the Due Course of Justice: This covers actions that obstruct or impede the
fair and impartial administration of justice. This includes attempting to influence a judge or
court in a pending case.
• Wilful Disobedience of Court Orders: This constitutes "civil contempt" and involves
deliberately refusing to comply with court orders or undertakings.

Cases Judgement
Indirect Tax Practitioners’ Association v. R.K. "Truth" can be a valid defence in contempt
Jain, (2010) proceedings if it is in public interest and the
defence is bona fide.
Pravin C. Shah v. K.A. Mohd Ali and Another, Simply undergoing a sentence for contempt
(2001 of court is not sufficient; genuine remorse
and a sincere apology are required.

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1.5.5.5. Issue of Defamation Student Notes:

Defamation is a legal term that refers to making or sharing spoken or written statements of false
statements that harm a person's
reputation, potentially leading to their Key elements of Criminal Defamation
social, professional, or personal harm.
• Imputation: A statement that is clearly
Supreme court has held that protecting a
identifiable as referring to a particular person
person's reputation is a fundamental
or persons.
right under Article 21, which must be
• Publication: The imputation must be
balanced with free speech.
communicated to at least one third party
Types of defamation suits in India: (beyond the plaintiff and the accused).
In India, defamation can be pursued as • Harm to Reputation: The statement must be
both a criminal offence and a civil intended or reasonably believed to harm the
offence. reputation of the person in question.

• Criminal defamation:- Governed under sections 499 and 500 of the Indian Penal Code (IPC)
(now Section 356 of the Bharatiya Nyaya Sanhita). Punishment involves imprisonment,
fines, or both.
• Civil defamation:- It falls under the domain of tort law, primarily shaped by judicial decisions.
Punishment involves monetary compensation (damages).
Judgements related to Defamation:
Cases Judgements
MJ Akbar Vs Priya Ramani Court analyzed tweets and held them non- defamatory,
Case (2021) emphasizing the need to protect women's rights to speak up.
Aroon Purie v. State of Nct Editors can be held liable for defamatory content but only when
of Delhi (2022) allegations are "sufficient and specific"
1.5.5.6. Internet Ban
• In Anuradha Bhasin v. Union of India (2020, Supreme court declared access to the internet
a fundamental right under Article 19(1)(a) of the Constitution as internet is a medium for the
exercise of freedom of speech and expression.
• Under Article 19(1)(g), it recognized freedom of trade and commerce through internet as a
fundamental right.
• It held that restrictions on internet have to follow the principles of proportionality under
Article 19(2).
• Thus, suspension of internet for indefinite period not permissible. It can only be for a
reasonable duration and periodic review should be done. Further, the government should
publish all orders of prohibition to enable affected persons to challenge the same.
1.5.5.7. Other Issues Related to Article 19
Issues Insights
Freedom of The Central Civil Services (Conduct) Rules, 1964, control what government
Speech and employees can say publicly. They prohibit any statements that:
Civil Servants • Criticize current or recent government policies or actions.
• Could harm relationships between the central government and state or
foreign governments.
Right To Strike In T.K. Rangarajan v. Government of Tamil Nadu (2003), the Supreme
of Govt. Court ruled that government employees do not have a statutory or
Officials fundamental right to strike.
• The Court stated that grievances must be addressed through the
Administrative Tribunal, with referral to the High Court.

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 • The Court emphasized that restrictions on their freedom of speech and Student Notes:
right to strike are necessary for maintaining discipline within the civil
services.
Additionally, the government can invoke Essential Services Maintenance
Act to call off the strike. However, these restrictions do not apply to elected
representatives due to different nature of obligations.
Sedition Section 124A of the Indian Penal Code, which dealt with sedition, has been
(Section 124A replaced by treason under the Bhartiya Nyaya Sanhita (BNS) 2023 (Section
of the Indian 152).
Penal Code) This section may clash with Article 19's fundamental rights in the following
ways:
• Vague Language: The broad terms like "indulges in or commits any
such act" can lead to arbitrary restrictions on freedom of speech and
expression.
• Discretion to Law Enforcement: Increased discretion given to law
enforcement could result in misuse, potentially stifling dissent and
legitimate criticism.
• Electronic Communication: Including electronic communication under
this law could infringe on the right to free speech online, impacting
digital freedom.
1.5.6. Article 21.
1.5.6.1. Expansion of Right to Life and Personal Liberty

While in the Gopalan case (1950),

Court stated that Article 21 protects Due Process Doctrine
individuals from arbitrary executive • The concept of "procedure established by law"
action but not from arbitrary legislative (mentioned in Article 21) is derived from the
action or law; from Menaka case (1978) British legal tradition, focusing on whether a law
onwards, court has resorted to liberal is followed correctly in its procedure, without
interpretation of right to life. It has held questioning the law's intent. On the other hand,
that the protection under Article 21 "due process of law," rooted in the American
extended not only to arbitrary judicial system, allows the judiciary to challenge
executive actions but also to arbitrary a law not only on procedural grounds but also
legislative actions. Thus, Supreme on its fairness and reasonableness.
Court has expanded the scope of • The Supreme Court by a process of
Article 21 on the premise that certain interpretation of Articles 14 and 21 has read the
unarticulated rights are implicit in the due process in the Constitution of India. In
express enumerated guarantees. Maneka Gandhi v. Union of India, Supreme
Court overturned its previous decision in
• Right to travel abroad and return:-
Gopalan and held that “procedure”
Though this right is not expressly
contemplated by Article 21 must answer the test
guaranteed by the constitution,
of reasonableness. It must be ‘right just and
the Supreme Court in its landmark
fair’, and not arbitrary, fanciful or oppressive;
judgment in Satwant Singh
otherwise, it would be no procedure at all and
Sawhney v. D. Ramarathnam 1967
the requirements of Article 21 would not be
spelt out this right from the
satisfied.” The liberal interpretation of
expression “personal liberty”
‘procedural established by law’ in Maneka
ensconced in Article 21.
Gandhi marks the beginning of a new dimension
• Free legal aid to the poor:- M.H.
of procedural due process especially in criminal
Hoskot v. State of Maharashtra,
justice system under Article 21 of the
Court held that free legal services
Constitution.

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 to the poor and needy is an essential element of any ‘reasonable, fair and just’ procedure in Student Notes:
Article 21.

• Right to privacy:- Privacy, which embodies the concept of the right to be left alone, is not
expressly mentioned under FRs. In Justice K.S. Puttaswamy (Retd) vs Union Of India 2018,
Court held that privacy assures dignity to the individual and is essential to the exercise of
liberty as it protects an individual's free, personal conception of the 'self’. Thus, Right to
Privacy was held a fundamental right under Article 21.
• Right to die with dignity:- In Common Cause v. Union of India (2018), the court legalized
passive euthanasia and recognized the right to die with dignity as a fundamental right under
Article 21. The court held that individuals have the right to refuse medical treatment or life
support and can make an advance directive specifying their wishes in case of terminal illness.
• Decriminalization of Homosexuality:- In Navtej Singh Johar v. Union of India, 2018,
Supreme Court decriminalised homosexuality emphasising that the right to love and live with
dignity to be within the ambit of ‘right to life’.
• Freedom to Choose Religion and Marry:- In Hadiya Case, 2018, Court held that a person's
right to choose a religion and marry is an intrinsic part of a person’s meaningful existence
and thus it emphasized that neither the State nor “patriarchal supremacy” can interfere in
his/her decision.
• Capital punishment:- In Bachan Singh case (1980), Court held that Death penalty is an
exception not a rule. It proclaimed that death penalty should only be imposed in the "rarest
of rare" cases, highlighting the need for extreme culpability on the part of the offender and
an extreme cause for the crime. In Shabnam v. Union of India (2015), for the first time a
woman was sentenced to death and hanged in India. The death penalty was imposed due to
the pre-planned and brutal nature of the crime.

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Soli Sorabjee—“Whether the judiciary is the protective sentinel of our rights under the Student Notes:
Constitution, will depend upon its interpretation of the Constitution and, in particular, of the Bill
of Rights.” Judiciary should pursue a wide and liberal interpretation of fundamental rights so as
to anticipate and take account of changing conditions and purposes.

Right to Privacy: Puttaswamy Judgement

In Puttaswamy (2017), the Court unanimously recognized that the right to privacy is intrinsic
to the rights to life and personal liberty under Article 21 of the Constitution.
The Puttaswamy judgement expanded the definition of privacy to encompass physical,
informational, and decisional aspects.It introduced the concept of informational privacy,
particularly relevant in the digital era, regulating the access and dissemination of personal
data. The Court also clarified that the right to privacy is not absolute. State intervention is
permissible under specific conditions:
• Legality: The action must be backed by a law.
• Necessity: The action must serve a legitimate state interest, such as national security.
• Proportionality: The means must be balanced and appropriate to the intended goal.
Thus, the Puttaswamy judgement stands as a landmark not only for recognising privacy as a
fundamental right but also for its broader implications in shaping the contours of personal
liberty, autonomy, and human dignity.

Personality Rights
The Delhi High Court
has restrained various
entities from using
actor Jackie Shroff's
name, including sobriquets "Jackie" and "Jaggu Dadda", voice and images for commercial
purposes without permission, citing his ‘personality rights’.
"Personality rights" generally refers to two types of tort-based rights: the right to privacy and
the right of publicity. The right of publicity prevents the unauthorized commercial use of an
individual's name, likeness, or other recognizable aspects of one's persona.

1.5.6.2. The Golden Triangle of Fundamental Rights: The Interplay of Article 14, 19, and
21
In the Maneka Gandhi Case, the Supreme Court highlighted a pivotal concept—the "Golden
Triangle" of fundamental rights. This triangle signifies the interconnectedness of three
fundamental rights:

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• Article 14 (Right to equality), Student Notes:
• Article 19 (Right to freedom), and
• Article 21 (Right to life and personal
liberty).

At its core, the Golden Triangle shows that

any law or government action that affects an
individual's personal liberty under Article 21
must also be assessed through the lens of
Article 14, which ensures equality, and Article
19, which safeguards various freedoms. This
means that if a law infringes on personal
liberty, it must also be checked for whether it
treats individuals equally and does not unduly
restrict freedoms such as speech or
expression.
In today’s world, issues like surveillance laws or internet restrictions bring this concept into sharp
focus. The courts don’t just look at how these laws impact personal liberty (Article 21); they also
examine whether these laws unfairly target specific groups (Article 14) or restrict freedom of
expression too much (Article 19).
This Golden Triangle is not just a theoretical concept; it places Articles 14, 19, and 21 at a higher
pedestal within the Indian Constitution. Together, these rights reflect the core values of the
Preamble by safeguarding individual dignity and promoting a fair and just society for all citizens
1.5.7. Article 22.
1.5.7.1. Preventive Detention
Article 22 of the Indian Constitution lays out crucial safeguards against arbitrary arrest and
detention, aiming to protect individual rights and liberties. It provides for two kinds of
detentions-
• Preventive detention; and
• Punitive detention
No other democratic country mentions preventive detention in its constitution and such laws
come into effect only under emergency conditions. Misuse of Preventive detention laws has
become a human rights concern.

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Judgements related to Preventive detention: Student Notes:

Case Judgement
Anna Hazare case 2011 Preventive detention law can be invoked only if there is "imminent
danger to peace" and a person sought to be arrested is likely to
commit a cognisable offence. Otherwise, it would violate the
victim's fundamental rights.
Ameena Begum v. Preventive detention laws should be used only in exceptional
State of Telangana circumstances and not as a tool for enforcing law and order.
(2023) Court distinguished between offences that disrupt law and order
and those that affect public order. It held that preventive detention
should only be invoked when an individual's actions are genuinely
prejudicial to the maintenance of public order. This means that
the individual's actions must have a wider impact on the
community, causing fear, panic, or insecurity.
Also, subjective satisfaction of detaining authority must be based
on "rationally probative value" and cannot be based on irrelevant
or extraneous factors.
Pankaj Bansal Case The Supreme Court ruled that merely reading out the grounds of
(2023) arrest is not enough under Article 22(1). It held that the accused
must be given the grounds in writing to ensure transparency and
procedural fairness.
1.5.8. Article 25.
1.5.8.1 Indian Secularism
The Indian concept of Secularism is not similar to the Doctrine of Secularism in America,
(establishes a rigid distinction between the State and the religion.) India adopts an affirmative
side of secularism, wherein it is neutral in terms of religion, and is in consonance with its ancient
legacy of accommodating all faiths and abandoning none.
According to Donald E. Smith, the Indian way of secularism refers to the non-religious functioning
of the State, it has a non-communal and non-sectarian connotation and not a strict schism
between state and religion. India may not be a completely theist state but it is definitely not an
atheist state.
Western secularism Indian secularism
State and religion are mutually exclusive in There is no complete separation of State
their own spheres of operation. from Religion but a ‘principled distance.’
Interpreted liberty as liberty of individual and The idea of inter-religious equality is at the
freedom as freedom of the individual, and core of Indian secularism. Equal focus has
equality as equality between individuals. been given on intra-religious equality.
There is little scope for community-based rights It not only deals with the religious freedom
or minority-based rights. of the individuals but with the minority
communities also.
The state maintains an arm’s length distance It promotes state sponsored reforms in the
from religion in all matters. religious sphere on equal footing.

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1.5.8.2. Freedom of Religion in Indian Student Notes:
Constitution
Articles 25 to 28 deal with freedom of
conscience and freedom of religion. Articles 29
and 30 guarantee rights of the minorities to
conserve their language, script and culture and
to establish and administer educational
institutions of their choice.
Article 25 distinguishes between religious
practices and secular activities associated with
religious institutions.
• For example, the state has the authority to
regulate or restrict secular activities that
may be associated with religious practices,
such as social reforms, economic activities,
and other activities unrelated to the core
aspects of religion. It also includes the right
of religious denominations or any section
thereof to manage their own religious
affairs, including establishing and
maintaining religious institutions, as long as
they do not violate any other laws or public
order.
• While the Constitution protects religious
freedom, it also emphasizes constitutional
morality and the dignity of all individuals.
Doctrine of ‘Essential Religious Practices’
• Essential practices are those "practices that
are fundamental to follow a religious
belief".
• The test for determining whether a practice
is essential is "to find out whether the nature
of the religion will be changed without that
part or practice". If removing the practice would lead to a "fundamental change in the
character of that religion or in its belief", then it's considered essential. A practice's mere
existence since "time immemorial" does not make it essential.
• Cases such as Sri Venkataramana Devaru v State of Mysore and Mohd. Hanif Quareshi v
State of Bihar involved balancing religious freedom with social reform and public order.
Supreme Court held that judges should carefully examine the religious texts, historical
practices, and the views of the religious community to ascertain the essentiality of a
practice.
Judgements related to Essential religious Practices
Cases Judgements
Jagadishwaranand case, 1984 The Anand Margi practice of dancing with skulls is not
essential to its religion and could be reasonably restricted.
Mohd. Hanif Quareshi & others Cow slaughter was not essential to Islam on Bakrid Day.
vs The State Of Bihar 1958
Shayara Bano case Triple talaq is not an essential practice of Islam.
Stainislau v/s State of MP, 1977 Article 25(1) doesn’t give the right to convert but only the

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 right to spread tenets of one’s own religion. Thus, only Student Notes:
voluntary conversions are valid in India. In fact, some states
have passed anti-conversion laws prohibiting forced
conversions.
Sabrimala judgement (Indian Practices that undermine constitutional values, such as
Young Lawyers Association vs those that exclude individuals based on gender, cannot be
The State of Kerala case (2018) considered essential religious practices.
1.5.8.3 Issues Related to Freedom to Manage Religious Institutions and Properties
1.5.8.3.1. Waqf Board Property Issue
The Waqf (Amendment) Act, 2025
In Islamic law, Waqf refers to property that is permanently dedicated in the name of God for
religious or charitable purposes. The income generated from such properties is typically used
to maintain mosques, support educational institutions, or assist the poor. Once a property is
declared as Waqf, it becomes inalienable—it cannot be sold, gifted, or inherited. The Waqf
Act, 1995 (including 2013 amendments), established the statutory framework for the
administration of such properties and created State Waqf Boards.

Criticisms of the Act:

While the government maintains that these changes are aimed at enhancing transparency and
accountability, critics, including members of the Opposition, contend that the amendments
undermine the Muslim community’s religious autonomy. They allege that the Act is aimed at
reducing Muslims to “second-class citizens.”

The matter is subjudice before Supreme Court of India.

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1.5.8.3.2. Issues Related to Religious Instructions in Institutions Student Notes:
• Article 28(1) denotes that those educational institutions which are wholly run out of State
funds cannot distribute any religious instruction, but educational institutions which are
established under any endowment or trust and is just administered by the State and require
religious instructions to be imparted can do so.
• Article 28 (3) states that in educational institutions recognised or receiving funds from the
State, no person is required to take part in any religious instructions in such institutions or is
required to attend any worship in the institution or any premises attached to it unless he
voluntarily chooses to do so or in case of a minor, consent of the guardian is available.
Related Judgement
• In Re Aruna Roy case (2002), the Supreme Court upheld the Constitutional validity of the
National Curriculum Framework for School Education, 2000 which endeavoured to inculcate
values for the development of students from all religions and also included a comparative
study of the teachings and philosophy of various religions. The Court observed that moral
values are essential for social order and secularism and enriching students with knowledge
of various religions would strengthen their value system in a society that is degrading for
power, post and property. Therefore, the framework does not violate Article 28, it does not
restrict the learning of diverse cultures and philosophies.
Issue Related to Right of Religious Minorities to Establish Institutions
Case Judgement
T.M.A. Pai Minority institutions have the right to administer their affairs,
Foundation v. State of including the right to appoint staff, but they must still operate within
Karnataka (2002) certain reasonable regulations imposed by the state.
Azeez Basha case AMU was neither established nor administered by the Muslim
community, but by the British government. The Court concluded that
Article 30(1), which guarantees the right of minorities to establish
and administer educational institutions of their choice, does not
apply to the AMU, as it was not established by the Muslim minority.

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1.5.8.3.3. Minority Educational Institutions in India Student Notes:
These institutions play a crucial role in providing education to minority communities and
preserving their distinct identity. The
National Commission for Minority TMA Pai Foundation v. The State of Karnataka 2003
Educational Institutions (NCMEI) Act • The right to establish and maintain a religious
(2004) has been enacted to safeguard institution is given to every religion. It can be a
the educational rights of the majority religion or even a minority religion.
minorities. The National Commission
for Minority Educational Institutions (NCMEI) and state authorities determine minority status for
an institution based on the following criteria:
• The institution must explicitly declare that it was established for the benefit of the minority
community.
• The majority of the governing body (Board or Trust) members must belong to the minority
community.

AMU Minority Status Case (2024)

In S. Azeez Basha v. Union of India (1967), the Supreme Court ruled that Aligarh Muslim
University (AMU), established by an Act of Parliament, was not a minority institution under
Article 30. This decision was challenged, and in November 2024, the Court overruled the 1967
ruling, setting a new test for determining minority status for educational institutions under
Article 30(1).
Test for Minority Status:

Impact of Subsequent Changes: Even if an institution was originally established by a minority,

changes in its administrative structure over time could alter its minority character. The Court
directed that the case of AMU's minority status should be decided based on these principles.

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 Overruling Azeez Basha (1967): Court emphasized that statutory status of AMU does not Student Notes:
negate minority status if the institution was originally established by a minority.
This ruling does not immediately grant AMU minority status but reopens the possibility by
establishing a new framework for determining the minority character of institutions. The
case will now be reviewed by a regular Bench, which will decide whether AMU qualifies as a
minority institution under Article 30(1) of the Constitution.

Other Related Judgements

Cases Judgements
Nataraja temple case The state contended that the Dikshithars have been resistant to
providing financial records and were not cooperating with
investigations. The Supreme Court quashed the Tamil Nadu
government's order to appoint an executive officer for managing
the Nataraja temple in 2014 and held that the temple should be
managed by priests, not the state government, even in cases of
alleged property mismanagement.
N. Adithayan v. Brahmins do not have the monopoly over performing puja in a
Travancore Devaswom temple. The court also added that non-Brahmins can be
Board, 2002 appointed as a pujari as long as he is well versed in his job.

1.5.9 Right to Property

1.5.9.1. Right to Property in Indian Constitution

• Right to Property was made a Debate on Property Rights in the Constituent

constitutional right under Article 300A Assembly
and was deprived from fundamental • K.T. Shah argued that without the right to
right status through 44th Constitution property, other fundamental rights like right
Amendment 1978. to life and liberty could be at risk.
• This shift was a response to the • Dr. B.R. Ambedkar, offered a balanced view.
prevailing socio-economic conditions While recognizing the importance of
and the need for land reform. property rights, he emphasized the need for
• Making Right to Property a legal right the State to have the authority to acquire
under the Constitution serves two property for public purposes like land
purposes: reforms, infrastructure, and national
o Firstly, it gives emphasis to the development. He stressed that the right to
value of socialism included in the property should be regulated in a way that
preamble and serves the public good.
o Secondly, it conformed to the
doctrine of basic structure of the Constitution.

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 Student Notes:

Supreme Court on Right to Property in India

• The Right to Property ceased to be a fundamental right by the 44th Amendment (1978), but
remains a human right under a welfare State and a constitutional right under Article 300A.
This article ensures individuals cannot be dispossessed of property without legal authority
and mandates adequate compensation.
• In Bernard Francis Joseph Vaz v. Government of Karnataka (2025), the Supreme Court
reaffirmed the Ultra-Tech Cement Ltd vs Mast Ram (2024) ruling, holding that delay in
compensation after land acquisition violates the spirit of Article 300A and the welfare State
concept.
Article 31 and Right to Property
Articles 31A, 31B, and 31C provided legal mechanisms to shield land reform and welfare laws
from judicial challenges, ensuring that the government's efforts in social and economic
reformation would not be hindered by property rights.
• Article 31A protects certain laws related to land reforms, industry, and commerce from being
challenged on the ground of Articles 14 and 19. It allows the state to nationalize private
property for land reforms and mandates compensation for land acquired for cultivation
below the statutory ceiling limit.
• Article 31B protects laws in the Ninth Schedule from being invalidated on grounds of
violating Articles 14 and 19.
• Article 31C, (introduced by the 25th Amendment in 1971), protects laws that implement
Directive Principles under Articles 39(b) and 39(c) from being challenged for violating Articles
14, 19, and 31. However, the second part, which aimed to remove judicial review of these
laws, was struck down in the Kesavananda Bharati case (1973) as it infringed on the basic
structure of the Constitution.

I.R. Coelho v. State of Tamil Nadu (2007)

This case was a landmark ruling in Indian constitutional law, particularly regarding the Ninth
Schedule and its relationship with the basic structure doctrine. Below are the key highlights
of the case:
• Judicial Review of Ninth Schedule Laws: The Court ruled that laws added to the Ninth
Schedule after the Kesavananda Bharati case (1973) are subject to judicial review if they

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 violate the basic structure of the Student Notes:
Constitution, especially
fundamental rights. It emphasized
that mere inclusion in the Ninth
Schedule does not grant automatic
immunity from judicial scrutiny.
• Reassertion of Judicial Supremacy:
The judgment reaffirmed the
judicial supremacy principle, stating
that the Supreme Court has the
ultimate authority to review laws,
including constitutional
amendments, to ensure they align
with the basic structure of the
Constitution.

1.5.10. Article 32
1.5.10.1. Right to Constitutional Remedies
This article grants citizens the right to approach the Supreme Court directly for the enforcement
of their fundamental rights. The Court can issue appropriate orders, directions, or writs to ensure
the protection of these rights.
Further, under Article 32(3), Parliament can authorize any other court also to enforce
fundamental rights without negatively affecting the powers of SC.

Article 32: Soul of the constitution and the very heart of it

The framers of the Constitution believed that a right without a remedy would be an empty
declaration. Therefore, Articles 32 and 226 were included as key provisions to ensure that
Fundamental Rights are enforceable.
Article 32 provides a direct path to the
Supreme Court to challenge Article 32 as Basic Structure
violations to one’s fundamental The Supreme Court in the IR Coelho case (2007)
rights, making it an essential tool for held that Article 32 is an integral part of the basic
safeguarding citizens' rights in India. structure of the Constitution. This article
Dr B.R. Ambedkar had once said, “If I establishes the SC as the guardian of
was asked to name any particular Fundamental Rights and demonstrates its
article in this Constitution as the most authority in exercising judicial review to protect
important — an article without which and enforce those rights.
this Constitution would be a nullity —
I could not refer to any other article except this one (Article 32). It is the very soul of the
Constitution and the very heart of it.”
Landmark cases like the Kesavananda Bharati case (1973), which introduced the basic
structure doctrine, and the Maneka Gandhi case (1978), which broadened the scope of the
right to life, are notable examples where Article 32 was used to protect citizens' rights.

Types of Writs
1. Habeas Corpus
• This writ is exercised to ensure the release of a person who has been unlawfully
detained.

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 • The Supreme Court in State of Maharashtra v. Bhaurao Punjabrao Gawande stated that Student Notes:
the writ of habeas corpus has been described as a "constitutional privilege or the first
security of civil liberty" as it provides a speedy remedy against illegal detention. By the
virtue of this writ, the Court directs the authority which has detained a person to produce
the body of the person before the Court so that it can assess the legitimacy of the arrest
or detention.
2. Mandamus
• This writ is exercised to direct a public official or authority to perform a duty they are
legally bound to perform.
• In Bombay Municipality v. Advance Builders 1972 case, Supreme court held that writ of
mandamus can be issued where an authority vested with a power improperly refuses to
exercise it.
• In Binny Ltd. Case 2005, Supreme court held that a writ of mandamus is not applicable
against any private wrong. It can be issued only when any public authority exercises its
duty unlawfully or refuses to perform its duty within the ambit of the law.
3. Prohibition
• This writ is exercised to prevent a lower court or tribunal from exceeding its jurisdiction.
• In Hari Vishnu v. Syed Ahmed Ishaque (1955), Supreme Court distinguished between
certiorari and prohibition writs and said that when the lower court issues a decision, the
petitioner must file a certiorari petition since prohibition writs can only be submitted
when judgment has not yet been given.
4. Certiorari
• This writ is exercised to quash an order passed by a lower court, tribunal, or authority.
• In T.C Basappa case, Court held that certiorari may and is generally granted when a court
has acted (i) without jurisdiction or (ii) in excess of its jurisdiction.
5. Quo Warranto
• This writ is exercised to inquire into the legality of a person's claim to a public office.
• In Bharati Reddy v. The State Of Karnataka (2018), Supreme Court held that a writ of
quo warranto cannot be issued based on assumptions, inferences, or speculations
concerning the fact of accomplishment of qualifying conditions. There must be an
establishment of the fact that a public officer is abusing lawful powers not vested to him
within the public authority.
1.5.11. Comparison of Fundamental Rights in India and USA

Fundamental Indian U.S. Constitution Key Features and

Right Constitution (Amendment/Clause) Comparison
(Article)

Right to Life Article 21: 14th Amendment: In both countries, the right to
and Personal Guarantees the Due process clause life and liberty is protected,
Liberty right to life and protects life, liberty, but India focuses more on
personal liberty. and property. substantive rights (such as
This has been privacy and dignity) while the
expanded to U.S. emphasizes due process
include privacy, in both procedural and
dignity, etc. substantive aspects. The U.S.
focuses heavily on due
process and procedural
fairness.

Right to Article 14: 14th Amendment: Both countries emphasize

Equality Guarantees Equal protection equality before the law. The

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 Student Notes:
equality before the clause guarantees U.S. has extended this to
law and equal that no state shall social issues like racial
protection under deny any person equal equality (e.g., Brown v. Board
the law. protection of the of Education), while India
laws. focuses on affirmative
action, reservation policies,
and social justice to address
caste-based inequalities.

Freedom of Article 19(1)(a): 1st Amendment: Both countries protect

Speech and Guarantees Protects freedom of freedom of speech but with
Expression freedom of speech, speech and press, differences. The U.S. offers
subject to with limited stronger protection for hate
reasonable exceptions. speech, while India places
restrictions. reasonable restrictions for
public order, sovereignty,
and decency. U.S. courts take
a more absolute approach to
free speech, while India
balances it with national
security and public order
considerations.

Freedom of Article 25: Provides 1st Amendment: Both nations guarantee

Religion freedom of Prevents Congress religious freedom, but India
conscience and the from establishing a emphasizes secularism by
right to freely religion and allowing reasonable
profess, practice, guarantees free restrictions for public order,
and propagate exercise of religion. health, and morality. The
religion. U.S. focuses on non-
interference with religion by
the state and maintains a
strict separation of church
and state.

Protection Article 22: 4th Amendment: India has specific protections

from Arbitrary Protection against Protection from against arbitrary detention,
Arrest arbitrary arrest and unreasonable including legal
detention. Ensures searches and seizures; representation and timely
the right to be requires warrants judicial review. The U.S.
informed of based on probable offers broader protection
charges, consult a cause. against unreasonable
lawyer, and be searches, but India has more
presented before a detailed procedural
magistrate. protections during arrest.

Protection of Article 31: Right to 5th Amendment: The U.S. guarantees property
Property property (now a Prohibits the taking of rights as a fundamental right,
legal right after the property without due while in India, it is now a legal
44th Amendment, process and just right (no longer a
1978). compensation. fundamental right after the
44th Amendment), but

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 Student Notes:
property can still be acquired
by the state for public use
with compensation.

Right against Article 20(3): No 5th Amendment: No Both countries protect

Self- person can be person shall be against self-incrimination,
Incrimination compelled to be a compelled to be a ensuring individuals cannot
witness against witness against be forced to testify against
themselves. themselves in a themselves in criminal
criminal case. proceedings. The protections
are nearly identical in both
countries.

Right to Article 32: Allows No direct equivalent: India offers a direct remedy
Constitutional citizens to directly Citizens must go through Article 32 allowing
Remedies approach the through lower courts; citizens to approach the
Supreme Court for the Habeas Corpus Supreme Court for
enforcement of writ allows protection enforcement of Fundamental
Fundamental against unlawful Rights, while U.S. citizens
Rights. detention. must generally go through
lower courts first. However,
the Habeas Corpus writ
provides a similar safeguard
against unlawful detention.

Freedom of Article 19(1)(b): 1st Amendment: Both countries protect

Assembly Right to assemble Guarantees the right freedom of assembly, but
peacefully, subject to peaceably India allows for reasonable
to reasonable assemble. restrictions in the interest of
restrictions. public order. The U.S. offers
broader protection but may
place restrictions in cases of
violence or disorder.

Right to Article 21A: Right No equivalent: There India specifically includes the
Education to free and is no federal right to right to education in the
compulsory education in the U.S. Constitution (a positive right),
education for constitution, though it whereas the U.S. does not
children aged 6-14. is provided at state have a federal constitutional
levels. right to education. The U.S.
approach depends on state-
level provisions for
education.

2. Directive Principles of State Policy (DPSP)

The Directive Principles of State Policy (DPSP) are Dr. Ambedbar on DPSP
guidelines enshrined in Part IV (Articles 36-51) of the
Indian Constitution, which aims to establish a “DPSPs cannot be considered to be
welfare state by ensuring social and economic mere pious declaration. If there is no
democracy. force of law, there is political force of
public opinion. No government in
India can overlook these directions.”

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DPSPs are fundamental in the governance of the country. They serve as a benchmark for Student Notes:
government policies to ensure the welfare and equitable development of all citizens, especially
the vulnerable and weak.

2.1. Characteristics of DPSP

• Ideals to be followed by the State: It denotes the ideals that the State should keep in mind
while formulating policies and enacting laws. Constitution makers believed that no
government in power that rests on public opinion/popular vote can ignore these principles
while formulating policies.
• Limitation on arbitrary exercise of power: It is a check against political majority making
attempts to hijack the vision of the Constituent Assembly with respect to the future Indian
State.
• Non-Justiciable: They become enforceable only when a law giving effect to some directive
principles exists. For example – MGNREGA for the Right to Work.
• Amplification of Preamble: DPSP’s amplify values enshrined in the preamble to the Indian
Constitution. For instance – it is DPSP’s that give meaning to the “socialist democracy”
through Articles 38 and 39.

Constituent Assembly Debates on Enforceability of DPSPs

During the Constituent Assembly debates on the DPSPs, there were differing views on whether
these principles should be enforceable in courts.
Giani Gurmukh Singh Musafir argued that the DPSPs should be made enforceable or moved
to the Fundamental Rights chapter, where they would have stronger legal backing.

K. M. Munshi shared similar concerns, suggesting that making the principles enforceable or
allowing some form of judicial review would make them more effective in promoting social
justice.
In contrast, three main reasons were cited for making them non-enforceable:
Fear of Obsolescence: The Assembly feared that these principles could become outdated over
time with changes in the country.
Challenges of Diversity and Backwardness: Given India’s vast diversity and socio-economic
backwardness, the Assembly believed that the implementation of these principles would be
difficult.
Lack of Resources: At the time of independence and the adoption of the Constitution, India
lacked the necessary resources to make all the DPSPs enforceable. Therefore, they were left to
the government to follow voluntarily.
Taking a pragmatic view, the Constitution makers refrained from giving legal force to these
principles. They believed that public opinion and social awareness would play a more
significant role in fulfilling these principles than legal action or judicial procedures.

Cognizability vs Enforceability of DPSP (Article 37)

The term ‘Cognizance’ refers to the judicial recognition or hearing of a cause. In contrast,
‘Enforceable’ means the capacity to compel action or ensure compliance with a directive
through judicial mechanisms.
Article 37 of the Indian Constitution specifically mentions the non-enforceability of the DPSP
by the judiciary. However, it does not imply non-cognizability—that is, the judiciary is not
barred from recognising and considering these directives in legal proceedings.
This distinction becomes clearer when compared with the Irish Constitution, which explicitly
denies both enforceability and cognizability of such principles by the judiciary. In this sense,

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 Article 37 of the Indian Constitution is more permissive in terms of judicial involvement, while Student Notes:
the Irish Constitution is more restrictive. This recognition allows the judiciary to act when
state measures may go against the social and economic goals outlined in the DPSPs.

2.2. Constitutional Provisions under DPSP

Article No. Subject-Matter
36 Definition of the State
37 Though non-enforceable by courts, it is the duty of the State to apply these
principles in making laws.
38 State to secure a social order for the promotion of welfare of the people.
39 Certain principles of policy to be followed by the State viz.
a) to ensure the right to an adequate means to livelihood.
b) to distribute the ownership and control of material resources to subserve
common good.
c) to prevent concentration of wealth and means of production.
d) equal pay for equal work for men and women.
e) citizens are not forced by economic necessity to enter avocations unsuited
to their age or strength.
39A Equal Justice and free legal aid.
40 Organization of village panchayats and enable them to function as units of self-
governance.
41 State to make provisions to secure Right to work, to education and to public
assistance in certain cases (Such as unemployment, old age, sickness and
disablement)
42 Provisions for just and humane conditions of work and maternity relief.
43 State to secure a living wage, conditions of work ensuring a decent standard
of life and full enjoyment of leisure and social and cultural opportunities +
promote cottage industries in rural areas.
43A State to secure the participation of workers in the management of
undertakings, establishments or other organisations engaged in any industry.
43B Promotion of co-operative societies.
44 State to secure a Uniform civil code for the citizens throughout the territory of
India.
45 Promotion for early childhood care and education to children below the age of
six years.
46 Promotion of educational and economic interests of Scheduled Castes,
Schedules Tribes and other weaker sections and protect them from social
injustice and exploitation.
47 Duty of the State to raise the level of nutrition and the standard of living and
to improve public health + Prohibition of consumption of intoxicating drinks
and drugs.
48 Organization of agricultural and animal husbandry on modern and scientific
lines + preserving and improving the breeds, and prohibiting the slaughter of
cows and calves and other milch and draught cattle.
48A Protection and improvement of environment and safeguarding of forests and
wildlife.
49 Protection of monuments and places and objects of national importance.
50 Separation of Judiciary from Executive.
51 Promotion of international peace and security.

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 Student Notes:

2.3. Relationship between Fundamental rights and DPSP

According to B.N. Rau, the Fundamental Rights and Directive Principles were integrated into a
unified scheme, and they were therefore presented as a single scheme in the Constituent
Assembly.
As per Justice Chandrachud, The Constitution aims to bring about a synthesis between the two
and together, not individually, they constitute the conscience of the Constitution. The Supreme
Court has hence pronounced the ‘doctrine of harmonious construction’ to establish the relation
between FRs and DPSPs.
• With increasing recognition of social Doctrine of Harmonious Construction.
and economic rights in the • This doctrine is used to avoid any inconsistency
international arena, Supreme court and repugnancy and follows a settled rule that
has held that- “Fundamental rights an interpretation that results in injustice,
should be interpreted in the light of hardship, inconvenience, and anomaly should
DPSPs and DPSPs should be read be avoided. The interpretation with the closest
into FRs whenever and wherever conformity to justice must be picked.
possible.” (Akhil Bhartiya Soshit • The Supreme Court laid down 5 main principles
Karmachari Sangh (Railways) vs of the ‘Doctrine of Harmonious Construction’-
UoI 1981). o Courts should avoid conflicts between
o In Olga Tellis Case (1985), the
contradictory provisions and strive to
Supreme Court brought socio- harmonize them.
economic rights within the o If full reconciliation isn't possible, interpret
sweep of Part III and held that
the provisions to give effect to both as
the right to shelter was a much as possible.
fundamental right and thus o An interpretation that renders one
impacting millions of
provision ineffective contradicts the
slum/pavement dwellers in principle of 'Harmonious Construction.'
India. o Harmonizing provisions should not nullify
o Further in Unnikrishnan J.P. v. or destroy any statutory provision.
State of Andhra Pradesh (1993) o One section's provision should not
case emphasized the invalidate another unless reconciliation is
importance of education as a
impossible after thorough effort.
fundamental right. The court

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 held that the government has a duty to provide free and compulsory education to all Student Notes:
children, as directed in the DPSP.
Thus Part III and IV together, considered in the light of the Preamble, emphasize the need to
improve the social and economic conditions of the people and achieve maximum permissible
individual freedom for the citizens.
It can well be said that the directive principles prescribed the goal to be attained and the
fundamental rights laid down the means by which that goal was to be achieved.

2.4. Differences Between Fundamental Rights and DPSP

Basis Fundamental Rights Directive Principles
Philosophy FRs are based on philosophy of Different DPSPs reflect different
liberalism granting protection to ideologies for example – that of
individual and his rights. welfare state, Socialism, Gandhism,
Environmentalism, Internationalism
etc.
Nature FRs are prohibitions on the state DPSPs are positive obligations on the
in general and in certain cases on state. Union, state governments as
private individuals also. well as other authorities are expected
to consider the DPSP’s as fundamental
guidelines to be observed in policy
making.
Focus FRs are individual centric. DPSPs are group centric.
Enforceability FRs are enforceable in the court As per Article 37, DPSPs are not
of law. The right to constitutional enforceable in the court of law.
remedies itself is a fundamental Constitutional remedies, thereby are
right (Article 32). Judiciary is not available.
empowered to declare any law
null and void if it abridges any of
the fundamental rights.
Outcome FRs establish political DPSPs seek to establish socio
democracy and gives civil rights. economic democracy in the country.

2.5. Themes and Cases Related to Specific DPSP

2.5.1. Private Property and Article 39 (B)
Article 39 (b) directs the state to ensure
Important legislations related to Article 39:
the distribution of ownership and
control of the material resources of the 1. The Minimum Wages Act, 1948.
community in a manner to sub serve 2. The Code on Wages, 2020.
the common good. 3. The Contract Labour Regulation and Abolition
Act 1970
In this regard, question has been raised-
4. The Child Labour Prohibition and Regulation Act,
whether private property can be
1986
deemed a ‘material resource of the
5. The Bonded Labour System Abolition Act, 1976
community’ for the purpose of Article
6. The Mines and Minerals (Development and
39 (b).
Regulation) Act, 1957
• In Minerva Mill Case, Supreme 7. The Maternity Benefit Act, 1961
court held that balancing DPSP with 8. The Equal Remuneration Act, 1976
FR ("Goldilocks position") requires
that laws implementing Article 39(b) must respect the right to do business under Article
19(1)(g).

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• While Doctrine of Eminent Domain allows the state to expropriate private property for public Student Notes:
use, provided there is fair compensation, Article 300A puts a constitutional safeguard
mandates that property cannot be taken without legal authority, ensuring due process and
compensation.
• Thus, CJI Chandrachud emphasized the importance of a balanced interpretation of Article
39(b) that protects private property rights without stifling private investment in a liberalized
economy.
2.5.2. Debate Related to Living Wage
Article 43 directs the state to endeavor to secure a living wage for workers. In India, while many
workers earn a daily minimum wage of ₹176 or more, the national wage floor (stagnant since
2017), it lacks enforceability across states and leads to wage payment discrepancies. This lack of
upward movement in wages has led to disparities in wage payments across different states,
iinsufficient to meet their basic needs, especially with inflation, has created demand for ‘living
wage’.
Minimum Wage Vs Living Wage
• Recently International Labour
organization (ILO) has reached • While the minimum wage is the lowest amount of
an agreement on the issue of the remuneration required by law to be paid by
living wage. According to ILO, a employers to employees for work performed
living wage is the wage level that during a given period. It aims to protect workers
is necessary to afford a decent from low pay.
standard of living for workers • The living wage goes further by providing enough
and their families, taking into income to cover basic needs such as food, clothing,
account the country shelter, and more.
circumstances and calculated
for the work performed during the normal hours of work.
Key Challenges:
• Since, cost of living varies across different states, establishing a uniform living wage would
be a challenging task.
• Small and Medium Enterprises (SMEs) may face financial strain due to increased labour cost
due to living wages losing on business competitiveness.
Balancing affordability for businesses with ensuring workers’ well-being will be key to achieving
SDG.
2.5.3. Debate Related to Uniform Civil Code
Different religions in India have Constitutional Provisions in Support of Uniform
different personal laws (based on Civil Code
religious scriptures) that govern Article 25 (2) empowers the State to frame any law
marriage, divorce, maintenance, to regulate or restrict “secular activity which may be
succession, adoption of respective associated with religious practice.”
communities. For example, Hindu Article 14 under Fundamental Rights: The
succession Act, Muslim Personal Law inconsistency in personal laws has been challenged
(Shariat) Act, 1937 etc. on the touchstone of Article 14, which ensures the
A uniform civil code means a uniform right to equality.
set of laws would replace these Article 13- Laws which are made before the
distinct personal laws of each religion Constitution will be void as long as they are violating
with regard to matters like marriage, the provisions of the Fundamental Right.
divorce, adoption, and inheritance.

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Need for UCC Student Notes:

• Removes legal grey areas:- One of the most prominent downsides of having a pluralistic
model of personal laws is that the entire framework gets riddled with contradictions. UCC
overcomes this issue by bringing uniformity in laws.
o For example, the Muslim, Christian and Parsi laws do not permit adoption while the
Hindu laws permit and regulate the
same. Similarly, when in Satprakash Uttarakhand’s Uniform Civil Code
Meena v. Alka Meena, a family court The Complexity of State-Level UCC:
ruled that the provisions of HMA do Uniformity or Diversity?
not apply on the members of Meena Personal laws related to marriage,
Tribe, Delhi High court raised concern inheritance, divorce, and family matters fall
about potential desertion of Meena under Entry 5 of List-III (Concurrent List) of
women due to recognized bigamy the Seventh Schedule of the Constitution,
practices. allowing states to enact their own laws on
• Promotes constitutional morality:- Many these issues.
aspects of personal laws fall short of
constitutional morality (adherence to While Goa was the only state with a uniform
constitutional norms). UCC can promote civil code (Goa Civil Code based on
constitutional norms of equality, justice, Portuguese laws) before 2024, Uttarakhand
and the rule of law across all citizens. passed its own Uniform Civil Code in 2024.
o For example, Talaq-e-biddat (triple This code includes provisions like a ban on
talaq) is criticized as unjust, requiring practices such as halala, iddat, and talaq,
a derogatory procedure 'nikah and mandatory registration of live-in
halala' for reconciliation. relationships. However, it excludes tribals
• Promotes Gender justice:- Loopholes in from its ambit.
personal laws have been exploited to While the UCC is essential for consistency, if
cause gender injustice. UCC helps remove states adopt different versions, it could
such loopholes. cause confusion, especially for migrants
o For example, in Sarla Mudgal case, dealing with issues like marriage and
conversion to Islam was utilized to property rights.
safeguard against bigamy.
• Promotes secularism: A secular republic needs a common law for all citizens rather than
differentiated rules based on religious practices.
• Promotes national integration: Uniform Civil Code will separate religion from social relations
and personal laws, ensuring equality and thus harmony in the society. In this regard, in
Mohd. Ahmed Khan v Shah Bano Begum (1985), Supreme Court observed that, “A common
civil code will help the cause of national integration by removing disparate loyalties to law
which have conflicting ideologies."
Law Commission on UCC
Challenges
In 2018, Law Commission of India opined that
• Issue of consensus:- The plurality of the Uniform Civil Code is “neither necessary
personal laws makes it a very challenging nor desirable at this stage” and suggested:
task for legislators to arrive at consensus • Preserving diverse personal laws to ensure
on components of one uniform law that non violation of fundamental rights.
could be applied to all citizens, cutting • Ending all forms of gender discrimination.
across different religions.
• Inclusive debate and progressive ideas, on
• Fundamental Right of religious UCC for balancing national unity.
minorities:- Any attempt to enact UCC
are thought to go against the fundamental rights of religious minorities. Conservative
factions perceive such steps as a threat to its political and religious identity and thus oppose
it.

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• Issue of majoritarianism and loss of identity:- UCC may impose majoritarian ideals on Student Notes:
minorities. Legal scholars argue that ‘Uniform’ in UCC doesn’t mean ‘equality’ and Equality
under the Indian Constitution does not mean that unlike are to be treated alike. Thus, UCC is
likely to impact the tradition of diversity such as the tribal way of life since many tribal groups
in the country, regardless of their religion, follow their own customary laws.
• Court’s judgements:- Supreme court in Narsu Appa Malli judgement has held that Personal
Laws in India were not the same as “Customs and usages” as defined in the article 13 and
thus didn’t contravene fundamental rights. However, in Danial Latifi v. UOI, 2001, the court
have followed the “scrutinising approach”, and tested the Personal laws on the touchstone
of Fundamental Rights.
While preserving personal laws is vital for maintaining India's diversity, these laws should not
override constitutional values. An alternative could be amending personal laws to create a just
and equitable legal framework. As Dr. Ambedkar noted, “Article ‘merely’ proposed that the state
shall endeavour to secure a UCC, which means it would not impose it on all citizens.”
2.5.4. Issues Related to Liquor Prohibition
Article 47 of the DPSP urges states to Examples of Liquor Ban
pursue alcohol prohibition. In November Countries like the U.S. enforced prohibition in
2021, Bihar's Chief Minister reaffirmed the the 1920s but repealed it due to enforcement
state's liquor ban to enhance public health challenges.
and reduce domestic violence. However, In India, states like Gujarat, Bihar, Nagaland,
the ban faces significant challenges, and Mizoram have implemented liquor bans,
including enforcement issues and illegal with varying degrees of success.
alcohol consumption.
Pros of Alcohol Ban Cons of Alcohol Ban
Health Benefits: Reduces alcohol-related Economic Impact: Loss of significant government
diseases like liver damage and mental revenue from alcohol taxes.
health disorders.
Social Welfare: Reduces domestic Personal Freedom: Infringes on individual rights to
violence and allows households to use make personal lifestyle choices.
money more effectively.
Public Health Improvement: Reduces the Bootlegging: Emergence of illicit liquor trade, leading
burden on healthcare systems. to organized crime and health risks from consuming
poor-quality alcohol.

Reduction in Alcohol-Related Deaths: Judicial Burden: Increased case backlog; over 2.14
Fewer fatalities from accidents and lakh cases under the Bihar Prohibition Act by
diseases. February 2020.
Decrease in Crime and Violence: Lessens Risks of Illegal Alcohol Consumption: People
incidents of violence, including domestic addicted to alcohol may resort to consuming hooch
abuse. which can be potentially fatal.
Challenges in Implementing Liquor Recommendations
Prohibition Policy Focus: Laws should encourage responsible
• Corruption: Local officials often alcohol use rather than complete bans.
collude with liquor mafias, Uniform Drinking Age: Implement and enforce a
ignoring illegal activities. standardized legal drinking age.
• Evolving Tactics: Smugglers Tougher Penalties: Strict enforcement against
constantly change their alcohol-induced misconduct, like drunk driving.
methods, making detection De-Addiction Programs: Allocate alcohol revenue for
difficult. public education and de-addiction initiatives.

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• Neighboring Regions: Smuggling from neighboring areas like Daman, which has high alcohol Student Notes:
consumption, undermines bans in states like Gujarat.
• Unemployment: Expert Criticisms of the DPSPs
Unemployed youth are Various experts have critiqued the Directive Principles of State
easily drawn into Policy for their inconsistencies and lack of clarity:
smuggling, with quick • Dr. Ivor Jennings (famous British lawyer) argued that the
replacements and easy Directive Principles, like the Fundamental Rights, are not
bail access. based on a consistent philosophy. He called them vague and
• Addiction: The ban difficult to interpret.
often increases • Prof. N. Srinivasan remarked, “It combines rather
demand, leading to incongruously the modern with the old, and provisions
dangerous suggested by reason and science with provisions based purely
consumption of illicit on sentiment and prejudice.” He pointed out the ambiguity in
alcohol. the principles, which becomes evident when critically
While liquor prohibition examined.
aims to reduce alcohol- • T.T. Krishnamachari, a member of the Constituent Assembly,
related harm, it has often famously described the DPSPs as a “veritable dustbin of
proved counterproductive. sentiments.” He acknowledged that while the directives
Policymakers should focus reflect the ideals of leaders like Gandhi and Nehru and are
on promoting moderation worthy of respect. They do not necessarily belong in the
and responsible alcohol Constitution.
use rather than outright o For instance, Article 47, which directs the state to
bans. prevent the consumption of intoxicating drinks and
drugs, though relevant to a welfare state, need not have
been codified in the Constitution.
These critiques highlight concerns over the practical application
and philosophical consistency of the DPSPs.

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2.6. Directives Outside Part IV Student Notes:

Certain DPSPs are outside part IV of Indian constitution:

1. Claims of SCs and STs to Services: The claims of the members of Scheduled Castes and
Scheduled Tribes to be considered in appointments, ensuring administrative efficiency in
Union or State affairs. (Article 335 in Part XVI).
2. Instruction in Mother tongue: It shall be the endeavor of every state and every local
authority within the state to provide adequate facilities for instruction in the mother-tongue
at the primary stage of education to children belonging to linguistic minority groups (Article
350-A in Part XVII).
3. Development of the Hindi Language: It shall be the duty of the Union to promote the spread
of the Hindi language and to develop it so that it may serve as a medium of expression for all
the elements of the composite culture of India (Article 351 in Part XVII).
The above Directives are also non-justiciable in nature. However, they are also given equal
importance and attention by the judiciary on the ground that all parts of the constitution must
be read together.
Conclusion
According to Justice Bhagwati, “The directive principles enjoy a very high place in the
constitutional scheme and it is only in the framework of the socio-economic structure envisaged
in the Directive Principles that the FRs are intended to operate..”
Thus, DPSPs while not enforceable by courts, act as guiding lights for the judiciary, influencing
judicial interpretation and decisions to ensure the State's commitment to reducing inequality,
providing adequate means of livelihood, and upholding social justice in every sphere of public
life.

3. Fundamental Duties
“The real freedom of any individual can always be measured by the amount of responsibility
which he must assume for his own welfare and security.”—Sir Robert Welch.
An Individual plays a vital role in a State and its welfare and is entitled to exercise rights. Duties
are counterparts of rights. Fundamental duties found their way into the Indian Constitution
through the 42nd Amendment (1976).

Article 51A of the Indian Constitution outlines the Fundamental Duties of citizens. They
include:
• To abide by the Constitution and respect its ideals and institutions.
• To cherish and follow the noble ideals of the freedom struggle.
• To uphold and protect the sovereignty, unity, and integrity of India.
• To defend the country and render national service when called upon.
• To promote harmony and the spirit of common brotherhood.
• To value and preserve the rich heritage of the nation's culture.
• To protect and improve the natural environment.
• To develop scientific temper, humanism, and the spirit of inquiry.
• To safeguard public property and abjure violence.
• To strive towards excellence in all spheres of individual and collective activity.
• To provide opportunities for education to children between the ages of 6 and 14 years
(added by the 86th Amendment).

Fundamental duties were not explicitly mentioned in the original constitution of India due to
following reasons:

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 1. Cultural Values: The concept of Dharma, deeply rooted in Indian society, meant that Student Notes:
citizens practiced basic values and duties inherently, without the need for legal
enforcement.
2. Preamble's Implicit Duties: The Constitution's Preamble includes both the aspirations and
assurances of the nation, implying that citizens should undertake whatever is necessary
to achieve these goals.
3. Logical Correlation: Fundamental Rights inherently suggest corresponding duties
essential for their realization; if rights are to be enjoyed, corresponding duties must be
performed.
To explicitly outline these responsibilities, the 42nd Amendment Act of 1976 added Part IVA
(Article 51A) to the Constitution, detailing the Fundamental Duties. The objective is to provide
a code of conduct for citizens, aligning their actions with the nation's goals and values.

Significance of Fundamental Duties

Fundamental Duties were incorporated with the purpose to:
• Promote patriotism in citizens
• Help them to follow a code of conduct that would strengthen the nation
• Protects its sovereignty and integrity
• Help the State in performing its diverse duties
• Promote ideas of harmony
• To ensure citizens commitments towards the State
• And to check indiscipline prevailing at that time.

3.1. Relationship Between Fundamental Rights And Fundamental

Duties
The relationship between Fundamental Rights and Fundamental Duties is one of mutual
dependence and balance. This mutual dependence can be better understood through the
following aspects:
1. Interdependence of Fundamental Rights and Duties
Fundamental Rights and Fundamental Duties are mutually dependent, as one cannot
function effectively without the other. Fulfilling one's duties gives individuals the moral right
to claim their basic rights. For example,
• The Right Against Discrimination (Article 15), Right to Freedom of Religion (Article 25), and
Right to Freedom of Speech and Expression (Article 19) are complemented by the Duty to
Promote Harmony and the Spirit of Common Brotherhood (Article 51A(e)).
o Rights Enable Personal Development, but Duties Ensure Collective Progress
While rights enable individual growth and personal development, duties ensure that this
personal development contributes to the broader societal good. For example:
• The Right to Freedom of Speech (Article 19) allows individuals to express their thoughts,
contributing to personal expression and development whereas duty to Develop Scientific
Temper and Humanism (Article 51A(h)) promotes rational thinking and social reform
ensuring collective progress.
o The State Protects Rights, but Citizens Must Uphold Duties for the State’s Strength
While the state is responsible for protecting Fundamental Rights of citizens, citizens also play
a crucial role in ensuring the state's strength and security.
• Fundamental Duties like upholding the sovereignty, unity, and integrity of India(Article
51A(c)) and safeguarding public property (Article 51A(i)) contribute to national security.
These duties contribute to the nation's strength and security, preventing the need for
emergency measures or martial law that could jeopardize individual rights.

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Thus, rights cannot be fully enjoyed unless accompanied by duties that ensure their responsible Student Notes:
exercise.

3.2. Enforceability of Fundamental Duties

Fundamental duties are not
Rights and Duties: Two sides of same coin
automatically enforceable. But
• The rule of jurisprudence is that every right has a
they can be enforced through
corresponding duty. Fundamental duties instill a
parliamentary legislation. The
sense of obligation and discipline amongst the
Parliament can establish penalties
citizens towards their duties. They serve as a constant
for non-compliance with these
reminder to the citizens that there exists a balance
duties. The effectiveness of this
between rights and duties and merely assertion of
provision relies on the
rights is incorrect without being responsible for
enforcement process and
abiding by one’s duties especially when the supreme
widespread awareness among the
law of the nation has prescribed those duties.
citizens.
• Recognizing fundamental rights and fundamental
3.2.1. Enforcement of Duties duties as two sides of the same coin, Supreme court
through Legislations has effectuated the fundamental duties through its
Justice Verma Committee (1999) judgements to create a responsible citizenry.
was set up to “work out a strategy as well as a methodology of operationalising a countrywide
programme for teaching fundamental duties in every educational institution as a measure of
in-service training”. The committee identified the existence of legal provisions for the
implementation of some of the Fundamental Duties. Here are some examples –
Fundamental Duties Various Legislations or Policies
Respect for national flag and • Legislations such as Prevention of Insults to National
national anthem Honour Act, 1971 and The Flag Code of India, 2002
to prevent insult and improper use of the National
Flag and the National Anthem.
To develop the scientific temper, • The National Education Policy (2020), Science and
humanism, and the spirit of inquiry Technology Policy (2003), and various educational
and reform. programs promoting scientific education.
Harmony and spirit of common • Various criminal laws like Unlawful Activities
brotherhood. (Prevention) Act deter enmity between and
encourage amity between different sections of
people on grounds of language, race, place of birth,
religion and so on.
• Further, provisions of protection of civil rights act,
1955 provides for punishment for offences related to
caste and religion. There are various other provisions
in RPA (representation of people act), IPC which
prohibits enmity among different groups.
To strive towards excellence in all Stand Up India initiative aims to promote excellence in
spheres of individual and collective innovation, entrepreneurship, and provide employment.
activity.
To defend the country and render Agnipath Scheme for soldiers below the rank of commissioned
national service when called upon to officers into the three services of the armed forces.
do so.
To protect and improve natural • Prevention of Cruelty to Animals Act, 1960
environment including forests, • Forest (Conservation) Act, 1980
rivers, lakes, wildlife and to have
• Environmental (Protection) Act, 1986
compassion for living creatures.

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3.2.2. Enforcement of Duties by courts Student Notes:

In Javed v. State of Haryana, the Supreme Court held that fundamental rights have to be read
with fundamental duties and the Directive Principles of State Policy and they cannot be read in
isolation. It held that the enforcement of fundamental rights is, in a way, dependent on the extent
or degree of care taken to follow fundamental duties. Because, if an individual has approached a
court of law to seek enforcement of his fundamental right, then the court may reject to do so if
it finds out that the individual has patently violated his fundamental duty. The case would then
not lean in his favour in such a situation.
• In Minerva Mill case, Supreme court highlighted that though non-justiciable, fundamental
duties are still regarded a rule of law that is expected to be followed. It held that “the
obligation exists prior to and independent of the mechanism of enforcement.”
The judiciary has on multiple occasions tried to ensure effectuation of fundamental duties:
Case Enforcement
Mohan Kumar • The government amended the service rules for All-India
Singhania & Ors. Vs. Services (Administrative, Forest, Police, etc.) as selectees/
Union of India & Ors., officers not were not taking training seriously, leading to
(1992) deterioration of the services.
• The changes were made to emphasize training, penalize
failure, and align with Article 51A (j) to ensure the
effectiveness of the country's higher civil services.
Vellore Citizens’ • Supreme Court recognized ‘The Precautionary Principle’ and
Welfare Forum Vs. the ‘The Polluter pays’ principle as essential features of
Union of India, (1996) ‘Sustainable Development’ and part of the environment law of
the country.
• Article 21, Directive Principles and Fundamental Duty clause
(g) of article 51A were relied on by the Supreme Court for
spelling out a clear mandate to the State to protect and
improve the environment and to safeguard the forests and
wild life of the country.
M.C. Mehta V. Union of • The Supreme Court held that under Article 51-A(g), it is the
India (1998) and M.C. duty of the central government to introduce compulsory
Mehta II (2000) teaching of lessons on protection and improvement of natural
environment in all the educational institution of the country.
• Similarly, in M.C. Mehta II (2000), the Court held that the duty
must be read in conjunction with Article 48A of the
Constitution, which imposes an obligation on the State to
protect the natural environment, and Article 21, which bars
disturbances to air, water, and soil necessary to sustain life.
S.N. Chouksey vs UoI, • The supreme court in its concluding statement said that “the
(National Anthem Citizens or persons are bound to show respect as required
Case), 2018 under executive orders relating to the National Anthem of
India and the prevailing law, whenever it is played or sung on
specified occasions”.
Apart from enumerated 11 fundamental duties in the constitution, Supreme court has taken
into account few additional duties in its judgements. Few examples are as follows:
Additional Duties Judgement
Duty to keep premises clean • Article 21 has been interpreted by the Supreme Court to
include the right to a clean environment. (Vellore
Citizens’ Welfare Forum case 1996)

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 Duty to help accident victims • In 2014, Supreme court urged the Union Government to Student Notes:
frame guidelines for protection of ‘Good Samaritans’, or
helpful bystanders, and a Standard Operating Procedure
for their implementation.
Despite their non-justiciable nature, fundamental duties can play a crucial role in judicial
interpretation of laws and policies. Courts can consider them as guiding principles when
evaluating the constitutionality of legislation or resolving disputes.

3.3. Criticism of Fundamental Duties

The Fundamental Duties have been
subjected to criticism on the basis of The NCRWC recommended that following new
the following: fundamental duties should be included in Article 51-A:
• Duty to vote at elections, actively participate in
• The list of duties is not exhaustive
the democratic process of governance and to pay
since some key duties are found
taxes;
amiss like casting vote, family
• To foster a spirit of family values and responsible
planning etc.
parenthood in the matter of education, physical
• Duties as enshrined in the
and moral well-being of children;
Constitution represent no
• Duty of industrial organizations to provide
consistent underlying theme.
education to children of their employees.
• They have been criticized as being
vague, ambiguous and mere moral percepts having little practical value due to their non-
enforceable character. For instance, following the noble ideals of the freedom struggle, the
phrase ‘composite culture’ etc.
• Some critics feel that it would have been more appropriate to include duties alongside FRs
since adding Fundamental Duties in a separate part of the Constitution has reduced their
value.
Despite the criticism from various corners, these fundamental duties have also proved significant
on the following counts:
Recommendations of Swaran Singh Committee
• They remind citizens of their duties that were not accepted
to the country, the society and
The Parliament may provide for the imposition of
fellow citizens while enjoying their
such penalty or punishment as may be considered
rights.
appropriate for any non-compliance with or refusal
• They are an important warning
to observe any of the duties;
against anti-social activities.
• They are a formidable source of No law imposing such penalty or punishment shall
inspiration to the citizens and be called in question in any court on the ground of
promote a sense of discipline and infringement of any of Fundamental Rights or on
commitment amongst them. the ground of repugnancy to any other provision of
• The Supreme Court has variously the Constitution;
used these duties to assess the Duty to pay taxes should also be a Fundamental
constitutionality of laws enacted by Duty of the citizens.
the legislature.
• Violation of fundamental duties is punishable since there are legal provisions available for
their enforcement.
The introduction of Fundamental Duties was meant to guide citizen behavior but must be
balanced with protecting individual rights. Emphasizing duties at the expense of rights risks
reinforcing existing inequalities and power imbalances. The Constitution's primary focus remains
on safeguarding individual freedoms and equality, ensuring that duties support rather than
detract from these core principles.

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 Student Notes:
SEPARATION OF POWERS BETWEEN VARIOUS
ORGANS
Contents
Previous Years' Questions (2013-24)............................................................................................ 76

Previous Years' Questions Analysis: (Avg. weightage: ~3.86%) .................................................... 76

1. Introduction ............................................................................................................................. 76

2. Features of the Doctrine of Separation of Power .................................................................... 76

3. Models of Separation of Power................................................................................................ 77

4. Separation of Power in India .................................................................................................... 77

4.1. Functional Overlap ............................................................................................................ 78

4.2. Mutual Checks on Various Organs of Government in India .............................................. 80

4.3. Constitutional Balances to Ensure Mutual Non-interference ........................................... 81

5. Separation of Power in Different Countries ............................................................................. 81

6. Instances Undermining the Separation of Powers in India ...................................................... 82

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 Student Notes:
Previous Years' Questions (2013-24)
• Resorting to ordinances has always raised concern on violation of the spirit of separation of
powers doctrine. While noting the rationales justifying the power to promulgate ordinances,
analyze whether the decisions of the Supreme Court on the issue have further facilitated
resorting to this power. Should the power to promulgate ordinances be repealed? (2015, 12.5
marks)
• What are the major changes brought in the Arbitration and Conciliation Act, 1996 through
the recent Ordinance promulgated by the President? How far will it improve India's dispute
resolution mechanism? Discuss. (2015, 12.5 marks)
• Do you think that Constitution of India does not accept principle of strict separation of
powers rather it is based on the principle of 'checks and balance'? Explain. (2019, 10 marks)
• Judicial Legislation is antithetical to the doctrine of separation of powers as envisaged in the
Indian Constitution. In this context justify the filing of large number of public interest
petitions praying for issuing guidelines to executive authorities. (2020, 15 marks)

Previous Years' Questions Analysis: (Avg. weightage:

~3.86%)
1. Doctrine in Indian Context: Understand that India follows a system of checks and balances
rather than a strict separation. Be able to explain this with examples.
○ PYQ Example: "'Do you think that Constitution of India does not accept principle of strict
separation of powers rather it is based on the principle of 'checks and balance'? Explain.
(2019, 10 marks)"
2. Areas of Friction: Focus on contemporary issues that highlight tensions between the
legislature, executive, and judiciary, such as ordinance-making power, judicial review of
legislative/executive actions, and judicial activism/legislation.
○ PYQ Example: "Judicial Legislation is antithetical to the doctrine of separation of powers
as envisaged in the Indian Constitution. In this context justify the filing of large number
of public interest petitions praying for issuing guidelines to executive authorities. (2020,
15 marks)"
3. Analytical and Current-Affairs Based: Questions are often analytical and require linking the
doctrine to current controversies or Supreme Court judgments.
○ PYQ Example: "Resorting to ordinances has always raised concern on violation of the
spirit of separation of powers doctrine...Should the power to promulgate ordinances be
repealed? (2015, 12.5 marks)"
------------------------------------------------------------------------------------------------------------------------------

1. Introduction
The separation of powers is
an organizational structure
in which responsibilities,
authorities, and powers are
divided between groups
(branches of government)
rather than being centrally held. The doctrine is rooted in a political philosophy that too much
power concentrated in the hands of few, without adequate checks and balances, increases the
likelihood of misuse of that power.

2. Features of the Doctrine of Separation of Power

The basic elements of separation of powers are:

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 Student Notes:

3. Models of Separation of Power

4. Separation of Power in India

The Indian constitution provides a third model of SoP due to its unique constitutional set-up.
The State itself is divided into three units—Union, State and local. Except at the local level, the
powers of these federal units are distributed into three organs viz. executive, legislature and
judiciary.
Such model of separation of power in India ensures broad division of power into three organs of
state at different levels (Centre and state) in such a way that instead of a domain being exclusively
with a specific branch (which may give rise to inconsistency), it rather makes it possible to have
a balance of this power and makes the government more democratic and effective.
The important aspects of Indian model of separation of power can be summerised as follows:
• Though the constitution does not explicitly define the separation of powers, it recognizes
three organs of the state viz. the executive, legislative and judicial bodies. Broadly, the
separation is as follows:
o The Legislature frames the laws.
o The Executive implements the laws.
o The Judiciary monitors the constitutionality and resolves the dispute.
• Unlike the constitution of the USA (which expressly vests powers to three organs of state
under Articles I, II, III), the constitution of India doesn’t expressly vest the different kinds of
power in the different organs of the state, except the executive powers of the President and
Governors.

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• There is no exclusivity in the nature of functions to be performed by various organs. There Student Notes:
is a functional overlap between the executive, legislative and judicial wings of the
Government.

In the ‘Re Delhi Laws Act case (1951)’, the Supreme Court observed that except where the
Constitution has vested power in a body, the principle that one organ should not perform
functions which essentially belong to others is followed in India. Later, in Kesavananda Bharati
case, the doctrine of “separation of powers” was acknowledged as an integral part of the basic
features of our Constitution.
Let’s look at the separation of power in India through study of functional overlaps and checks
and balances on various organs of state.

4.1. Functional Overlap

In India, the three organs of state enjoy their functional domain with some overlap. Let’s look at
such functional overlaps.
1. Functional overlap between Legislature and Judiciary:
Overlap with respect to legislative powers Overlap with respect to judicial
powers
Judiciary exercises certain legislative functions in The legislature besides exercising law-
following manners: making powers exercises judicial
• Through instruments like judicial review and powers in following cases:
PIL, judiciary has expanded the ambit of • Impeachment of the President.
fundamental rights, which is a legislative • Removal of judges.
function. For example, Right to clean • Breach of its privilege and the
contempt of legislatures.

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 environment has been incorporated into • The presiding officer of the House Student Notes:
Right to life (Article 21) recently. while discharging functions under
• The 'due process of law' concept introduced the Tenth schedule of the
in Articles 14 and 21 has granted the judiciary constitution acts as a tribunal.
vast powers to invalidate arbitrary or Jan Vishwas Act 2022 replaces
unreasonable part of legislations. criminal imprisonment with
• In the absence of legislation, courts have monetary penalties and transfers the
occasionally issued binding directives under authority to impose penalties for
Article 142 until appropriate legislation is offenses from the judiciary to the
enacted. For example, Supreme Court issued bureaucracy.
Vishaka guidelines regarding sexual
harassment at workplace.
2. Functional overlap between Executive and Legislature:
Overlap with respect to legislative powers Overlap with respect to
executive powers
• Bills originate with the executive and since the The legislature exercises certain
executive commands the majority in the legislature, limited functions of executive
it follows that executive predominates in the nature in following cases:
legislative process. Additionally, Article 245 doesn’t • MPLADS allocates five
provide or prohibit legislation by the executive. crore rupees to each MP
• Executive orders under articles 73 (union) and 162 per year, for sanctioning
(state) have an equal efficacy as an act of parliament development activities in
or state legislature respectively. Executive their constituencies.
legislation consequently covers a broad spectrum • Legislature can approve or
and the executive exercises such power when there disapprove execution of
is no legislation covering the field or as a delegate of national/State
the legislative bodies. development strategies.
• Additionally, article 123 and 213 respectively Example, Parliament and
provides power to union and state executive to various state legislatures
promulgate ordinances, when the legislature or is have approved financial
not in session and is satisfied that circumstances allocation for execution of
exist that necessitate immediate action. Smart Cities Mission.
3. Functional overlap between Executive and Judiciary:
Overlap with respect to judicial powers Overlap with respect to executive
powers
The executive exercises judicial powers under • The Supreme Court under
following provisions: Article 142 may pass a decree
• The President (Head of union executive) decides or order as is necessary for
on whether an MP has become disqualified. doing complete justice. Such
• The head of executive has the right to grant orders may interfere in
pardon or to modify the punishment of a functional domain of
convicted person on advice of his/her council of executive.
ministers. • The Higher judiciary can issue
• The executive has power to hold an inquiry into writs, orders or directions
charges against any person holding a civil post against the executive action.
under the Union or the State and to award
punishment (Article 311).
Thus, in Indira Nehru Gandhi v. Raj Narain, 1975, the Supreme Court of India observed that “in
the Indian Constitution, there is separation of powers in a broad sense only and a rigid separation
of powers does not apply to India.”

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4.2. Mutual Checks on Various Organs of Government in India Student Notes:

There is a robust system of checks and balances to ensure the healthy exercise of separation of
power.
1. Judiciary control of legislature:
‘Control’ by the judiciary of the other organs follows from the existence of a written
constitution and its power of judicial review. The judiciary has provided sufficient checks on
legislative actions through its various judgements.
• In Kihoto Hollohan Vs Zachillhu, the Supreme Court held that the finality of decision of
the presiding officer regarding disqualification due to defection doesn’t abrogate the
judicial review of the decision under A 136, 226, 227 of the constitution.
• Judicially developed constitutional concepts such as Basic structure doctrine (in
Kesavananda Bharti case), constitutional morality (in Navtej Singh Johar case), and ‘due
process of law’ have circumscribed legislative powers. In P Kannadasan V State of Tamil
Nadu, it was held, “the Constitution has invested the Constitutional Courts with the
power to invalidate laws made by Parliament and the state legislatures transgressing
Constitutional limitations.”
• In Lily Thomas 2013, Supreme Court held that disqualification of members of legislature
(under Articles 102 and 191) would take effect immediately upon their conviction.
2. Judiciary control of executive:
• The Supreme court has often issued directions for executive and at times set up
committees to monitor and oversee the implementation of its directions to executive.
For example, in Ram Jethmalani Vs UoI 2011, court formed a committee to investigate
the impact of Pegasus on citizens’ right to privacy.
• Courts have often placed a check on arbitrary executive actions. For example, in
Rameshwar Prasad case (2006), the Supreme Court held that proclamation of President
rule was subject to judicial review and relevant material must exist to justify the issue of
Proclamation.
• The collegium system for judicial appointments maintains judicial independence by
limiting executive influence on selection of judges.
3. Legislature control on executive:
Legislative organ exercises control and check over executive through following instruments:
• Question hours, debates, motions and parliamentary committees to exercise control
over policies and budgets.
• Parliament is responsible for scrutinizing the finances of the Executive by: (i) approving
the levy of taxes and expenditure of the government, and (ii) examining if the approved
expenditure has been spent properly.
• The executive is accountable to Parliament and can be dismissed by a vote of no
confidence.
4. Legislature control on judiciary:
• 42nd Constitutional Amendment Act 1976 introduced Article 323A and 323B which
authorize parliament and state legislatures to create tribunals for adjudication of
disputes on various subjects while excluding the jurisdiction of courts and power of
judicial review.
• The power of impeachment of judges lies with the Parliament.
5. Executive control on Judiciary:
• The President of India decides on who is to be appointed as a judge of Supreme Court
or High Court.
• Executive also controls the appointment and service conditions of the District judiciary.
• Executive has the power to prosecute judges for offences under the Prevention of
Corruption Act (K Veeraswami case 1991).

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 Student Notes:
6. Executive control on legislature:
• President and Governor enjoys certain veto powers regarding bills originating from
Parliament and state legislature respectively.
• The prior recommendation of the executive is required to introduce a bill on certain
matters such as a bill for formation of new states or to alter boundaries or names of
existing states, money bill etc.
• The President and the Governor can summon, prorogue both Houses of Parliament and
state legislatures respectively and dissolve the House of People or state legislative
assembly respectively.

4.3. Constitutional Balances to Ensure Mutual Non-interference

Apart from such checks and control, the constitution of India has provided various provisions to
ensure non-interference into working of each organ of state.
• Provisions for legislature:-
o Article 122 and 212 provides that the validity of proceedings in Parliament and the State
Legislatures cannot be called into question in any court. This ensures the separation and
immunity of the legislatures from judicial intervention on the allegation of procedural
irregularity.
o To ensure that legislators scrutinize the Executive without any influence, the Constitution
provides that an MP/MLA may be disqualified for holding an office of profit under the
government.
• Provisions for judiciary:- Further, Articles 121 and 211 provide that the judicial conduct of a
judge of the Supreme Court and the High Courts cannot be discussed in the Parliament and
the State Legislatures.
• Provisions for executive:- Article 361 provides that the President or the Governor shall not
be answerable to any court for the exercise and performance of the powers and duties of
his office. Also no criminal proceedings whatsoever can be instituted or continued against
the President, or the Governor of a State, in any court during his term of office. Further, no
process for the arrest or imprisonment of the President or the Governor can be issue from
any court during his term of office.
These mechanisms collectively uphold a democratic equilibrium, ensuring that no branch
oversteps its constitutional boundaries.

5. Separation of Power in Different Countries

USA UK
• It has a more rigid separation of powers. The US • The UK has a loose model of
Constitution expressly vests the legislative, the SoP due to unwritten nature of
executive and the judicial powers in the Congress, constitution and
the President and the judiciary in Articles I, II and III parliamentary supremacy that
respectively. limits judicial power of review.
• Unlike India, the President of USA doesn’t have • However, the judiciary
ordinance making power. remains independent and can
• Though the President of USA can veto legislation review executive actions,
passed by the Congress, Congress can override the maintaining some level of
veto with a two-thirds majority in both houses. checks and balances.

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 Student Notes:
6. Instances Undermining the Separation of Powers in India
In practice, the separation of power has been undermined due to following practices:
• Exclusion of judicial review through the Ninth schedule: Legislature continues to put laws
under the Ninth schedule to shield them from judicial review. Currently, over 284 such laws
are shielded from judicial review.
• Judicial intervention in other’s domain: There have been some cases where the courts have
issued laws and policy related orders through their judgements. These includes:
o In 2016, Supreme Court banned the sale of liquor within 500 metres of the outer edge
of national and State highways, which is a functional domain of executive.
o In 2011, the court had appointed a high-level Special Investigation Team (SIT) to monitor
the investigation and the steps being taken to bring back black money stashed away in
foreign banks.
• Tribalization of justice: Many tribunals have a majority of executive members. The
qualifications, appointments, and service conditions of tribunal members are determined by
the executive. They also lack security of tenure. Combinedly, such provisions hamper the
independence of tribunals and negate the constitutional spirit of separation of judiciary from
the executive.
• Excessive promulgation of ordinance: Frequent promulgation of ordinances undermines
encroaches on legislature’s functions. It has been used as a mechanism to bypass legislative
scrutiny. For example, Bihar’s Land Reforms Ordinances were re-promulgated many times
between 1967 and 1981. Thus, in DC Wadhwa v. State of Bihar (1986), the Court criticized
the repeated re-promulgation as a "fraud on the Constitution." Court’s directions have
helped in reduction of the number of ordinances promulgated in recent times. For example,
in the last 10 years the average number of ordinances issued per year by Union executive is
6.
• Issues with Delegated legislation: Delegated legislation lack parliamentary scrutiny and
oversight. Few delegated legislations have been criticized to work against the spirit of parent
laws. For example, Environment Impact Assessment (EIA) Draft Notification, 2020 is
criticized for dilution of environmental norms and procedures. In order to strengthen
Parliamentary control over delegated legislation, Parliament has constituted a committee on
subordinate legislation. It has made the following main recommendations:
o The legislative policy must be formulated by the legislature and details may be left to the
executive to supply
o There should not be an inordinate delay in making of rules by the administration and
should be made within six months from the date of commencement of the Parent Act.
o Rules should not go beyond the rulemaking power conferred by the Parent Act.
o The language in which the rules are written should be simple and clear and all
ambiguities are strictly to be avoided.
o The power of judicial review should not be taken away or curtailed by rules.
Conclusion
Montesquieu’s separation of powers aimed to prevent concentration of authority, safeguarding
justice, freedom, and individual liberty. However, in modern governance, effective operation
requires cohesion and cooperation among branches. Judicial oversight can address executive or
legislative gaps, protect rights, and ensure justice. Thus, a broad separation with functional
overlap and robust checks and balances best promotes public welfare in India’s democracy.

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 Student Notes:
UNION AND STATE EXECUTIVE
Contents
Previous Years' Questions (2013-24)............................................................................................ 84

Previous Years' Questions Analysis: (Avg. weightage: ~4.25%) .................................................... 84

1. Introduction ............................................................................................................................. 84

2. Union Executive........................................................................................................................ 84

2.1. President ........................................................................................................................... 85

2.1.1. Election of President vis-à-vis that in other countries ............................................... 85

2.1.2. Powers of the President ............................................................................................. 87

2.2. Vice-President ................................................................................................................... 91

2.2.1. Election....................................................................................................................... 91

2.2.2. Role as Chairman of Rajya Sabha ............................................................................... 92

2.2.3. Office of Indian Vice President Vs American Vice President ...................................... 92

2.3. Prime Minister and Council of Ministers........................................................................... 93

2.3.1. Powers & Functions of PM ......................................................................................... 93

2.3.2. Cabinet ....................................................................................................................... 93

2.3.3. Cabinet Committees................................................................................................... 95

2.3.4. PMO ........................................................................................................................... 95

3. State Executive ......................................................................................................................... 96

3.1. Governor ........................................................................................................................... 97

3.1.1. Issues related to Appointment ................................................................................... 97

3.1.2. Powers & Functions.................................................................................................... 98

3.1.3. Suggested reforms ................................................................................................... 101

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 Student Notes:
Previous Years' Questions (2013-24)
• Instances of President's delay in commuting death sentences has come under public debate
as denial of justice. Should there be a time limit specified for the President to accept/reject
such petitions? Analyse. (2014, 12.5 marks)
• The size of the cabinet should be as big as governmental work justifies and as big as the Prime
Minister can manage as a team. How far is the efficacy of a government then inversely related
to the size of the cabinet? Discuss. (2014, 12.5 marks)
• Critically examine the procedures through which the Presidents of India and France are
elected. (2022, 15 marks)
• Discuss the essential conditions for exercise of the legislative powers by the Governor. Discuss
the legality of re-promulgation of ordinances by the Governor without placing them before
the Legislature. (2022, 15 marks)

Previous Years' Questions Analysis: (Avg. weightage:

~4.25%)
1. Focus on Key Functionaries: Questions typically revolve around the powers, functions, and
roles of the President, Vice-President, Prime Minister, Council of Ministers, and Governor.
○ PYQ Example: "Instances of President's delay in commuting death sentences has come
under public debate as denial of justice. Should there be a time limit specified for the
President to accept/reject such petitions? Analyse. (2014, 12.5 marks)"
2. Constitutional Provisions and Conventions: Master the constitutional provisions governing
the executive, including their discretionary powers (especially Governor) and the role of
parliamentary conventions.
○ PYQ Example: "Discuss the essential conditions for exercise of the legislative powers by
the Governor. Discuss the legality of re-promulgation of ordinances by the Governor
without placing them before the Legislature. (2022, 15 marks)"
3. Contemporary Issues: Link your preparation to current events involving the executive, such
as debates around the Governor's role, cabinet formation, or presidential actions.
--------------------------------------------------------------------------------------------------------------------

1. Introduction
The Political Executive consists of elected or appointed representatives who derive their
authority from the people's mandate. At the national level, this includes the President, Prime
Minister, and Cabinet Ministers. At the state level, it comprises the Governor, Chief Minister,
and other ministers. These executives are responsible for formulating policies, making high-level
decisions, and shaping governance.
In this chapter, we shall discuss only selected UPSC Mains relevant topics pertaining to this unit.

2. Union Executive

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2.1. President Student Notes:

The President of India is the Head of State, nominal head of the Union Executive, the first citizen
of India, the Supreme Commander of Indian Armed Forces.

2.1.1. Election of President vis-à-vis

that in other countries Why Did the Constituent Assembly Vest
Sovereignty in the President and Not in Any
• The President of India is elected Other Institution?
indirectly. The qualifications are that
s/he must: The office to which the sovereignty of the
o Be a citizen of India. people should be vested was debated in the
o Have completed 35 years of age. Constituent Assembly.
o Be qualified to contest elections as Shri Mahavir Tyagi a member of constituent
a member of the Lok Sabha. assembly argued that a government in a
o Not hold any office of profit. democracy can’t be full representative of the
• An Electoral College votes for the ‘total population’ but represent the majority
Presidential election following the party in the country.
system of proportional representation Also, Parliament couldn’t represent the total
by means of a single transferable vote people as it included the Council of States which
system and secret ballot system. was representative only of the majority parties
• The members of Electoral college for in the states. Thus, sovereignty of people can’t
the election of the President consists be vested in the government or the parliament.
of:
So, he wanted the President not only as the
o Elected Members of both the
Head of the State but also a symbol of the
Houses of Parliament.
sovereignty of the people. This was agreed by
o Elected members of Legislative
other members as well.
Assemblies of States.
o Elected members of the legislative assemblies of the Union Territories of Delhi and
Puducherry.
Rationale Behind Indirect Election of The President
• Our constitution-makers had debated and favored the Parliamentary system mainly due
to familiarity with the system and their preference for a more responsible government
over a more stable government.
Dr. Ambedkar also favored indirect election and argued that:
• Unlike the President of the United States, the President of India lacks any of the direct
executive or administrative powers.
• It would be difficult to conduct an election of such a vast scale in the setting of limited
resources. Since, the constitution envisaged the President as a nominal head, such an
expenditure in a resource-limited newly independent country would be wasteful.

Election of President in USA Election of President in France

The United States follows a federal republic France operates under a semi-presidential
system, where the President is elected representative democratic republic system,
through an indirect process involving the where the President is elected by popular
Electoral College. Voters technically elect vote for a five-year term.
electors who then vote for the President. The The election involves two rounds of voting,
two-party system (Democrats and with a majority required to win in the first
Republicans) dominates the election, round. If no candidate achieves a majority,
although other parties can also participate. the top two candidates compete in the
The election process is designed to balance second round. The French system aims to

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 Student Notes:
the popular vote with state representation, ensure the President has broad national
ensuring each state's influence is proportional support while maintaining a separation of
to its population. powers with the Prime Minister handling
Step-by-Step U.S. Presidential Election domestic issues.
Process: Step-by-Step Process of French Presidential
• Primaries & Caucuses: Candidates from Elections
the main political parties (Democrats & • Pre-Campaign Phase: Candidates
Republicans) campaign to win the support prepare for the race by organizing events,
of party members. This involves primaries speeches, and rallies to gather support.
(voting) and caucuses (discussions and • Primaries (Primaires): Some parties hold
votes) held in various states. primaries (internal elections) to select
• National Conventions: After the primaries their official candidate. These are open to
and caucuses, each party holds a national party members or the public, depending
convention where delegates (individuals on the party.
selected to represent the voters of their • First Round of Voting (Premier Tour): In
state or territory) select the final the first round, voters choose from all
presidential nominee. The nominee candidates. If a candidate gets more than
chooses a Vice Presidential candidate. 50% of the vote, they win. Otherwise, the
• General Election: Citizens vote for a top two candidates move to the second
President and Vice President. Voters round.
choose electors who represent the • Second Round of Voting (Deuxième
candidates in the Electoral College. Tour): The top two candidates face off in
• Electoral College: Each state has electors the deuxième tour. The candidate with
based on its congressional representation. the most votes wins.
There are 538 electors, and a candidate • Inauguration: The winner is inaugurated
needs 270 votes to win. Electors cast their as President for a five-year term,
votes for the President, and the candidate overseeing foreign and defense policies,
with the majority becomes President for a while domestic policies are managed by
four-year term. the Prime Minister and National
Assembly.

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2.1.2. Powers of the President Student Notes:

2.1.2.1. Veto Power of the President

Type of Veto Description
Absolute • If the President refuses assent, the bill can’t become law, notwithstanding
Veto any vote of Parliament.
• Normally, exercised in case of “Private members bill.”
• In the case of Government bill, it is exercised, where after passage of bill
by Parliament, the Ministry resigns (before assent by President) and the
next council of ministers advises President to use veto against the bill.
• Example- Absolute veto was utilised by Dr Rajendra Prasad against
PEPSU Appropriation bill.
Qualified • When Veto can be overridden by an extraordinary majority of the
Veto legislature.
• But if it fails to obtain a 2/3rd majority, Veto stands and the bill fails to
become a law.
• Not available to Indian President. Available to American President.
Suspensive • President got it through the 44th Constitutional Amendment Act.
Veto • If President, instead of refusing assent, remits for reconsideration with a
message for both Houses, a re-passage of the bill by “Ordinary” majority
would compel President to give his assent.
• This Veto is not available in case of Money Bill.
Pocket Veto • President can put the bill in his pocket indefinitely.
• Article 111 simply says that if President wants to return the bill, he should
return “as soon as possible”.
• Example- In 1986, President Zail Singh exercised the pocket veto with
respect to the Indian Post Office (Amendment) Bill.
Note:- The President has no veto power in respect of a Constitutional Amendment Bill. The
24th Constitutional Amendment Act, 1971 made it obligatory for the President to give his
assent to a constitutional amendment bill. So, a constitutional amendment bill can only be
ratified (can’t be rejected or returned).

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2.1.2.1.1. Veto power wrt bills from state legislature Student Notes:
When a bill passed by a State legislature is reserved by the Governor for consideration of the
President, the President can:
• Give his assent to the bill, or
• Withhold his assent to the bill, or
• Direct the Governor to return the bill (if it is not a Money bill) for reconsideration of the State
Legislature.
o Note:- It is not obligatory for the President to give his assent even if the bill is again
passed by the State Legislature and sent again to him for his reconsideration.
President's Role in Bills Reserved for Consideration (Article 201)
The Supreme Court, in a
landmark ruling in April 2025
concerning the Tamil Nadu
Governor, has clarified the
powers and limitations of the
President under Article 201.
• No Indefinite Delay: The Court clarified that the President cannot indefinitely delay a
decision on a state bill reserved for consideration. Such inaction is subject to judicial
scrutiny.

• Advisory Opinion (Article 143): The Court stated that if a Governor reserves a bill for the
President on the grounds of it potentially being unconstitutional, the President "ought to"
seek the Supreme Court's opinion under Article 143. While not strictly mandatory, the
Court indicated this course holds high persuasive value for ensuring constitutionality.
• Limitation on Reservation: It is important to note (as relevant to the Governor's powers
discussed later in the Unit of State Executive) that a bill re-passed by the State Legislature
cannot be reserved for the President's consideration by the Governor; assent is mandatory
in such cases.
2.1.2.1.2. Differences between Veto Power of President of India and President of USA
USA INDIA
o The President gets 10 days o No such time limit prescribed by Indian
(excluding Sundays) to sign a bill constitution. Indian President has Pocket Veto.
passed by Congress. Hence, no
Pocket Veto.
o When the President returns the o Qualified Veto is not available to the President
legislation to the House, such a veto of India. If the President, instead of refusing
can be overridden only by a 2/3rd assent, returns the bill for reconsideration with
vote in both the Senate and the a message for both Houses, a re-passage of the
House. bill by “Ordinary” majority would compel the
President to give his assent (Suspensive Veto).
It is not available for the Money Bills.
o The President of the USA doesn’t o The President of India enjoys veto power over
enjoy veto over state legislation. state legislations, provided the Governor had
reserved the bill for reconsideration of the
President (Article 201). Post such reservation,
the Governor loses further role in the
enactment of the bill.

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2.1.2.2. Aid and Advice of Council of ministers to the President Student Notes:

Article 74, which provides that:

Assertive Presidents
• There shall be a Council of
In reality, barring a few Presidents like Fakhruddin Ali
Ministers, with the Prime Minister
Ahmed (1974–1977) and V. V. Giri (1969–1974), who
as its head, to aid and advice the
largely acted as rubber stamps, often approving
President.
government decisions without question, the
Here the word “shall” mean that the functioning of the Office of the President has not
Constitution doesn’t envisage a been that of a mere symbolic head.
situation wherein the President can
Instances of assertiveness began with the first
act without the aid and advice of the
President, Rajendra Prasad (1950–1962), who used
Council of Ministers.
the pocket veto against the Hindu Code Bill, and S.
2.1.2.2.1. Is ‘aid and advice’ subject Radhakrishnan (1962–1967), who sought the
to judicial review? Henderson-Brooks Report during the Sino-India War.
Article 74(2) of the Indian Constitution This growing assertiveness became more evident
prohibits courts from inquiring into with Presidents like Zail Singh (1982–1987) and K. R.
the advice given by the Council of Narayanan (1997–2002), who were unafraid to
Ministers to the President. However, challenge government actions and demand
the Supreme Court has provided accountability. Their actions reflected a shift toward
clarifications in certain judgments: interpreting the presidency as a role with
• S.R. Bommai Case (1994): The constitutional checks rather than mere ceremonial
Court held that while Article 74(2) duties.
bars courts from reviewing the
advice itself, it does not prevent scrutiny of the material on which the advice is based. This
means that courts can examine the factual and legal basis of the advice given to the
President.
• Kartar Singh v. State of Punjab (1994): The Court reiterated that judicial review can extend
to examining the material supporting the advice, subject to provisions of the Evidence Act.
This distinction was made between the advice itself and the material on which the advice
is based.
Thus, the Supreme Court's stance in both cases distinguishes between the "advice tendered"
and the "materials" on which the advice is founded. While the advice itself remains beyond
judicial scrutiny, the material evidence supporting it can be subject to judicial review.
2.1.2.2.2. Discretionary Powers
The discretionary power of the President refers to the situations where the President can act
according to their own judgment, without being bound by the advice of the Prime Minister or
Council of Ministers.

Does the President enjoy any Discretionary Power?

• The 42nd Constitutional Amendment Act (CAA), took away the discretionary power of the
President and made it obligatory for the President to
act on aid and advice of Council of ministers. Article 74 (1): “President ‘shall’
• The 44 Constitutional Amendment Act, 1978 allowed abide by the aid and advice of
th

the President to require the Council of Ministers to the Council of Ministers headed
reconsider such advice once. Following its by the Prime Minister.”
reconsideration, the President is bound to act in (42nd CAA: Replaced ‘may’ by
accordance with such advice. ‘shall.’)
• So, the President doesn’t have any constitutional
discretion but only situational discretion.

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 Student Notes:
Situational Discretion
When the President acts on his/her own discretion and without any Ministerial advice, this is
called as situational discretion of the President. S/he can act without ministerial advice in
following cases only:
• Appointment of a PM from among contenders when no single party has a majority in the
Lok Sabha.
• When a Council of Ministers is voted out/resigns and recommends dissolution of the Lok
Sabha. As per Article 75 (2), if the PM who loses the confidence of the Lok Sabha, refuses to
resign, the President may dismiss him or refuse to consider the advice.
• If a PM advises the President to dissolve the Lok Sabha prematurely to ensure a snap
election, the President may refuse or agree.
• Sudden death of the Prime Minister, which causes automatic dissolution of Council of
Ministers, the President can act until new PM comes.
• Return the advice of the Council of Ministers/ Bill passed by the Parliament once for
reconsideration.
Note:- In comparison to the President, Governors enjoy more discretionary powers.

2.2.2.3. Should India adopt the Presidential System of Government?

The Constituent Assembly had
made an informed choice after
considering both the British
model and the American model.
However, debate regarding need of the Presidential form of government has been raised in India.

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 Student Notes:

2.2. Vice-President
The office of Vice-President was established to address potential governance disruptions
arising from the President's unavailability to perform official duties (colonial experience during
Viceroy Successions).
The office of Vice-President is, in some respects, a unique feature of Union Executive. There is
no such office in other parliamentary executives; for example, there is no such office either in
England, or in Ireland. Even in the States of the Indian Union, there is no post equivalent to a
Deputy Governor.
2.2.1. Election
Article 66 of Constitution provides for the election process of the Vice President of India.
2.2.1.1. Comparison of Elections of the President and the Vice-President of India
President Vice-President
• Electoral college: • Electoral college:
o Elected members of Lok Sabha and o All MPs of Lok Sabha and Rajya Sabha
Rajya Sabha. (Elected + Nominated)
o Elected members of State/UT o MLAs don’t participate in the
legislative Assemblies. election of the Vice-President.
• The value of each vote is different in • The value of each vote is the same in Vice-
Presidential election. Presidential election.
• For nomination, at least 50 electors as • A candidate needs at least 20 electors as
‘Proposers’ and 50 electors as proposers and at least 20 electors as
‘Seconders’ are required. seconders for nomination.
• Voting takes place at multiple locations • Voting takes place in the Parliament.
as elected MLAs also form part of the
electoral college.

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2.2.2. Role as Chairman of Rajya Sabha Student Notes:

According to Article 65(1), the Vice-President acts as the President when the office of the
President is vacant. S/he continues to act as the President until the President resumes the office
or a new President enters upon the office. The chief role of Vice-President is as ex-officio
Chairman of the Rajya Sabha.

2.2.3. Office of Indian Vice President Vs American Vice President

Though the concept of Vice-President has been taken from the USA, there are significant
differences.
Aspect Vice-President of the USA Vice-President of India
Role in The Vice-President of the USA serves as Acts as the ex-officio
Legislative Body the President of the United States Chairman of the Rajya Sabha,
Senate, the Vice-President rarely with authority to interpret the
actually presides over the Senate. Constitution and Rules of
Procedure for the House.
Succession to The primary responsibility of the Vice- The Vice-President acts as the
Presidency President is to be ready at a moment’s President only temporarily
notice to assume the Presidency if the during a vacancy until a new
President is unable to perform their President is elected. The role is
duties, earning the phrase "a heartbeat limited to exigencies.
away from the Presidency."
Duties Beyond The duties of the Vice President, outside The duties of the Vice-
Constitutional those enumerated in the American President are strictly
Role constitution, are at the discretion of the constitutionally mandated.
President. S/he cannot be assigned any
Each Vice-President approaches the role additional functions by the
differently—some take on a specific President or Parliament.
policy portfolio, others just serve as a
top advisor to the President.
Election Process The Vice-President is elected along with The Vice-President is elected
the President by the same Electoral separately by an Electoral
College, with electors casting one vote College consisting of MPs from
for the President and one for the Vice- both Houses of Parliament.
President.

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 Student Notes:
Allegation of partisanship against the Vice-President
• 60 Rajya Sabha MPs, primarily from the Opposition, have expressed a lack of confidence
in Chairman Jagdeep Dhankhar and have given notice for a resolution to remove him.
• The Opposition citeed Mr. Dhankhar’s rulings and public statements as evidence of
partisanship, creating a damaging trust gap.

2.3. Prime Minister and Council of Ministers

The Union Council Idea of ‘Collective Responsibility’
of Ministers is the Supreme court in Common Cause, A Registered Society v. Union of
principal executive India: "Collecting Responsibility" has two meanings:
body of the • All members of a government are unanimous in support of its
Government of policies and would exhibit that unanimity on public occasions
India, responsible although while formulating the policies, they might have
for formulating and expressed a different view in the meeting of the Cabinet.
implementing • Ministers who had an opportunity to speak for or against
policies and the policies in the Cabinet are thereby personally and morally
decisions. This responsible for its success and failure.”
Council of Ministers Even if the individual minister may not be personally responsible, s/he
is headed by the will be deemed to share the responsibility with those who may have
Prime Minister. actually committed some wrong.

2.3.1. Powers & Functions of PM

The office of Prime Minister derives its existence from Articles 74 and 75 of the constitution. The
office has following key responsibilities:

2.3.2. Cabinet
The Cabinet is the top decision-making body of the government, consisting of the Prime Minister
and other senior ministers (Cabinet ministers only). It derives its existence from Article 75.
USA India
Similarities
• The original constitution of America • The original text of the Constitution of
doesn’t explicitly establish a cabinet. It is India doesn’t mention the Cabinet.

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 established in Article II of the US (Inserted via Article 352 by 44th Student Notes:
Constitution. Constitutional Amendment Act 1978)
• The members of the cabinet serve at the • The members of the cabinet serve at the
pleasure of the President. pleasure of the President.
• It is the principal advisory body to the • It aids and advises the President of India.
President of the USA.
Differences
● The Vice-President of America is part of ● The Vice-President of India is not a part of
the Cabinet. the Cabinet.
● The President of America is not formally ● The Prime minister of India heads the
a part of the cabinet, though he chairs Cabinet.
the Cabinet meeting.
● The number of members is fixed. The ● The number of members is not fixed.
Cabinet includes the Vice-President, the While the size was 22 in the beginning, it
heads of 15 executive departments and 9 was expanded to 31 during Indira
cabinet level members (Total-25) Gandhi’s government to 36 during UPA-2
government.

Has Cabinet system resulted in the marginalization of the parliamentary supremacy?

Certain trends have raised
concerns about the erosion of
parliamentary authority and
the concentration of power
within the Cabinet.
• Decline in Parliamentary Debates: In the 17th Lok Sabha (2019–2024), 58% of bills were
passed within two weeks of their introduction, and 35% were passed with less than an
hour of discussion in Lok Sabha, highlighting the lack of depth of legislative discussions.
• Reduced Role of Parliamentary Committees: The proportion of bills referred to
parliamentary committees has significantly decreased.
o E.g., during 17th LS, only 16% of Bills were referred to Committees for detailed scrutiny
(lower than that in previous three Lok Sabhas).
• Centralization of Power in the Cabinet and PMO: Over time, power has concentrated in
PMO, marginalizing parliamentary influence. The PMO has taken unilateral decisions, such
as the 2023 Agnipath Scheme, with minimal parliamentary discussion or consultation.
• Executive Control over Legislative Agenda: The Cabinet controls the parliamentary
agenda, limiting the opportunity for private member bills and opposition-led discussions.
o E.g., of 729 Private member bills introduced in 17th LS, only 2 were discussed and none
passed. Between 2019 and 2023, on average, about 80% of the budget has been
voted on without discussion. In 2023, the entire budget was passed without
discussion.
• Erosion of Question Hour: The Question Hour, a crucial tool for parliamentary oversight,
has been frequently curtailed.
o E.g., during 17th LS, Question Hour functioned for 60% of scheduled time in Lok Sabha
and 52% in Rajya Sabha.
• Weakening Role of Opposition: Opposition parties have struggled to hold the government
accountable due to reduced debate time and frequent walkouts.
o E.g., during 17th Lok Sabha, MPs were suspended on 206 instances, across both
Houses of Parliament. Also, Instances of evading questions, ignoring sub-parts,
providing misleading responses by ministers highlight decrease in parliamentary
supremacy.

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 • Strategic Use of Ordinances: Though the frequency of ordinances has decreased in recent Student Notes:
years, government has used the ordinance route strategically to bypass parliamentary
debates.
o E.g., introduction of farm laws through ordinance route.
However, parliamentary supremacy and oversight is still evident through following instances:
• Use of No confidence motion: The 17th Lok Sabha saw one no-confidence motion moved
against the government with discussions lasting 20 hours.
• Judicial review mechanism: Though less common, Supreme Court has examined poorly
drafted legislations and regulations, declaring them ultra vires. E.g., Court declared the
UGC regulations regarding University Vice-Chancellors (VCs) as ultra vires the UGC Act,
1956.
To restore the balance of power, there is a need for reforms that ensure greater legislative
scrutiny, enhance the role of opposition parties, and reinforce the mechanisms of
parliamentary oversight.
2.3.3. Cabinet Committees
Cabinet Committees are smaller, extra-constitutional groups formed to address specific
governance issues. While not mentioned in the Constitution, Article 77 empowers the President
to establish rules for their functioning. The Prime Minister forms Standing Committees and
assigns them specific tasks under these rules.
2.3.3.1. Functions
Cabinet committees carry out following important functions:
• Coordination and in-depth analysis of all important policies, programs, and decisions of the
Government.
• Due to their small size, effective deliberations are possible.
• Helps in making political control over public services more effective. Public servants are called
to justify their proposals and comments, and thus a platform for interaction between
political leaders and bureaucrats is provided through such committees.
2.3.3.2. Types

2.3.4. PMO
The Prime Minister’s Office (PMO) was originally called the Prime Minister’s Secretariat until
1977, when it was renamed during the Morarji Desai administration. The PMO provides

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secretarial assistance to the Prime Minister and is headed by the Principal Secretary to PM. Student Notes:
PMO works with the PM and on
behalf of the PM. It has the
following functions:
• PMO acts as a link between
the PM and ministers, the
President, the Governors,
the Chief ministers and
ambassadors.
• PMO basically covers all
subjects and activities that
are not categorically allotted
to any individual ministries /
departments.
• Of late, PMO has become the
‘think tank’ for the PM.
• High-level appointments, one of the most crucial instruments of power in the government,
often rest with the Principal secretary/advisor to the PM.
Despite its strength and
effectiveness, the PMO has PMO Cabinet Secretariat
raised concerns about over- Serves as the secretariat to the Serves as a secretariat to the
PM as the Head of the PM as the Head of the Cabinet.
centralization of power, often
Government.
functioning as a parallel
Focuses on coordinating the role Focus on coordinating the role
decision-making body, of PM. of Cabinet Ministers as a whole.
reducing the role of the
Cabinet Secretariat and diminishing the traditional role of ministries in policy formulation. In
2005, the Delhi High Court questioned the PMO's authority to frame guidelines on construction
in the Lutyens' Zone.
THE STATE
3. State Executive EXECUTIVE
Like the Union executive at the union level, our THE COUNCIL
THE THE ADVOCATE
constitution provides for ‘state executive’ at the OF MINISTERS GENERAL OF THE
GOVERNO HEADED BY THE STATE
state level. In the part VI of constitution, Articles R CM
153 to 167 deals with ‘The State Executive’.

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3.1. Governor Student Notes:

As per Article 155, the Governor is appointed by the President of India. In recent years, the
political role of Governors has sparked numerous controversies, frequently highlighting concerns
regarding their appointments.
3.1.1. Issues related to Appointment
The Constituent Assembly members, such as Ambedkar, Nehru, KM Munshi, etc., argued that
persons so appointed would be:
• Above-party politics.
• Detached outsiders.
• Eminent in their achievements, and
• With no reason to meddle in the everyday affairs of the States, they formally headed.
While the Constituent Assembly expected that conventions would evolve to ensure fair and
transparent appointments, protecting the autonomy of states, the process has not always
adhered to these ideals.
Several controversies have arisen over the years due to deviations from the expected
conventions:
• Partisan Appointments: Governors
who are loyal to the ruling party at
the Centre have often been
appointed, raising questions about
their neutrality.
• Appointment of Politicians in Neighbouring States: Politicians active in one state have
sometimes been made Governors of neighbouring states, leading to concerns about political
bias and interference.
• Connection to Active Politics: Many appointees have maintained their ties with active
politics and, in some cases, have even returned to electoral politics after serving as
Governors, affecting the impartiality of the office.
To overcome these issues, the following suggestions have been put forth:
• Neutrality in Appointments: The Sarkaria Commission (1983-1988) rejected the demand for
selection of governor from a panel of names given by the state governments. However, it
suggested that:
o Active politicians should not be appointed governors.
o The Governor of a state should be outside of the state.
o The Chief Minister should be consulted before appointing the Governor for proper
working of the parliamentary system.
Punchi commission on Governor’s
• Institutional Mechanisms: The Second
appointment
Administrative Reforms Commission (ARC)
• The governor be appointed through the
(2006) recommended establishing an
interstate council's platform.
independent body to shortlist candidates
• A list of eminent persons can be compiled
based on objective criteria, such as prior
through consultation and that when
administrative or academic experience,
vacancies occur, individuals from the list
integrity, and detachment from political
may be appointed.
affiliations.
• Rather than leaving qualifications such as
• Committee system of appointment: A
eminent person and no active political
collegium system, consisting of the Prime
background to conventions, it is
Minister, Home Minister, Lok Sabha
preferable to include them explicitly in
Speaker, and the concerned Chief
the constitution.
Minister, should appoint the Governors ,

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 as suggested by the Punchhi Commission (2010). Student Notes:
• Transparency Through Public Scrutiny: Publishing the qualifications and selection criteria of
prospective Governors for public scrutiny can help improve trust and ensure merit-based
appointments.
Ensuring transparency and impartiality in the appointment of governors is crucial for
strengthening democratic setup, maintaining stability, and promoting public confidence in our
governance system.

Why a Governor in India is appointed and not elected?

One of the key decisions that the framers of the Constitution had to take was to decide
whether the Governor should be elected by way of a direct election or selected from a panel
of names suggested by the State legislature or nominated by the President.
• B.N. Rau suggested indirect elections by State Legislatures.
• Sardar Patel recommended direct elections based on adult franchise.
• B.R. Ambedkar proposed a Presidential appointment from a panel of four nominees
chosen by the State Legislature.
Ultimately, the majority agreed that the Governor should be appointed by the President
rather than elected because:
• Conflict with Parliamentary Principles- A popularly elected governor could claim greater
representative authority than the council of ministers, potentially intervening in the day-
to-day affairs of the state.
• Union Control Over States- An elected governor could weaken the union government's
control over states.
• High Electoral Costs- Conducting elections for a nominal head of state would impose
unnecessary financial burdens.
This provision is similar to the Canadian system in which the Governor General at the centre
nominates the Governor of a province.

3.1.2. Powers & Functions

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3.1.2.1. Issues related to Governor’s Discretionary Powers Student Notes:

The discretionary powers of

the Governor are primarily Intent of the Constituent Assembly Regarding the
derived from Article 163 of Governor’s Discretion
the Constitution. The Dr. Ambedkar clarified that: “The Governor under the
Constitution explicitly states Constitution has no functions which he can discharge by
that if a question arises himself; no functions at all. While he has certain duties to
regarding whether a matter perform.” His duties may be classified into two parts.
falls within the Governor's
• He has to retain the ministry in office. Because the
discretion, the Governor's
Ministry is to hold office at his pleasure, he has to see
decision is final.
whether and when he should exercise his pleasure against
Furthermore, the validity of the Ministry.
any action taken by the
• The Governor has to advise the Ministry, to warn the
Governor cannot be
Ministry, to suggest to the Ministry an alternative, and to
challenged on the grounds
ask for reconsideration.
that they should or should not
have exercised their Under a cabinet System of government, the Governor as
discretion. Constitutional head of the State has "a right to be consulted,
to warn and encourage" and his role is overwhelmingly that of
Classification of Discretion of "a friend, philosopher and guide" to his Council of Ministers.
the Governor
Harmoniously with this role, the Governor also functions as a
The Governor’s discretionary sentinel of the Constitution and a live link with the Union.
powers can be classified into
three categories based on constitutional provisions, judicial interpretations, and evolving
conventions.

Governors have often misused their discretionary powers, compromising the federal balance.
Landmark judgments, such as S.R. Bommai v. Union of India (1994), have sought to limit this
misuse by subjecting the Governor’s decisions, especially under Article 356, to judicial review.

Veto Powers of Governor: Interpretation by the Supreme Court

Supreme court in April 2025 held that the Governors do not enjoy either the power to veto
(witholding assent to a Bill indefinitely without assigning reasons) or pocket veto (keeping a
Bill pending without taking any decision for an indefinite period) a legislation passed by an
elected legislature. Since neither Article 200 nor 201 lays down timeline for grant of assent,
the court has prescribed timelines.

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 • Assent or Reservation (on advice of Council of Ministers): Must decide within 1 month Student Notes:
of presentation.
• Withholding Assent/Returning Bill (if acting against Council's advice): Must return the
bill with a message (if it's not a
Money Bill) within 3 months.
• Reserving Bill for President (if
acting against Council's advice):
Must decide to reserve within 3
months.
• Assent after Re-passage by Legislature: Must grant assent within 1 month of the re-
passed bill being presented.
The Supreme Court clarified that imposing these timelines is an interpretation to ensure
Article 200's effective implementation and prevent misuse of discretionary powers, not a
judicial amendment of the Constitution.

3.1.2.2. Politicization of Governor’s office:

At inter-state council meeting in
2021, there was a general consensus
among the States that politicisation
of the post of Governor was taking
place which was “unhealthy” for Centre-State relations.
The partisan and political functioning of Governor is often manifested through following acts:

Few recent examples include:

Constitutional authorities occupying high offices must be guided by the values of the
Constitution. Supreme
court in TN Governor
case noted that “In
times of conflict,
Governor must be the
harbinger of consensus
and resolution, lubricating the functioning of the State machinery by his sagacity and wisdom,
and not bring it to a standstill.”

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3.1.3. Suggested reforms Student Notes:

Key recommendations include:

• Transparent Appointment Process: A merit-based selection process should be introduced
to ensure impartiality and enhance the credibility of the office.
• Fixed Tenures: Establishing fixed tenures for Governors can protect them from arbitrary
removals and reinforce their independence. (Punchi commission)
• Defined Discretionary Powers: Clearly “Governor is the representative not of a
outlining the discretionary powers of the party; he is the representative of the
Governor can reduce ambiguities and prevent people as a whole of the State. It is in the
misuse of authority. name of the people that he carries on the
• Consultative Appointment: Appoint the administration. He must see that the
Governor in consultation with the Chief administration is carried on at a level
Minister to ensure greater alignment and which may be regarded as good, efficient,
cooperation between the state and the honest administration.”
Union. -Dr. Ambedkar
By enhancing the transparency, accountability, and neutrality of the office, the Governor can
fulfill the vision of being a true custodian of constitutional values.

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without prior permission of Vision IAS.

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 Student Notes:
UNION AND STATE LEGISLATURE
Contents
Previous Years' Questions (2013-24).......................................................................................... 104
Previous Years' Questions Analysis: (Avg. weightage: ~15.25%)................................................ 104
1. Introduction ........................................................................................................................... 105
2. Indian Parliament ................................................................................................................... 105
2.1. Structure of Parliament ................................................................................................... 105
2.2. Functions and Role of Parliament ................................................................................... 105
2.3. Comparison of Powers: Lok Sabha vs. Rajya Sabha ........................................................ 106
2.4. Issues Related to Parliament ........................................................................................... 107
2.5. Structural Issues Faced By Parliament ............................................................................ 107
2.5.1. Speaker of Lok Sabha & related issues..................................................................... 107
2.5.1.1. Powers & responsibilities ................................................................................................ 107
2.5.1.2. Issues related to Office of Speaker .................................................................................. 108
2.5.1.3. Suggested Reforms .......................................................................................................... 109
2.5.1.4. Differences between offices of Presiding officers in India and UK .................................. 109
2.5.2. Institution of ‘Whip’ & related issues ...................................................................... 109
2.5.2.1. Issues related to ‘Whip’ ................................................................................................... 110
2.5.2.2. Suggested Reforms .......................................................................................................... 110
2.5.3. Decline in Parliamentary Working Days ................................................................... 110
2.5.3.1. Suggested reforms ........................................................................................................... 111
2.5.4. Anti-Defection Law & related issues ........................................................................ 111
2.5.4.1. Suggested reforms ........................................................................................................... 112
2.5.5. Inadequate Resources for Members of Parliament ................................................. 112
2.5.6. Low Representation of Women in Parliament ......................................................... 112
2.5.6.1. Suggested reforms ........................................................................................................... 113
2.6. Functional Challenges in Parliamentary Practices .......................................................... 113
2.6.1. Declining Quality of Parliamentary Deliberations and Productivity......................... 113
2.6.2. Breach of Privilege and Contempt of the House ...................................................... 114
2.6.2.1. Suggested reforms ........................................................................................................... 114
2.6.3. Declining role of Leader of Opposition(LoO) ........................................................... 115
2.6.3.1. Significance of LoO .......................................................................................................... 115
2.6.3.2. Arguments for the Declining Role of Opposition ............................................................. 115
2.6.3.3. Arguments for continued relevance of role of LoO ......................................................... 115
2.6.3.4. Suggested reforms ........................................................................................................... 116
2.6.4. Parliamentary Committees and related issues ........................................................ 116

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 2.6.4.1. Role .................................................................................................................................. 116 Student Notes:
2.6.4.2. Types ................................................................................................................................ 116
2.6.4.2.1. Financial Standing Committees ................................................................................ 116
2.6.4.2.2. Departmentally Related Standing Committees (DRSCs) ........................................... 117
2.6.4.3. Suggested reforms ........................................................................................................... 117
2.7. Suggested reforms for strengthening Parliament ........................................................... 118
2.8. Parliamentary Sovereignty in India Vs UK ....................................................................... 118
3. State legislature...................................................................................................................... 119
3.1. Legislative Councils in States ........................................................................................... 119
3.1.1. Utility of Second Chamber in States......................................................................... 119
3.1.2. Criticisms of second chamber in States ................................................................... 119

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 Student Notes:
Previous Years' Questions (2013-24)
• The role of individual MPs (Members of Parliament) has diminished over the years and as a
result healthy constructive debates on policy issues are not usually witnessed. How far can
this be attributed to the anti-defection law which was legislated but with a different
intention? (2013, 10 marks)
• The 'Powers, Privileges and Immunities of Parliament and its Members' as envisaged in
Article 105 of the Constitution leave room for a large number of un-codified and un-
enumerated privileges to continue. Assess the reasons for the absence of legal codification
of the 'parliamentary privileges'. How can this problem be addressed? (2014, 12.5 marks)
• Discuss the role of Public Accounts Committee in establishing accountability of the
government to the people. (2017, 10 marks)
• The Indian Constitution has provisions for holding joint session of the two Houses of the
Parliament. Enumerate the occasions when this would normally happen and also the
occasions when it cannot, with reason thereof. (2017, 15 marks)
• Why do you think the committees are considered to be useful for parliamentary work?
Discuss, in this context, the role of the Estimates Committee. (2018, 10 marks)
• Individual Parliamentarian's role as the national law maker is on a decline, which in turn, has
adversely impacted the quality of debates and their outcome. Discuss. (2019, 15 marks)
• 'Once a Speaker, Always a Speaker'! Do you think this practice should be adopted to impart
objectivity to the office of the Speaker of Lok Sabha? What could be its implications for the
robust functioning of parliamentary business in India? (2020, 10 marks)
• Rajya Sabha has been transformed from a 'useless stepney tyre' to the most useful supporting
organ in past few decades. Highlight the factors as well as the areas in which this
transformation could be visible. (2020, 15 marks)
• To what extent, in your view, the Parliament is able to ensure accountability of the executive
in India? (2021, 10 marks)
• Explain the constitutional provisions under which Legislative Councils are established. Review
the working and current status of Legislative Councils with suitable illustrations. (2021, 15
marks)
• Do Department-related Parliamentary Standing Committees keep the administration on its
toes and inspire reverence for parliamentary control? Evaluate the working of such
committees with suitable examples. (2021, 15 marks)
• Discuss the role of the Vice-President of India as the Chairman of the Rajya Sabha. (2022, 10
marks)
• Compare and contrast the British and Indian approaches to Parliamentary sovereignty. (2023,
10 marks)
• Discuss the role of Presiding Officers of state legislatures in maintaining order and impartiality
in conducting legislative work and in facilitating best democratic practices. (2023, 10 marks)
• Explain the structure of the Parliamentary Committee system. How far have the financial
committees helped in the institutionalisation of Indian Parliament? (2023, 15 marks)
• "The growth of cabinet system has practically resulted in the marginalisation of the
parliamentary supremacy." Elucidate. (2024, 10 marks)

Previous Years' Questions Analysis: (Avg. weightage:

~15.25%)
1. Highest Weightage – Comprehensive Study Needed: This topic is consistently the most
important. Cover structure, functioning (sessions, devices), powers & privileges of Parliament
and State Legislatures, role of presiding officers, and parliamentary committees.
○ PYQ Example: "Explain the structure of the Parliamentary Committee system. How far
have the financial committees helped in the institutionalisation of Indian Parliament?
(2023, 15 marks)"

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2. Critical Issues and Reforms: Focus on issues like declining standards of debate, anti-defection Student Notes:
law and its impact, need for legislative reforms, and the efficacy of parliamentary oversight.
○ PYQ Example: "The role of individual MPs (Members of Parliament) has diminished over
the years and as a result healthy constructive debates on policy issues are not usually
witnessed. How far can this be attributed to the anti-defection law which was legislated
but with a different intention? (2013, 10 marks)"
3. Functioning and Effectiveness: Questions often assess the effectiveness of legislative bodies
in ensuring accountability or the functioning of specific aspects like joint sessions or
legislative councils.
○ PYQ Example: "To what extent, in your view, the Parliament is able to ensure
accountability of the executive in India? (2021, 10 marks)"
-------------------------------------------------------------------------------------------------------------------------------

1. Introduction
The Legislature is one of the three fundamental branches of government in a democracy,
entrusted with the critical task of creating, amending, and repealing laws that govern society. In
a federal system such as India, legislature operates at two levels:
• Union Legislature (Parliament): Bicameral, comprising the Lok Sabha and Rajya Sabha,
responsible for laws on the Union List (e.g., defense, foreign affairs).
• State Legislatures: Mostly unicameral (Vidhan Sabha), enacting laws on the State List (e.g.,
police, agriculture).

2. Indian Parliament
The Parliament is the supreme legislative body of India.

2.1. Structure of Parliament

The Parliament of India consists of three parts:

2.2. Functions and Role of Parliament

Parliament plays a multifunctional role encompassing legislative, executive, and judicial domains.

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 Student Notes:

2.3. Comparison of Powers: Lok Sabha vs. Rajya Sabha

Equal Status with Lok Sabha Unequal Status with Lok Sabha

The Rajya Sabha holds equal power with the Lok Sabha The Rajya Sabha holds unequal
in certain areas. These include: power with the Lok Sabha in
• Introduction and Passage of Bills: Participates in the certain areas. These include:
introduction and passage of ordinary bills, • In financial matters, the Rajya
constitutional amendment bills, and financial bills Sabha is subordinate to the
that involve expenditure from the Consolidated Fund Lok Sabha. Money Bills can
of India. only be introduced in the Lok
• Election and Impeachment of Key Authorities: Sabha, and the Rajya Sabha
o Shares responsibility in the election and cannot amend or reject them.
impeachment of the President. The Speaker of the Lok Sabha
o Participates in the election and removal of the has the authority to
Vice-President (though the removal of the Vice- determine if a bill qualifies as
President can be initiated only by the Rajya a Money Bill.
Sabha). • The Rajya Sabha can only
• Removal of High Officials: Recommends the removal discuss the budget and cannot
of the Chief Justice, judges of the Supreme Court vote on demands for grants.
and High Courts, Chief Election Commissioner, and • only the Lok Sabha can pass a
the Comptroller and Auditor General. no-confidence motion to
• Approval of Ordinances and Proclamations: remove the Council of
Approves ordinances issued by the President and Ministers.
proclamations of emergency under Article 352, 356, • In a joint sitting, the Lok
and 360. Sabha’s greater strength
• Consideration of Reports: Considers reports from usually prevails, unless
constitutional bodies, such as the Finance opposition parties collectively
Commission and Union Public Service Commission outnumber the ruling
(UPSC). coalition in both Houses.

Special Powers of Rajya Sabha

The Rajya Sabha enjoys exclusive powers in some areas.

• Under Article 249, it can authorize Parliament to legislate on a State List subject if it is in
the national interest.

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 Student Notes:
• It can also authorize the creation of new All-India Services under Article 312.
• The Rajya Sabha alone can initiate the removal of the Vice-President.
• Additionally, during an emergency, if the Lok Sabha is dissolved, the Rajya Sabha’s
approval is sufficient for the continuation of the emergency proclamation.

Thus, even though the Rajya Sabha has been given less powers as compared with the Lok Sabha,
its utility is supported on the following grounds:
• It checks hasty, defective, careless, and ill-considered legislation made by the Lok Sabha by
making provision for revision and thought.
• It facilitates giving representation to eminent professionals and experts who cannot face
the direct election. The President nominates 12 such persons to the Rajya Sabha.
• It maintains the federal equilibrium by protecting the interests of the states against the
undue interference of the Centre.

2.4. Issues Related to Parliament

Despite its significant role, Parliament faces various structural and functional challenges that
hinder its efficiency and effectiveness.

2.5. Structural Issues Faced By Parliament

These challenges are broadly related to institutional frameworks.
2.5.1. Speaker of Lok Sabha & related issues
As mandated by Article 93 of the Indian Constitution, the Speaker serves as the 'guardian' of the
House, its principal spokesman, and represents the collective voice of the House to the outside
world.
The Speaker derives its authority and responsibilities from three principal sources:
• the Constitution of India,
• the Rules of Procedure and Conduct of Business in Lok Sabha,
• and Parliamentary Conventions.
2.5.1.1. Powers & responsibilities
The Speaker plays many critical roles.

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2.5.1.2. Issues related to Office of Speaker Student Notes:

In recent times, several issues have

been raised concerning the
institution of the Speaker,
impacting its credibility and
effectiveness. These include:
The Missing Deputy Speaker (DS)
• Accusations of Prejudice and The 17th Lok Sabha (2019–24) was the first to function
Partisanship: without a Deputy Speaker, and even after the 18th Lok
o The Speaker of the Lok Sabha convened in 2024, the position remains vacant as
Sabha is usually elected of February 2025.
from the ruling party and This has sparked concerns about compliance with Article
retains party membership, 93 of the Constitution, which mandates the election of a
which raises concerns Speaker and Deputy Speaker “as soon as may be” after
about potential bias in the House is formed.
parliamentary Functions of Deputy Speaker
proceedings. Unlike in the • Speaker cannot chair proceedings for hours on end.
United Kingdom, where The Deputy Speaker steps in during such absences.
the Speaker resigns from • DS chairs important sessions, preside over specific
their party and remains committees, and even handle sensitive debates that
politically neutral, Indian require a neutral and trusted authority.
Speakers continue their Government’s Defence
party affiliation • The government argues that the lack of a specific
throughout their tenure. deadline in the Constitution makes the election non-
o Many Speakers have also urgent and highlights that a nine-member panel
taken up ministerial roles assists the Speaker in managing proceedings.
before or after their Judicial and Public Concern
tenure, often without a • In 2023, the then Chief Justice D.Y. Chandrachud
cooling-off period, criticized the delay as being “against the spirit of the
reinforcing concerns about Constitution”, raising questions about adherence to
political influence. parliamentary norms and the need for reforms to
• Challenges in Managing uphold democratic principles.
Political Diversity: • Absence of DS centralises procedural power solely
o The increasing number of within the Speaker and the ruling party, eliminating
political parties in the Lok a vital counterbalance.
Sabha, each with diverse
and often conflicting interests, makes consensus-building a significant challenge for the
Speaker.
o Frequent disruptions and un-parliamentary behaviour by members undermine the
decorum of proceedings, complicating the Speaker’s role in maintaining order and dignity
in the House.
• Controversies Over Money Bills:
o The Speaker’s power to certify a Money Bill has faced criticism for potential misuse to
bypass Rajya Sabha’s scrutiny, as Money Bills can only be amended or rejected by the Lok
Sabha.
o Example: The Aadhaar Bill (2016) was classified as a Money Bill despite containing
provisions beyond the constitutional definition, sparking widespread criticism.
These concerns collectively challenge the neutrality, credibility, and effectiveness of the
Speaker’s office, underscoring the need for reforms to safeguard its integrity.

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2.5.1.3. Suggested Reforms Student Notes:

To uphold the credibility and neutrality of the Speaker's office, several reforms are necessary to
strengthen its independence and ensure it functions as a pillar of democracy.
• Consensus-Based Appointment:
Adopting an inclusive appointment process involving consultation with the Leader of the
Opposition can enhance trust among political parties. This would place a moral obligation
on the Speaker to act fairly and uphold the dignity of the office.
• Transfer of Anti-Defection Powers:
Shifting the Speaker’s powers under the Anti-Defection Law to the Election Commission of
India, as recommended by the 2nd Administrative Reforms Commission, would ensure
neutrality in disqualifying legislators.
• "Once a Speaker, Always a Speaker" Convention:
Following the UK model, where the Speaker is re-elected unopposed in subsequent terms,
would insulate the office from political competition. The V.S. Page Committee (1967)
advocated a similar approach for India.
Lessons could be drawn from Vithalbhai Patel, India’s first Speaker, who demonstrated the
importance of resigning party affiliations to reinforce political neutrality. Implementing such
reforms will strengthen the Speaker’s independence, ensuring their role as an unbiased guardian
of parliamentary traditions, enhancing public trust, and safeguarding democratic values.
2.5.1.4. Differences between offices of Presiding officers in India and UK
Parameter India UK
Title Speaker of the Lok Sabha / Speaker of the House of Commons / Lord
Chairman of the Rajya Sabha Speaker of the House of Lords.
Election Speaker elected from within Speaker elected from within the House,
Process the majority party or coalition. usually resign from their political party.
Doesn’t resign from party British system places a strong emphasis
membership. on the impartiality of its presiding
officers.
Position within The Speaker of the Lok Sabha is The Speaker is independent of the party
the a member of the ruling party, and does not represent any political
Government holding office on a party ticket; faction; Lord Speaker is non-partisan.
Rajya Sabha Chairman is the However, at times political backgrounds
Vice-President of India, linked lead to criticisms of bias (Brexit case)
to the executive.
Casting Vote Speaker of the Lok Sabha has a The Speaker's casting vote is used to
casting vote, which can be maintain the status quo or allow further
decisive in case of ties on debate, not for personal preference.
legislation.
Re-election Speaker contests re-election Speaker stands for re-election as
on a party ticket. 'Speaker' rather than as a party
candidate.
Powers on The Speaker has final say on The Speaker of the House of Commons
Money Bills the passage of money bills in has no such explicit power.
the Lok Sabha.
2.5.2. Institution of ‘Whip’ & related issues
Each political party, whether in the ruling or opposition, appoints a Chief Whip along with other
whips in Parliament for several key responsibilities.
• The whip assists the party leader and is primarily responsible for ensuring that party
members attend sessions in large numbers.

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• The whip works to secure the support of party members for or against specific issues and Student Notes:
plays a vital role in maintaining discipline by monitoring and regulating their behaviour in
Parliament.
• The whip also directs party members to adhere to the party's stance on particular issues and
ensures that they vote according to the directions of senior party members.
Disciplinary action can be taken if an MP violates their party’s whip.
2.5.2.1. Issues related to ‘Whip’
No Whip in Rajya Sabha Elections
The functioning of ‘whip’ often conflicts with In Rajya Sabha elections, whips are not
democratic principles, raising concerns about enforced, allowing members to vote
legislators' independence and parliamentary according to their conscience.
deliberation. • Reason: This voting is not inside the
• Restricting Individual Freedom: Whips House but one that is conducted by the
mandate adherence to the party line, Election Commission. Cross-voting
limiting legislators' ability to express becomes possible, bypassing party
independent opinions or vote based on directives and anti-defection provisions.
• Case example: In February 2024,
their constituents' interests. Whip is in
essence, an undemocratic practice because Congress’s Abhishek Manu Singhvi lost
a whip prejudges the outcome of the voting despite the Congress having 40 MLAs
on any issue / bill. and support from three independents—
• Overuse of Whips: Whips are frequently more than the 35 votes needed to win—
issued on matters unrelated to government 6 Congress MLAs cross-voted for the BJP
survival or core ideological issues, reducing candidate.
the scope for meaningful debate and deliberation.
• Anti-Defection Law: Under the Tenth Schedule, the anti-defection law gives Whips significant
authority to disqualify dissenting members, turning the legislature into a "legislative
straitjacket" and undermining free debate.
2.5.2.2. Suggested Reforms
To address these issues, experts and institutions like the Law Commission of India have
suggested:
• Restricting Whips to critical matters, such as confidence motions and money bills.
• Promoting internal democracy within political parties.
• Establishing impartial judicial mechanisms to resolve defection-related disputes.
These reforms aim to strike a balance between party discipline and democratic values, fostering
a more inclusive and participatory legislative process.
2.5.3. Decline in Parliamentary Working Days
Parliament’s inability to convene itself remains a
structural issue rooted in Article 85 of the
Constitution. Article 85, empowers the President to
summon Parliament based on the advice of the
Council of Ministers. This arrangement effectively
gives the government control over when Parliament
meets. Over the decades, this has led to a significant
decline in the number of working days.
For example, the 17th Lok Sabha held 274 sittings.
11 out of the 15 sessions held were adjourned early.
As a result, 40 scheduled sittings did not take place. This decline is stark when compared to other
democracies like the United States Congress, which sits for over 140 days annually, or the United
Kingdom's House of Commons, which averages around 150 days.

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The decline in frequent parliamentary sittings reduces the time available for MPs to scrutinize Student Notes:
legislation, debate national issues, and hold the government accountable.
2.5.3.1. Suggested reforms
To address this, various solutions have been proposed.
• The National Commission to Review the Working of the Constitution recommended a
minimum of 120 sitting days for the Lok Sabha and 100 for the Rajya Sabha.
• Rajya Sabha MP (2008) Mahendra Mohan introduced a private member bill to amend the
Constitution and mandate 120 working days.
Despite these efforts, the government has opposed the idea of fixing a minimum number of
sitting days, citing operational challenges.
2.5.4. Anti-Defection Law & related issues
The Anti-Defection Law in the
Tenth Schedule was introduced to
curb political defections and ensure
government stability. However, its
rigid application has inadvertently
weakened Parliament's role as a
deliberative institution.
• The law stifles independent
debate and discourages dissent
on critical issues. This weakens
legislative oversight and
diminishes the quality of
deliberation, as seen in rushed
debates on bills like the Farm Laws (2020).
Recommendations by the Venkatachaliah Commission (2002) and Dinesh Goswami Committee
(1990) to exempt voting on non-confidence motions or matters of conscience, from
disqualification remain unimplemented.

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2.5.4.1. Suggested reforms Student Notes:

Following reforms have been suggested:

• Limit applicability: Anti-Defection Law should be applied strictly in cases of floor-crossing. It
should not be applied in situations where legislators are voicing their opinions or engaging in
healthy debate within the party.
• Transfer Disqualification Power: To avoid political bias, 2nd ARC and the Law Commission
(2015) suggested that disqualification cases due to defection be decided by the President or
Governor, with advice from the Election Commission.
• Raising the Threshold for Disqualification: To reduce defections, it is proposed to raise the
number of members required for a political party merger from two-thirds to three-fourths of
the party's total membership.
• Allowing Defections in Specific Circumstances In cases such as party mergers or member
expulsions, measures are proposed to avoid unnecessary disqualifications and to protect
individual legislators' right to dissent and freedom of speech.
• Timely Decision-Making: In the SA Sampath Kumar vs. Kale Yadaiah and Others case (2016),
the Supreme Court recommended that the Speaker make decisions on disqualification cases
within three months.
Since, the root cause of political defections is often the lack of intra-party democracy,
transparency, and integrity, the 255th Law Commission Report recommended empowering the
ECI to regulate party functioning and deregister parties that violate rules.
2.5.5. Inadequate Resources for Members of Parliament
Parliament provides MPs with facilities like a secretariat, a library, a typing pool, and internet-
enabled computers at their residences. However, these resources are often insufficient for their
responsibilities. MPs need to analyze complex legislation, debate technical budgets, and
represent large constituencies while holding ministers accountable, who have access to
extensive government resources.
Without adequate research staff, MPs struggle to fully understand policy issues or contribute
meaningfully to debates.
2.5.6. Low Representation of Women in Parliament
Women’s representation in India’s Parliament has steadily increased, rising from 5% in the First
Lok Sabha to around 14 % in the Eighteenth Lok Sabha, yet it remains far from sufficient.
Increasing women’s participation in legislative bodies brings diverse perspectives into decision-
making processes and fostering gender-sensitive policies.
Women’s political representation fosters empowerment, enhancing their role in economic and
public life. It creates positive ripple effects, promoting social equity and development within
families and communities. The recent passage of the Women’s Reservation Bill (2023), reserving
33% of seats for women in Parliament and state legislatures, marks a significant milestone.
However, the implementation of women’s reservation faces significant challenges:
• Proxy Candidature: Women are sometimes elected as proxies for male relatives, limiting
their decision-making independence, especially in Panchayati Raj Institutions.
• Resistance from Political Parties: Many parties hesitate to field women candidates in non-
reserved seats, restricting broader political participation.
• Restriction on Voter Choice: Reserving one-third of seats for women may reduce flexibility
in candidate selection, limiting voter choice.
• Silent on Upper Houses: The Women’s Reservation Act does not address reservations for
the Rajya Sabha or state legislative councils, leaving gaps in upper-house representation.

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2.5.6.1. Suggested reforms Student Notes:

To overcome these issues:

• Political parties must be incentivized to field women in both reserved and non-reserved
seats.
• Voter education campaigns can highlight the importance of women’s representation to
mitigate concerns about limited choice.
• Comprehensive electoral reforms must address reservations in upper houses to achieve
equitable governance.
By addressing these challenges and fostering genuine participation of women we can strengthen
governance and secure women’s rightful place in shaping India’s future.

2.6. Functional Challenges in Parliamentary Practices

Practices such as frequent disruptions, limited time for legislative scrutiny, and an increased
reliance on ordinances have impacted the efficiency and credibility of the legislature. Let us delve
deeper into these challenges.
2.6.1. Declining Quality of Parliamentary Deliberations and Productivity

Limited Debate and Referral to Committees: The effectiveness of Parliament is often hampered
by:
• Lack of meaningful debates,
• The limited referral of bills to
parliamentary committees, and
• Frequent disruptions during
sessions.
These issues weaken Parliament’s role
as a deliberative and legislative body,
reducing its ability to perform key
functions like scrutinizing laws,
debating policies, and holding the
government accountable.
1. Lack of meaningful debates: Many
bills are passed in Parliament with
little or no debate, undermining its
role as a forum for informed
decision-making. For example,
• In 17th LS, the majority of Bills
were passed without recorded Private member bills
voting. 9% of Bills were passed with at • Out of 729 Private Members’ Bills (PMBs)
least one instance of recorded voting. were introduced in the 17th Lok Sabha,
35% of Bills were passed with less only 2 were discussed and none passed.
than an hour of discussion in Lok • Only 14 such bills have been passed since
Sabha. The corresponding figure for 1952, with the last in 1970.
Rajya Sabha was 34%.

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 •Between 2019 and 2023, on average, about 80% of the budget has been voted on Student Notes:
without discussion. In 2023, the entire budget was passed without discussion.
2. Limited referral of bills: Committees play a crucial role in scrutinizing laws, offering expert
recommendations and providing a platform for comprehensive scrutiny of bills. The referral
of bills to parliamentary committees has also declined sharply.
• E.g., in 17th LS, only 16% of Bills were referred to Committees for detailed scrutiny.
3. Frequent Disruptions in Parliamentary Sessions: Disruptions during sessions have become a
persistent issue, further compounding the challenges of limited debates and scrutiny.
• During the 15th Lok Sabha (2009–2014), the Lok Sabha functioned for only 61% of its
scheduled time, while the Rajya Sabha worked for 66%. The 17th Lok Sabha (2019–2024)
has seen similar trends, with several sessions entirely disrupted over contentious issues.
By leveraging Artificial Intelligence and data analytics, Parliament can help members swiftly flag
irregularities, track policy trends, and frame sharper, evidence-based questions.
2.6.2. Breach of Privilege and Contempt of the House
A breach of privilege occurs when the rights, immunities, and exemptions that protect
Parliament and its members are
violated. This includes actions
such as defaming parliamentary
proceedings or obstructing
Members of Parliament (MPs) in
their duties.
Contempt of the House is a broader concept. It Supreme court on Privileges
covers any action that undermines the dignity or • Court held that parliamentary privilege
authority of the legislature, even if it does not will not protect legislators from criminal
breach specific privileges. For example, prosecution for taking bribes to vote or
disobedience to legitimate orders of the House speak in Parliament or State Assemblies.
constitutes contempt. • Legislators will face prosecution upon
The Constitution mentions certain privileges accepting or agreeing to accept a bribe,
under Articles 105 and 194 for union and state regardless of whether they vote or
legislatures respectively, but it does not list speak in favor of the bribe-giver or not.
them comprehensively. Many privileges are based on conventions, past practices, and laws,
leading to ambiguity in interpretation and possible misuse.
2.6.2.1. Suggested reforms
Codifying these privileges could address these issues and enhance transparency and
accountability in the following ways:
• Harmonizing with Fundamental Rights: Codified privileges could align with fundamental
rights, ensuring they are subject to judicial review.
• Reducing Misuse: Defined boundaries
International best practice
may deter misuse, such as unnecessary
disruptions in Parliament. In Australia, parliamentary privileges are
• Enhancing Transparency: The National codified under the Parliamentary Privileges Act
Commission to Review the Working of 1987, which provides a clear framework for the
the Constitution (NCRWC) scope and extent of these privileges. The Act
recommended codification to prevent allows privileges to be reviewed by the courts,
arbitrary actions that might infringe on ensuring that they remain consistent with the
freedoms like press rights. rule of law and do not infringe upon the rights
of citizens.
However, critics argue that codification may
restrict legislative autonomy and adaptability. The Committee of Privileges (2008) advised

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against codification, emphasizing the need to balance transparency with legislative Student Notes:
independence.
2.6.3. Declining role of Leader of Opposition(LoO)
In the 16th and 17th Lok Sabhas, there was no LoO because under a direction of the Speaker
issued in the 1950s, in order to get recognition as a party in the House, it should have a minimum
of 10% members in that House (Direction 121). Scholars such as Yogendra Yadav have at times
described Opposition in recent times as "silent and toothless," which he believes inadvertently
aids the ruling party's agenda.
2.6.3.1. Significance of LoO
The post of Leader of the Opposition in the Lok Sabha has great political significance. In the British
parliamentary tradition, he is called the Prime Minister-in-waiting and forms a shadow cabinet
of his colleagues in his party. It is the well-accepted parliamentary tradition that the Speaker
permits the Leader of the Opposition to make interventions on any matter without any notice.
He can demand the presence of the Prime Minister in the House when it debates serious issues.
According to the British tradition, PM directly informs LoO about major policy initiatives. Key roles
of LoO are:

2.6.3.2. Arguments for the Declining Role of Opposition

• Numerical Weakness: Lack of formal recognition as Leader of the Opposition, especially from
2014-2024 due to the opposition’s inability to secure 10% of Lok Sabha seats.
• Limited Influence: Strong ruling party with large majorities often bypasses opposition,
reducing their ability to shape legislation.
• Reduced Parliamentary Effectiveness: Shortened sessions, disruptions, fewer committee
referrals, and faster passage of bills limit the opposition’s ability to scrutinize policies.
• Centralization of Power: Alleged government tactics like using investigative agencies against
opposition leaders diminish their influence and freedom to function.
• Fragmentation: Opposition parties' lack of unity and internal crises, hinder their collective
strength in challenging the government.
2.6.3.3. Arguments for continued relevance of role of LoO
• Active Engagement: Opposition uses parliamentary tools like Zero Hour, protests, and no-
confidence motions to challenge government actions, as seen in the 2025 Manipur ethnic
violence debate.
• Resurgence of LoO Leadership: The appointment of Rahul Gandhi as Leader of Opposition in
18th LS, strengthens coordination and strategy for the opposition.
• Coalition Building: Efforts like the INDIA alliance indicate strategic unity, enabling the
opposition to counter the ruling party effectively at both state and national levels.
• Continued Accountability: Despite challenges, the opposition has successfully influenced key
issues like the Citizenship Amendment Act (CAA), farm laws and demanded government
accountability on issues like Manipur violence and electoral fairness.

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2.6.3.4. Suggested reforms Student Notes:

Experts argue the rule is outdated, especially after the Tenth Schedule, which recognizes even
one-member parties. For instance, in the Delhi Assembly in 2015, the BJP was recognized as the
opposition despite not meeting the threshold.
Countries like the UK designate the largest non-government party as the opposition, without
requiring a fixed seat percentage. Revising India’s 10% rule could align with modern political
realities, ensuring a more inclusive and functional opposition.
2.6.4. Parliamentary Committees and related issues
Parliamentary Committees are specialized groups within Parliament tasked with assisting in its
legislative, administrative, and oversight functions. While the Constitution of India does not
explicitly define Parliamentary Committees, they are referred to indirectly through provisions like
Article 118, which empowers each House to regulate its procedures, and Article 105, which
grants MPs privileges necessary for their duties.
The framework for these committees
is primarily derived from the Rules of
Procedure and Conduct of Business
of the Lok Sabha and Rajya Sabha.

2.6.4.1. Role
• Parliamentary Committees function in a private and non-partisan manner to encourage free
discussion. Committees have the authority to call for witnesses, papers, and records.
Subcommittees may also be formed to focus on specific aspects of their work.
• Reports of committees are presented to the House, containing recommendations based on
their deliberations. These reports, while not binding, significantly influence parliamentary
decisions, reinforcing the committees' role in promoting detailed scrutiny and enhancing
democratic governance.
2.6.4.2. Types

2.6.4.2.1. Financial Standing Committees

Financial Committees are responsible for ensuring detailed scrutiny of government finances and
holding the administration accountable for its financial decisions. These committees review
administrative actions ex post facto (focusing on completed actions or omissions), avoiding
interference in day-to-day governance.
There are three Financial Committees—Public Accounts Committee, Estimates Committee, and
Committee on Public Undertakings—are known as the watchdogs of Parliament. All three
Financial Committees are elected annually by the House, and ministers are not allowed to be
members or appear before them.

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 Student Notes:

2.6.4.2.2. Departmentally Related Standing Committees (DRSCs)

These committees examine demands for grants, scrutinizing bills, reviewing annual reports, and
studying policy documents. Of
the 24 DRPSCs, 8 function
under the Rajya Sabha, while
16 operate under the Lok
Sabha.

2.6.4.2.2.1. Issues with DRSCs

Apart from politicisation for control of these committees, functioning of DRSCs suffer from
following major issues:
• Decline in Average
Number of Sittings: Many
DRSCs have reduced the
frequency of their sittings, impacting their overall effectiveness. Committee meetings had
49% attendance between 2009- 2014.
• Delayed Presentation of Reports: DRSC reports on the Demand for Grants often come after
the Grants are voted upon in Parliament, limiting MPs’ ability to fully analyze and understand
financial allocations before discussions.
• Fewer Bills referred to Committees: Despite their role in scrutinizing Bills in detail, fewer Bills
are being referred to DRSCs for examination, undermining their purpose.
• Less discussion on reports: Despite their detailed evaluations of policies and schemes,
committee findings have had limited influence on legislation or executive action, as these are
often not taken up for discussion on the floor.
• Reduced Detailed Scrutiny: The number of subjects selected for in-depth examination by
DRSCs has decreased. For example, in 2018, the Committee on External Affairs focused on
India-China relations, but fewer such important subjects are being taken up now.
2.6.4.3. Suggested reforms
To make oversight truly effective, Parliament must adopt targeted reforms:
• Strengthen post-legislative scrutiny: There is need to strengthen robust post-legislative
scrutiny. Laws do not end with their passage; they begin there. The United Kingdom offers
a useful model: government departments submit reviews of major laws within three to five

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 years, which are then examined by parliamentary committees — enabling timely course Student Notes:
correction and ensuring that laws deliver on their promises.
• Making oversight findings more accessible: Through translations in local languages, visual
explainers, or short videos can help.
• Select DRSC reports should be brought to the floor for debate, followed by a mandatory
response from the Minister concerned: This would ensure that committee work informs
parliamentary discourse and enhances executive accountability.

2.7. Suggested reforms for strengthening Parliament

2.8. Parliamentary Sovereignty in India Vs UK

While both nations operate under a parliamentary system, the foundational principle of
sovereignty differs significantly.
Parameter United Kingdom India
Nature of Unwritten, flexible, based on Written, relatively rigid, supreme law of
Constitution statutes, conventions, and judicial the land.
precedents.
Supremacy of Theoretically absolute, can make Limited by the Constitution, powers are
Parliament or unmake any law. defined and constrained
(Constitutionalism).
Judicial Review Limited: courts interpret laws but Strong and established system; courts can
generally cannot invalidate review and invalidate laws if
primary legislation. unconstitutional. E.g., Basic structure
doctrine, Constitutional morality, TN
Governor case (2025)
Federal Unitary state with centralized Federal state with division of powers
Structure sovereignty. between Union and States.
Fundamental Protected through common law Constitutionally guaranteed and
Rights and statutes (e.g., Human Rights enforceable by the judiciary.
Act).
Amendment Simple majority in Parliament. Varied majorities in Parliament; some
Process amendments require state ratification.

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 Student Notes:
3. State legislature
State legislatures in India have similarities to Parliament in their structure and functions.
However, not all states have a legislative council. Some states have a unicameral legislature with
only a Legislative Assembly.

3.1. Legislative Councils in States

Currently, six states — Bihar, Uttar
Pradesh, Maharashtra, Andhra
Pradesh, Telangana and Karnataka
— have a Legislative Council.
3.1.1. Utility of Second Chamber in States
• It checks hasty, defective, careless and ill-considered legislation made by the Assembly by
using its dilatory power. The Legislative Council serves as an advisory or dilatory chamber
rather than a revising chamber like the Rajya Sabha.
• Due to indirect elections and nomination of persons having special knowledge, the
Legislative Council commands better resources to vet and scrutinize legislations.
3.1.2. Criticisms of second chamber in States

Thus, 2nd ARC suggested that Legislative Council, where exists, must work as representatives of
the Panchayati Raj Institutions for strengthening the local governance.

Having or not having a Council: A political issue

Constituent Assembly on need of legislative councils in states
Prof K T Shah opined that a second chamber in states “involve considerable outlay from
the public exchequer on account of the salaries and allowances of Members and incidental
charges. They only aid party bosses to distribute more patronage, and only help in

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 obstructing or delaying the necessary legislation which the people have given their votes Student Notes:
for”.
So, it was decided that there can be a Second Chamber if it is demanded by the will of the
people.
The setting up of a second chamber is not exclusively in the hands of the state government.
Article 169 of the Constitution empowers the Legislative Assembly to create or abolish a
Legislative Council by passing a resolution. The resolution has to be passed by two-thirds of
the Assembly members. Then a Bill to this effect has to be passed by Parliament.
The creation and abolition of legislative council has been motivated on political grounds:
• In Tamil Nadu, the AIADMK-led government in 1986 abolished the state’s second chamber.
Since then, DMK has made attempts to re-establish the Council, and AIADMK has opposed
such moves.
• In Andhra Pradesh, the Legislative Council was first set up in 1958, then abolished by the
TDP in 1985 and re-established by the Congress in 2007.
• The West Bengal Legislative Council remained in existence till 1969. Now Mamta
Government demands its establishment allegedly due to political benefits. In 2021, she
had lost her seat in legislative assembly election and thus had six months since the
election in which she can get elected to the Assembly in order to continue as chief
minister. Having an upper house could had helped her avoid such a crisis (both now as
well as in future) because members indirectly elected to a Legislative Council can serve in
the Cabinet of a state.

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 Student Notes:
INDIAN JUDICIARY
Contents
Previous Years' Questions (2013-24).......................................................................................... 122
Previous Years' Questions Analysis: (Avg. weightage: ~4.25%) .................................................. 122
1. Structure of Indian Judiciary .................................................................................................. 123
1.1. Subordinate courts & other specialized courts ............................................................... 123
2. Constitutional Provisions Related to Indian Judiciary ............................................................ 125
3. Key Issues Related to Indian Judiciary .................................................................................... 125
3.1. Huge pendency & delays ................................................................................................. 126
3.1.1. Reasons behind pendency of cases: ........................................................................ 126
3.1.2. Suggested Reforms ................................................................................................... 128
3.2. Issues related to Judicial appointments .......................................................................... 128
3.2.1. Suggested reforms ................................................................................................... 129
3.3. Issues of Accountability & Transparency in Judiciary ...................................................... 129
3.3.1. Suggested reforms ................................................................................................... 130
3.4. Judicial Activism & Over-reach ........................................................................................ 132
3.4.1. Public Interest Litigation (PIL) .................................................................................. 132
3.4.2. Special Leave Petitions (SLPs)................................................................................... 134
3.4.3. Suggested reforms ................................................................................................... 134
4. Comparison of Judicial System ............................................................................................... 134
4.1. Indian and British Judiciary ............................................................................................. 134
4.1.1. Similarities ................................................................................................................ 135
4.1.2. Differences ............................................................................................................... 135
4.2. Indian and American Judiciary ........................................................................................ 135
4.2.1. Similarities ................................................................................................................ 135
4.2.2. Differences ............................................................................................................... 136

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without prior permission of Vision IAS.

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 Student Notes:
Previous Years' Questions (2013-24)
• Starting from inventing the ‘basic structure’ doctrine, the judiciary has played a highly
proactive role in ensuring that India develops into a thriving democracy. In light of the
statement, evaluate the role played by judicial activism in achieving the ideals of democracy.
(2014)
• What was held in the Coelho case? In this context, can you say that judicial review is of key
importance amongst the basic features of the Constitution? (2016)
• Critically examine the Supreme Court's judgement on National Judicial Appointments
Commission Act, 2014' with reference to appointment of judges of higher judiciary in India.
(2017, 10 marks)
• The judicial systems in India and UK seem to be converging as well as diverging in recent
times. Highlight the key points of convergence and divergence between the two nations in
terms of their judicial practices. (2020, 10 marks)
• Discuss the desirability of greater representation to women in the higher judiciary to ensure
diversity, equity and inclusiveness. (2021, 10 marks)
• "Constitutionally guaranteed judicial independence is a prerequisite of democracy."
Comment. (2023, 10 marks)
• Explain the reasons for the growth of public interest litigation in India. As a result of it, has
the Indian Supreme Court emerged as the world's most powerful judiciary ? (2024, 15 marks)

Previous Years' Questions Analysis: (Avg. weightage:

~4.25%)
1. Independence and Accountability: Focus on the independence of the judiciary, appointment
procedures (Collegium, NJAC debate), and mechanisms for judicial accountability.
○ PYQ Example: "'Constitutionally guaranteed judicial independence is a prerequisite of
democracy.' Comment. (2023, 10 marks)"
2. Judicial Review, Activism, and PILs: Understand these crucial concepts, their evolution,
impact, and associated controversies (e.g., judicial overreach).
○ PYQ Example: "Explain the reasons for the growth of public interest litigation in India. As
a result of it, has the Indian Supreme Court emerged as the world's most powerful
judiciary ? (2024, 15 marks)"
3. Challenges and Reforms: Be aware of issues like judicial delays, vacancies, and suggestions
for judicial reforms. Comparative aspects of judicial systems also appear.
○ PYQ Example: "The judicial systems in India and UK seem to be converging as well as
diverging in recent times. Highlight the key points of convergence and divergence
between the two nations in terms of their judicial practices. (2020, 10 marks)"

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 Student Notes:
1. Structure of Indian Judiciary
The Indian Constitution establishes an integrated judicial system with the Supreme Court at the
top, followed by High Courts and subordinate courts. This unified system ensures consistent law
interpretation nationwide. This integrated judiciary, enforces both central and state laws.
Key roles of the Supreme Court:
• Guardian and ultimate interpreter of the
Indian Constitution.
• Protector of fundamental rights and
liberties.
• Judicial review of the laws and actions of
the Legislature and Executive to ensure
their compliance with the constitutional
principles.
• Upholder of federalism, settling disputes
between central and state governments.
• Highest appellate court for civil and
criminal cases.
• Suo moto authority to initiate action in
public interest.
• Under the CJI, The National Judicial Data
Grid portal acts as a national repository
of data relating to cases instituted,
pending and disposed of by the courts
across the country.
Thus, according to Ayyar, the Supreme Court
of India is considered the world's one of the
most powerful apex courts due to its multiple
roles. It acts as a federal court, a final court of
appeals, has advisory jurisdiction and it’s
constitution's ultimate interpreter and
guardian, giving it extensive powers.

1.1. Subordinate courts & other specialized courts

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 Student Notes:

Gram Nyayalayas

Lok Adalats
Lok Adalat, also known as the People's Court, serves as an Alternative Dispute Redressal
Mechanism. It gained statutory status under the Legal Services Authorities Act, 1987, which was
later amended in 2002 to establish permanent Lok Adalats for public utility services, guided by
the principles of natural justice.
Cases that can be referred to Lok Adalat include:
• Any case pending before any court.
• Any dispute not yet brought before any court but is likely to be filed.
• The nature of cases undertaken includes matrimonial disputes, property disputes, motor
accident claims, land acquisition, and other similar matters.

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Key features of a Lok Adalat include: Student Notes:
• The Presiding Officer can be a judicial officer, lawyer, or social worker.
• Legal representation is not mandatory.
• There is no fee involved in accessing Lok Adalat.
• The procedure followed is informal. They are not bound by the Code of Civil Procedure
(CPC), 1908, and Bhartiya Sakshya Adhiniyam, 2023.
• They possess the same powers as a civil court under the CPC, 1908.
• They deal with compoundable offenses only where parties can mutually agree to settle the
matter without a formal trial. They deal with both civil and criminal cases.
• The decision reached is binding, and there is no appeal against it.
Fast Track courts

2. Constitutional Provisions Related to Indian Judiciary

Article Description
124 Establishment and Constitution of Supreme Court
129 Supreme Court to be a court of record
131 Original jurisdiction of the Supreme Court
132, 133, 134 Appellate jurisdiction of Supreme Court
136 Special leave to appeal by the Supreme Court
141 Law declared by Supreme Court to be binding on all courts
142 Power to do complete justice in any case or matter pending before it.
143 Power of President to consult Supreme Court
214 High Courts for states
215 High Courts to be courts of record
226 Power of High Courts to issue certain writs
227 Power of superintendence over all courts by the High Courts
233 Appointment of District Judges
235 Control over subordinate courts to the High Courts
323A Tribunals for public service matters only.
323B Tribunals for other matters.
Let’s look into key dimensions and related issues concerning Indian judiciary.

3. Key Issues Related to Indian Judiciary

The Indian judiciary has played an
important role in shaping the lives of
citizens and safeguarding democracy.
Yet, judiciary faces multidimensional
challenges that impact its efficiency
and credibility.

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3.1. Huge pendency & delays Student Notes:

Courts Pending cases (Feb 2025)

India’s courts are burdened with an enormous
backlog of cases. Most of these cases are old. E.g. SC Approx. 81K.
74.9% of High Court cases and 63.1% of lower- HC Over 62 lakh.
court cases have been pending for over a year. Subordinate Approx. 4.5 Crore.
Courts
3.1.1. Reasons behind pendency of cases:
The backlog or pendency of cases in courts can be attributed to a combination of systemic,
procedural, and structural factors.

The culture of adjournments “chips

away at a litigant’s faith in courts” and Regional benches of Supreme Court
disproportionately hurts the poor. To In 2021, a Private Member’s Bill was introduced in the
tackle the backlog, the Supreme Court parliament which sought to set up four regional benches
even suggested using retired judges as of the Supreme Court to decentralize the Supreme Court.
ad hoc appointees in High Courts, Law Commission (95th and 229th Reports) Parliamentary
relaxing earlier limits to help clear Standing Committee on Law and Justice have also
suggested for setting up of regional benches.
pending criminal cases.

Alternative Dispute Resolution (ADR)

ADR is a process in which disputes are addressed and settled outside of the courtroom.
It offers to resolve all type of matters including civil, commercial, industrial etc. and uses
neutral third party to communicate, and resolve disputes. In India, ADR is usually not in
criminal cases.
• However, in few criminal cases of less serious nature, ADR has been used. E.g., in Tasneem
Rizwan Siddiquee (2018) case, Bombay High Court suggested the use of mediation as a
means to resolve a criminal case involving defamation charges.

Legal framework
1. Arbitration and Conciliation Act
Arbitration and Conciliation Act, 1996 as per UNCITRAL Model Law, applicable to all kinds of
arbitrations including commercial disputes. Amendment Act, 2021 allows for an unconditional
stay of enforcement of arbitral awards in cases where arbitration agreement, contracts, or
award itself were obtained through fraud or corruption.

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 New Delhi International Arbitration Centre Act, 2019, for facilitating institutional arbitration. Student Notes:
2. Mediation Act 2023

Definition It includes expression mediation, pre-litigation mediation, online

mediation, and community mediation. Parties attempt to reach an
amicable settlement of their dispute with assistance of a third person
referred to as a mediator.
Voluntary Pre- Parties can attempt to settle civil or commercial disputes by mediation
litigation before approaching any court or certain tribunals.
Mediation
Disputes not fit • Relating to claims against minors or persons of unsound mind,
for mediation • Involving criminal prosecution,
• Affecting the rights of third parties.

Timeline for Must be completed within 120 days, which may be extended by another
conducting 60 days with consent of parties.
Mediation • A party may withdraw from mediation after two sessions.
• Court-annexed mediation must be conducted as per the rules framed
by Supreme Court or High Courts.
Enforceability Agreements resulting from mediation will be binding and enforceable in
the same manner as court judgments.
• Verdict can be challenged before a competent court within 90 days.
• Mediated settlement can be challenged on grounds of fraud,
corruption, impersonation, and disputes not fit for mediation only.
Establishment Consists of 1 chairperson, 2 full-time members (with experience in
of Mediation mediation or ADR), 1 part-time member (including Law Secretary, and
Council of India Expenditure Secretary) and 3 ex officio members.
(MCI)

Issues related to ADR

While ADR offers a faster and cost-effective way to resolve disputes, it faces several challenges
in India that hinder its effectiveness.
The Italian Opt-Out Model of Mediation
The Italian Opt-Out Model revolutionizes
dispute resolution by mandating one
compulsory mediation session before court
admission.

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3.1.2. Suggested Reforms Student Notes:

To address the issue of pendency and delays, following reforms can be made:

3.2. Issues related to Judicial appointments

For appointment to higher judiciary, the Collegium System was established through judicial
interpretations, aimed to uphold judicial independence by minimizing executive influence in
judicial appointments. However, its working has raised various concerns.

In order to overcome the issues

associated with the collegium
system, the government introduced
the National Judicial Appointment
Commission (NJAC) through the
99th Constitutional Amendment Act, 2014, which was
invalidated by Supreme Court.
• Unlike the collegium system, the NJAC Act enabled
both executive and judicial members to serve on the
NJAC.
• It empowered any two members of the NJAC to veto
a recommendation.
Lower judiciary also suffers from issues with appointments.

Women in Judiciary
The Supreme Court of India’s “State of the Judiciary” report (2023) showed 36.3% of women
in the district judiciary.
As of January 2024, only 13.4% of
judges in the High Court and 9.3%
judges in the Supreme Court are

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 women. Further, the representation of women is uneven across High Courts, with many having Student Notes:
no women judges.
Key Reasons:
Access for women in the judiciary is hindered at two levels: entry and retention.
• Funnel effect: Women are drastically under-represented as senior advocates, advocates-
on-record, and Bar Council representatives. This results in a funnel effect, creating a
smaller pool of candidates who may be able to establish themselves in the system and be
considered for elevation.
• Double burden of work: The Judicial Service Rules of many States stipulate that advocates
must have a minimum period of ‘continuous’ practice for elevation to the Bench. For
women advocates who are required to juggle family responsibilities in the absence of
maternity benefits and minimum stipends, meeting this threshold is difficult.
• Lack of women friendly infrastructure: In 2019 Survey by the Vidhi Centre for Legal Policy
highlighted that nearly 100 district courts have no dedicated washrooms for women.
Greater participation of women in the judiciary must be driven by women-centric
perspectives, which identify specific issues hindering future career growth and progress.
Infrastructural amenities, gender-sensitive recruitment and transfer policies, and adequate
training and support are crucial to ensure that the judiciary lives up to its promise of
empowering women.

3.2.1. Suggested reforms

Regarding issues with judicial appointments, India can draw lessons from other countries to
strengthen the judicial recruitment and training process. For e.g., in the United Kingdom, the
Judicial Appointments Commission (UK-JAC) conducts merit-based recruitment using written
tests, situational exercises, and interviews. A centralized system like this can ensure uniform
standards in India.
To improve the quality of judges, especially in subordinate courts, following reforms can be
undertaken.

3.3. Issues of Accountability & Transparency in Judiciary

Judicial accountability ensures that judges act responsibly and are answerable for their actions,
while transparency fosters trust through openness in the judiciary’s functioning. However, several
issues undermine both accountability and transparency.

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 Student Notes:

Indian Judiciary and RTI

• The Supreme Court's judgments in Central Public Information Officer, Supreme Court of
India v Subhash Chandra Agarwal (2019) and subsequent rulings require parties to justify
RTI requests related to judicial proceedings, citing concerns of misuse and interference.
• Many High Courts, such as the Allahabad High Court initially charging Rs. 500 per
application, have been criticized for high fees and lack of online filing options, limiting
accessibility.

3.3.1. Suggested reforms

The following reforms prioritize measures to enhance openness, curb corruption, and strengthen
institutional accountability within the judiciary.

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 Student Notes:

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3.4. Judicial Activism & Over-reach Student Notes:

Judicial activism refers to the judiciary taking a proactive role in interpreting laws and ensuring
justice, often stepping in when other branches of the government fail to act. Judicial activism in
India is rooted in Articles 13, 32, and 226 of the Constitution, empowering courts to strike down
legislative, executive, or administrative actions that violate constitutional principles.
Judicial Overreach refers to instances Power to do ‘Complete Justice’ (Article 142)
when the judiciary exceeds its
Supreme Court is empowered to exercise its
constitutional authority and intervenes
authority to ensure "complete justice" in any case
in the functions of the legislature or the
before it. However, there are no specific rules or
executive. Judicial overreach occurs
guidelines outlining when or how the Court can
when courts assume roles beyond their
invoke this extraordinary power, leaving its
mandate, such as formulating policies or
application to the discretion of the Court.
directing administrative actions, which
are the exclusive domains of the Court has used the provision in significant
legislature and executive. situations such as Bhopal Gas tragedy (1989)
judgment, Coal Block Allocation Case (2014),
3.4.1. Public Interest Litigation Tamil Nadu Governor case (2025).
(PIL)
PIL emerged as a significant
tool for judicial activism,
enabling the judiciary to
intervene where the
legislature or executive failed
to act.
The growth of PIL in India is driven by
• The relaxation of locus
standi, allowing wider access
to justice, especially for
marginalized groups.
• Judicial activism and media
attention have further promoted PILs as a tool for social justice, addressing environmental
and human rights concerns.
• Additionally, PILs emerged due to executive and legislative inaction.
However, rampant filing of PILs has raised various concerns.

Environmental Jurisprudence in India

PIL has strengthened India’s environmental jurisprudence by enabling citizens, NGOs, and
activists to challenge ecological violations in court. This has spurred the evolution of new
legal principles and reinforced environmental laws. Judiciary has infused many
‘environmental principles’ into existing legal framework.

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 Student Notes:

Appeal by Special Leave Petition (SLP) (Article 136)

SLP allows a litigant to seek permission
to appeal to the Supreme Court against
any judgment, order, or decree by a
court or tribunal, excluding military
tribunals and court-martials. Unlike
other appeals governed by procedural
laws, the SLP is discretionary, offering
the Court the flexibility to intervene in
cases of significant legal importance.
In Pritam Singh v. State (1950), the
Supreme Court clarified that SLP should
only be granted in exceptional and
special circumstances.

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3.4.2. Special Leave Petitions (SLPs) Student Notes:

A Special Leave Petition (SLP) is a request made to the Supreme Court of India to review a
judgment or order from any lower court or tribunal. While SLPs provide an important avenue for
seeking justice, few key issues hamper their efficiency and effectiveness in justice delivery.

Key issues of Subordinate Courts

3.4.3. Suggested reforms

B.R. Ambedkar aptly observed that the judiciary must act as “the sentinel on the qui vive,” (ever
vigilant yet restrained), ensuring justice while respecting democratic principles. Following
reforms can be undertaken to improve judicial processes.

4. Comparison of Judicial System

4.1. Indian and British Judiciary
The Indian judiciary, deeply influenced by the British colonial legacy, retains structural elements
such as the hierarchy of courts and the adversarial system, yet it differs significantly in its
constitutionally defined independence and expansive role in upholding fundamental rights.

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4.1.1. Similarities Student Notes:

• Writ Petitions: Both Indian and British legal systems utilize writs as legal tools to provide
remedies to aggrieved individuals.
• Rule of Law: It remains the fundamental principle governing both India and the UK. It ensures
equality before the law and protection of basic human rights.
• Interpretation of Constitution: Supreme Courts in both countries hold supreme authority for
interpreting their respective constitutions.
• Independence of Judiciary: Judges can only be removed for serious misbehaviour with
approval from both Houses of Parliament in India and Britain.
4.1.2. Differences
Feature Indian Judiciary British Judiciary
Nature of Judicial India has a single integrated Separate legal systems for
System judicial system covering the England and Wales, Scotland,
entire country. and Northern Ireland.
Appointment of Collegium system recommends The independent Judicial
judges to Higher persons for appointment to the Appointments Commission
judiciary President. (JAC) oversees the process of
judges’ appointments. The JAC
consists of 15 members; three of
these are judges, while 12
members are selected through a
process of open competition.
Judicial Review Judicial review is a fundamental Judiciary does not possess
feature; Supreme Court can inherent authority to invalidate
strike down duly enacted Acts of Parliament due to
legislations based on parliamentary sovereignty.
constitutionality.
Codified nature of India has a codified No single codified constitution;
constitution constitution. Also, codified laws laws are derived from statutes,
like IPC and CrPC codify judicial common law, and European
procedures and criminal law. Union law (pre-Brexit).
Judicial limitations on India follows the basic structure No basic structure doctrine;
legislature doctrine, which protects Parliament is supreme and can
essential features of the amend the constitution without
Constitution from amendments. limitations.
Appointment of Judges are appointed by the Judicial appointments are
Judges President on the advice of the regulated by the Judicial
collegium system. Appointments Commission
established by the
Constitutional Reform Act 2005.

4.2. Indian and American Judiciary

The American judiciary, rooted in the federal system, operates with a clear division of powers
between state and federal courts. American judiciary places a greater emphasis on the separation
of powers, with its courts acting as an independent arbiter between the state and federal
government. Various similarities and differences are as follows.
4.2.1. Similarities
• Interpreter of constitution:- Judiciary interprets and safeguards the Constitution which is the
supreme law of land.
• Judicial review:- Judiciary possess the power of judicial review.

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• Tiers of judicial system:- Existence of a multi tiered judicial system. Student Notes:

4.2.2. Differences
Feature Indian Judiciary American Judiciary
Nature of judiciary Integrated nature of judiciary. Separate hierarchies of
federal and State Courts.
Appointment process Collegium system recommends The candidates are assessed by
of judges to higher persons for appointment to the a committee of the American
judiciary President. Bar Association and reviewed
by the Senate Judiciary
Committee before a vote and
consent of the Senate.
Retirement age of Fixed by the constitution. Judges are appointed by the
judges in Higher President. There is no set
judiciary retirement age for judges in the
US as they continue to hold
office for "good behavior".
Jurisdiction Original jurisdiction limited to Broader original jurisdiction.
federal matters; appellate Primary focus on
jurisdiction covers constitutional, constitutional cases in
civil, and criminal cases. appellate jurisdiction.
Special Powers Supreme Court can grant Special No plenary powers to grant
Leave to Appeal. such an appeal.
Advisory Jurisdiction Provision for Advisory Jurisdiction No provision for Advisory
present. Jurisdiction.
Limitations on state India’s constitution puts limitation Constitution of USA mentions
authority against by “Procedure Established by “Due Process of Law” as
citizen’s rights Law”. It doesn’t mention ‘Due limitation on state’s authority.
process of law”, though it has been
used by the judiciary.

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 Student Notes:
ELECTIONS
Contents
Previous Years' Questions (2013-24).......................................................................................... 138
Previous Years' Questions Analysis: (Avg. weightage: ~4.63%) .................................................. 138
1. Election................................................................................................................................... 138
2. Overview of Key Concepts ..................................................................................................... 139
3. Constitutional Provisions and legislations related to Elections ............................................. 139
3.1. Key Constitutional provisions .......................................................................................... 139
3.2. Representation of People Act 1950 & 1951 .................................................................... 140
3.3. Types of Electoral Systems .............................................................................................. 140
3.3.1. Advantages and Disadvantages of First-Past-The-Post (FPTP) and Proportional
Representation (PR) system ............................................................................................... 141
3.4. Provisions for Disqualifications of Legislators ................................................................. 142
3.5. Political Parties ................................................................................................................ 143
3.5.1. National Parties ........................................................................................................ 144
3.5.2. Regional Political Parties .......................................................................................... 144
4. Themes Related to Election in India ....................................................................................... 144
4.1. Criminalization of Politics ................................................................................................ 144
4.1.1. Cases related to Criminalization of Politics .............................................................. 146
4.2. Politics of Polarisation ..................................................................................................... 146
4.2.1. Role of Caste............................................................................................................. 146
4.2.2. Role of Religion ........................................................................................................ 147
4.2.3. Recommendations ................................................................................................... 147
4.3. Freebies in Elections ....................................................................................................... 148
4.3.1. Issues with Freebies ................................................................................................. 148
4.3.2. Recommendations to overcome the Problem of Freebies ...................................... 148
4.4. Intra Party Democracy..................................................................................................... 149
4.4.1. Necessity of Intra-Party Democracy ......................................................................... 149
4.4.2. Proposed Reforms .................................................................................................... 150
4.5. Paid News & Elections ..................................................................................................... 150
4.6. Issue of Opinion and Exit Polls ........................................................................................ 151
4.7. State Funding of Elections ............................................................................................... 152
4.8. One Nation One Election................................................................................................. 153
4.8.1. Why Frequent Elections Are Controversial .............................................................. 154
4.8.2. The Push for ‘One Nation, One Election’ (ONOE) .................................................... 154
4.9. Issues Related to Delimitation of Constituencies............................................................ 156
4.9.1. Key Concerns from Southern States:........................................................................ 156
4.10. Issues Related to Election Commission of India............................................................ 156
4.11. Social Media and Elections............................................................................................ 161
4.11.1. Concerns associated with Social Media ................................................................. 161
4.12. Artificial Intelligence & Elections .................................................................................. 162
4.12.1. Opportunities and Benefits of AI in Elections ........................................................ 162
4.12.2. Challenges Posed by AI in Elections ....................................................................... 162
4.12.3. AI Elections Accord: Safeguarding Electoral Integrity in the Age of AI................... 163
4.13. Rising Role of Election Consultancies in Elections ........................................................ 163
4.14. Landmark Judgments on Electoral Issues ..................................................................... 164

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 Student Notes:
Previous Years' Questions (2013-24)
• "Simultaneous election to the Lok Sabha and the State Assemblies will limit the amount of
time and money spent in electioneering but it will reduce the government's accountability to
the people." Discuss. (2017, 10 marks)
• On what grounds a people's representative can be disqualified under the Representation of
Peoples Act, 1951? Also mention the remedies available to such person against his
disqualification. (2019, 15 marks)
• "There is a need for simplification of procedure for disqualification of persons found guilty of
corrupt practices under the Representation of Peoples Act". Comment. (2020, 10 marks)
• Discuss the procedures to decide the disputes arising out of the election of a Member of the
Parliament or State Legislature under The Representation of the People Act, 1951. What are
the grounds on which the election of any returned candidate may be declared void? What
remedy is available to the aggrieved party against the decision? Refer to the case laws. (2022,
15 marks)
• Examine the need for electoral reforms as suggested by various committees with particular
reference to "one nation one election" principle. (2024, 10 marks)

Previous Years' Questions Analysis: (Avg. weightage:

~4.63%)
1. Representation of People's Act (RPA): Key provisions of the RPA, especially those related to
disqualification, corrupt practices, and election disputes, are important.
○ PYQ Example: "On what grounds a people's representative can be disqualified under the
Representation of Peoples Act, 1951? Also mention the remedies available to such person
against his disqualification. (2019, 15 marks)"
2. Electoral Reforms: This is a recurring theme. Focus on issues like criminalization of politics,
state funding of elections, inner-party democracy, Model Code of Conduct, and recent reform
proposals (e.g., simultaneous elections).
○ PYQ Example: "Examine the need for electoral reforms as suggested by various
committees with particular reference to "one nation one election" principle. (2024, 10
marks)"
3. Role of ECI: Understand the role, powers, and functions of the Election Commission of India
in ensuring free and fair elections and the challenges it faces.
○ PYQ Example: "Discuss the role of the Election Commission of India in the light of the
evolution of the Model Code of Conduct. (2022, 15 marks)"

1. Election
An election is a formal process by which a
population in a region elects individuals to hold
public office or make decisions on behalf of the
community.
In this chapter, we shall cover key issues related
to elections, relevant for UPSC CSE Mains Exam
with a brief overview of relevant key concepts.

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 Student Notes:
2. Overview of Key Concepts
3. Constitutional Provisions and legislations related to
Elections
3.1. Key Constitutional provisions
Articles Explanation
324 Superintendence, direction and
control of the preparation of
electoral rolls and conduct of
elections in an independent
Election Commission.

326 Right to vote (adult suffrage)

327 Power of Parliament for preparation of electoral rolls, the delimitation of
constituencies and all other matters necessary for securing the due constitution
of such House or Houses.
243K and State Election Commissions responsibility to conduct elections to Panchayats
243ZA and Municipalities respectively.
81 Requires that each state receive Lok Sabha seats in proportion to its population
and allocate those seats to constituencies of roughly equal size.
82 and 170 Number of seats in the Lok Sabha (Art. 82) and State Legislative assemblies (Art.
170) as well as its division into territorial constituencies shall be readjusted
after each Census.
327 Gives specific power to Parliament to make elaborate provision for such
readjustment including delimitation of constituencies and all other related
matters.

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3.2. Representation of People Act 1950 & 1951 Student Notes:

The Constitution empowers Parliament to legislate on matters related to elections for the
Parliament and State Legislatures. In exercise of this power, Parliament enacted the
Representation of the People Act, 1950 and Representation of the People Act, 1951.

3.3. Types of Electoral Systems

There are three major systems, each offering distinct advantages and challenges in ensuring fair
and effective representation.

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3.3.1. Advantages and Disadvantages of First-Past-The-Post (FPTP) and Student Notes:
Proportional Representation (PR) system
FPTP is the winner-take-all voting system. PR System is an electoral system designed to allocate
seats in a legislative body in proportion to the votes each party or candidate receives.

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3.3.1.1. Why India chose FPTP System for General elections Student Notes:

Proponents like Syed Karimuddin and K.T. Shah argued that PR would prevent majoritarianism
by allocating seats based on vote share, ensuring "true representation of all sections" in India’s
diverse society. They emphasized that PR would empower geographically dispersed minorities,
giving them a legislative voice and
democratizing political participation.
While acknowledging PR’s fairness, Dr.
B.R. Ambedkar and M.
Ananthasayanam Ayyangar defended
FPTP on practical grounds. They
argued that India’s largely illiterate
electorate needed a simple, stable,
and intelligible system. FPTP’s
clarity—where the candidate with the
most votes wins—promoted direct
accountability and reduced voter
confusion.

3.4. Provisions for Disqualifications of Legislators

The RPA, 1951, lays down provisions to ensure ethical conduct in elections and governance by
disqualifying individuals involved in criminal activities, corruption, or unethical practices. Below
is a detailed explanation of these provisions:
SERIOUS OFFENSES Disqualification Period:
Offenses Covered: Convictions under laws related to:
If sentenced to only a fine:
• Indian Penal Code (IPC): Promoting enmity between
Disqualified for 6 years from
groups (e.g., hate speech), bribery, or offenses against the
the date of conviction.
state.
• Protection of Civil Rights Act, 1955: Practicing If sentenced to
untouchability. imprisonment: Disqualified
immediately upon
• Unlawful Activities (Prevention) Act (UAPA), 1967:
conviction and continues for
Terrorism-related activities.
6 years after release from
• Prevention of Corruption Act, 1988: Accepting bribes, jail.
misusing public office.
• Prevention of Terrorism Act (POTA), 2002: Terrorist acts.
SOCIO-ECONOMIC OFFENSES Disqualification: Begins on
• Stockpiling/Profiteering: Hoarding essential goods to the date of conviction. The
create artificial scarcity or selling them at exorbitant period is determined by the
court but cannot exceed 6
prices.
years.
• Adulteration of Food/Drugs: Selling substandard or
harmful food/medicines (e.g., under the Food Safety Act).
• Dowry Prohibition Act, 1961: Giving or taking dowry.
General Criminal Offenses Disqualification:
• Conviction for any offense (not covered under Sections
Starts immediately on
8(1) or 8(2)) leading to imprisonment of at least 2 years.
conviction (even if the
In Lily Thomas v. Union of India (2013), the Supreme Court
person appeals).
ruled that MPs/MLAs convicted and sentenced to two years or
more lose their seats immediately, even if they appeal. Continues for 6 years after
Previously, they could retain seats by filing appeals within 3 release from prison.
months.

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Disqualification for Corrupt Practices (Section 8A) Student Notes:

It outlines the disqualification process for corrupt practices. Under the Representation of the
People Act (RPA), 1951, corrupt practices include:
1. Bribery – Offering or accepting money or gifts to influence voting.
2. Undue Influence – Any attempt to interfere with a person’s right to vote freely, such as using
threats or social pressure.
3. False Information – Spreading lies
to harm a candidate’s chances or
mislead voters.
4. Promotion of Hatred –
Encouraging hostility between
different groups based on religion,
caste, or language for electoral
gain.
Election-related corruption cases are
forwarded to the President within 3
months of being filed. The Election Commission investigates and provides its opinion to the
President, who must act based on that opinion. If disqualified, the person may remain ineligible
for up to 6 years.
Disqualification on Other Grounds:

3.5. Political Parties

Political parties in India are formed when individuals with shared goals and interests come
together to create an organization that can represent their collective aspirations.
It is divided into two main types:
• National Political Party
• Regional Political party
Political parties are recognized as national or regional parties by the Election Commission of India
(ECI) if they meet specific criteria. Recognition grants them certain privileges, including a
reserved symbol, free airtime for campaigning, and other electoral benefits.

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3.5.1. National Parties Student Notes:

A political party is recognized as a national party if it fulfills any of the following conditions:

3.5.2. Regional Political Parties

4. Themes Related to Election in India

4.1. Criminalization of Politics
Criminalization of politics in India involves the
infiltration of criminals and corrupt figures into
the political system, primarily to gain influence
and avoid legal consequences. They exploit their
financial resources to succeed in politics.
This phenomenon forces voters in many areas to
support local strongmen, and even national
parties have fielded candidates with criminal
records. Thus, this phenomenon signifies the
intrusion of individuals with ill intentions into
politics, harming society and hindering development.
• Lok Sabha 2024: As per the Association for Democratic Reforms, 251 (46 per cent) MPs in
the 18th Lok Sabha have criminal cases registered against them. Among them, 31 per cent
have serious criminal cases that include cases related to rape, murder, attempt to murder,
kidnapping and crimes against women.
Reasons for the Menace of Criminalization of Politics
Milan Vaishnav in his book- “Why Crime Pays” have identified the following reasons for
prevalence of the phenomenon of the criminalization of politics in India. These are as follows

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1. Historical Connection with Political Parties: Criminals entered Indian politics post- Student Notes:
independence, exploiting electoral activities as political competition increased and
Congress's dominance declined.
2. Desperation for Resources by Political Parties: As elections become costlier, parties in India
sought "tainted" politicians for campaign financing, compromising ethics for financial
support.
3. Self-Protection: By gaining political power, criminals can shield themselves from legal
repercussions, using their influence to escape prosecution and secure protection.
4. Voter Perceptions and Weak Rule of Law: Indian voters, aware of politicians' criminal
backgrounds, may still support them, perceiving strongmen with criminal ties as effective
leaders in an environment characterized by weak rule of law.
5. Societal Divisions and Identity Politics: Ethnic divisions in society enhance the appeal of
strongmen who claim to represent specific communities. Fragmented, multi-party politics
allows politicians to cater to core supporters and rely on a narrow electorate for victories.
This phenomenon of criminalization of politics Reports Highlighting Criminalization of
undermines democracy, weakens governance, Politics in India
1. Goswami Committee on Electoral
and fosters corruption. It erodes public trust in
the political system, as politicians with criminal Reforms (1990): Raised concerns about
backgrounds prioritize personal interests and criminal elements in politics.
manipulate the legal system. 2. Vohra Committee Report (1993):
Emphasized the nexus between
Measures taken to tackle Criminalization of criminals, politicians, and bureaucrats.
Politics 3. 18th Report by the Parliamentary
1. Affidavit Requirement: Candidates Standing Committee on Electoral
mandated to submit affidavits detailing Reforms (2007): Addressed the
criminal records, assets, liabilities, and ongoing issue of criminalization in
educational qualifications. politics, advocating for reforms.
2. Disqualification on Conviction: Section 8 of the RPA, 1951, currently disqualifies individuals
only post-conviction, not during trials. Proposals by the Election Commission and Law
Commission suggest disqualifying those facing charges with potential 5-year sentences,
framed charges by competent courts, with a cutoff of six months pre-election.
3. State funding of elections & Enhancing Election Commission's Authority: Recommendations
by the Dinesh Goswami and Indrajeet Gupta Committees advocated
a. State funding of elections and empowering the Election Commission to black money.
b. Conducting financial audits of political parties or subjecting their finances to RTI
provisions.
4. Strengthening Legal Framework: Enacting stricter laws and penalties for political
corruption, as well as ensuring an independent judiciary that is free from political influence.
5. Rejection of Nominations: Returning Officers empowered to reject nominations of
candidates convicted on the day of filing, even if their sentence is suspended.
6. Special Courts: Based on the direction of the Supreme Court in 2017, 12 special courts have
been set up across 11 states to exclusively try sitting MPs and MLAs on a fast-track basis.

• A petition (by Ashwin Upadhyaya & others 2025) seeks a life time ban on convicted
persons from contesting elections. The petitioners argue that if a convicted person is not
eligible for even a junior-grade government job, how could they become law makers six
years after serving their sentence.
• There was an apparent conflict of interest if people found guilty of breaking the law
returned as lawmakers.

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 • However, Government has maintained that MPs and MLAs are not bound by specific Student Notes:
“service conditions”. “They are bound by their oath to serve citizens and country... They
are bound by propriety, good conscience and interest of the nation. Thus, disqualification
under Section 8 of RPA 1951 for the period of the prison sentence and six years thereafter
was enough for legislators.”
The case is sub-judice.
Way forward
• There may be convictions that do not involve moral turpitude for which permanent
disqualification would be inappropriate and disproportionate. With respect to convictions
for heinous crimes and under statutes like the Prevention of Corruption Act, there may be
a case for life time disqualification as it is directly linked with probity in public life.
• However, the powers vested with the EC for reducing or removing the period of
disqualification of a convicted person should be reviewed by the court for its
constitutional validity.

By adopting these reforms and fostering a culture of transparency, accountability, and ethical
leadership, it is possible to curb the criminalization of politics and ensure a healthier and more
democratic political system in India.
4.1.1. Cases related to Criminalization of Politics

4.2. Politics of Polarisation

Political parties often capitalize on social divides to secure votes.
4.2.1. Role of Caste View of a sociologist on caste competition in politics
Caste plays a complex role in Regarding caste competition in politics, Dipankar Gupta is
Indian politics. It can be both a of opinion that overt conflicts among castes today is
divisive and cohesive force, because by and large caste system has collapsed today in
offering a foundation for most part of India. The obverse side of this collapse is the
numerous interest groups assertion of caste identities.
within the political system. Caste in Politics: Example from 2024 General election
• Local Elections: Caste In 2024 election, localised protests by Kshatriya groups
identities significantly shape against the BJP in Gujarat travelled to Uttar Pradesh, where
campaign strategies and Rajput or Kshatriya villages held mahapanchayats to
ticket distribution in boycott the BJP, in protest against the lack of
Panchayati Raj and representation to Thakurs in ticket distribution and the
municipal elections. alleged threat by the PM and Home minister to Uttar
• Caste-based Violence: Pradesh Chief Minister Yogi Adityanath and Defence
Traditional divides between Minister Rajnath Singh, both Thakurs.
higher and lower castes Source: Caste returns to centre stage in the 2024 Lok
Sabha election, Anand Mishra, Frontline, June 11, 2024.

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 escalate into violent power struggles, especially in rural states like Maharashtra, Bihar, Student Notes:
Gujarat, and Uttar Pradesh.
• Administrative Influence: Caste considerations often influence appointments, transfers, and
postings of public officials, compromising administrative neutrality during elections.
• Representation in Ministries: Prime ministers and chief ministers allocate representation to
various castes in councils of ministers, often under pressure from caste-based interest
groups.
4.2.2. Role of Religion
Similarly, like caste, religion is often misused in Indian elections through various means,
including communal polarization, religious appeals, and identity politics.
• Exploitation of Religious Sentiments: Politicians use religious sentiments to divide voters,
promoting divisive agendas and increasing tensions between religious communities.
• Undermining Secularism: Such exploitation undermines the secular principles of the Indian
state and threatens social harmony.
• Appeasement for Electoral Gains: Misuse of religion often leads to appeasing specific
religious groups, distorting fairness and inclusivity in the electoral process.
• Hate Speeches: Hate speeches and antagonistic rhetoric target religious communities and
polarize the electorate.
• Impaired Electoral Fairness: These practices impair the fairness of the electoral process and
challenge the goal of conducting "free, fair, and inclusive" elections.
Present provisions to curb the practice of misuse of religion and caste in politics
1. Section 123(3) and (3A) of the Representation of the People Act, 1951:
• Presently, an appeal on grounds of religion, race etc. and promotions of feelings of
enmity between different classes of religion constitute corrupt practice and the same
can be questioned only by way of an election petition.
• Section 8 disqualifies a person from contesting election if he is convicted for indulging in
acts amounting to illegitimate use of freedom of speech and expression.
• Limitations: Ironically these provisions will have application only during the period of
election and there is no provision to challenge the corrupt practise of the candidate
who lost the election.
2. Religious Institutions (Prevention The bench said, “any hesitation to act in
of Misuse) Act, 1988: accordance with this direction will be viewed as
• Section 3(g) of the Act prohibits contempt of court and appropriate action shall be
religious institutions or their taken against the erring officers”.
managers from permitting the
use of their premises to promote disharmony or hatred among different religious, racial,
linguistic, regional, or caste groups.
4.2.3. Recommendations
Goswami Committee in its Report in 1990 on Electoral Reforms had suggested
recommendation, which read as follows: “Election Commission shall have the power to make
recommendations to the appropriate authority-
• To refer any matter for investigation to any agency specified by the Commission,
• To prosecute any person who has committed an electoral offence under this Act, or
• To appoint any special court for the trial of any offence or offences under this Act (RoPA
1951).
While the politics of polarization can galvanize immediate voter bases, it undermines social
cohesion and democratic values in the long run and thus must be dealt with seriousness.

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4.3. Freebies in Elections Student Notes:

Freebies in elections refer to goods and services

provided by political parties to voters as
incentives for electoral support. There is an
absence of a clear consensus on what
constitutes a freebie. These items, such as
laptops or household appliances, were initially
meant to address social needs but are now often
criticized for being used to bribe voters to secure
votes, and discourage voters from making
informed choices.
4.3.1. Issues with Freebies
• Corruption and Voter Influence: Freebies
blur the line between legitimate welfare
initiatives and electoral bribery by
influencing voter decisions through material
incentives. Further, they tend to divert
people’s attention from substantive policy
debates and long-term governance issues.
• Fiscal Burden on Governments: Many state
governments are grappling with fiscal
constraints. The culture of distributing
freebies further curtails their capacity to
invest in genuine welfare programs.
o For example, Power subsidies account
for 10% of the total budgetary allocation
of Punjab for FY25. According to CAG
report on Maharastra, over 60 % of the
State’s expenditure is committed to debt
service, salaries and pensions and Maharashtra has debt as a percentage of GSDP at
18.6 % in FY24.
• Undue Electoral Advantage: Freebies afford political parties, particularly those in power, an
unfair advantage by promising selective distribution of private goods to specific voter
segments.
o For example, pledges to provide bicycles for girls or laptops for college students illustrate
this practice.
• Environmental Consequences: Free electricity subsidies for farmers in states like Punjab and
Haryana have led to excessive groundwater extraction.
Further, the Election Commission of India's (ECI) lacks the authority to regulate or penalize the
political parties promising freebies. Moreover, political parties often omit details on funding
sources for populist promises, failing to inform voters adequately about the financial
implications.
4.3.2. Recommendations to overcome the Problem of Freebies
• Regulatory Framework for Manifestos:
o Mandatory Submission: Require all political parties to submit their manifestos to the
Election Commission before the first phase of nominations, with non-compliance leading
to disqualification from elections.
o Judicial Oversight: Establish a special judicial bench to scrutinize manifesto
implementation, ensuring parties fulfill their promises or face electoral disqualification.

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• Legal Obligations and Accountability: Student Notes:
o Legally Binding Manifestos: Enforce
manifestos as legally binding documents,
ensuring clarity, achievability, and realistic
promises.
o Penalties for Non-Fulfillment: Impose
severe penalties, such as banning parties
from contesting future elections, for failure
to implement manifesto commitments.
• Data Integrity and Fiscal Responsibility:
o Reliable Data Sources: Mandate political
parties to base their manifesto promises on
reliable government data and databases.
o Fiscal Roadmaps: Requiring the party
manifestos to outline fiscal roadmaps for
achieving proposed targets and their impact on public finances.
• Expanding Regulatory Scope: Expanding legal definitions to include political parties under
bribery statutes will ensure comprehensive
accountability under electoral laws. Current Politico-Legal Framework for
In Subramaniam Balaji vs. State of Tamil Nadu Inner-Party Democracy
(2013), although the Supreme Court held that At present, there is no law to regulate the
the promises made in an election manifesto internal functioning of parties. The ECI lacks
cannot be construed as a ‘corrupt practice’ statutory power to enforce internal
under section 123 of the RPA, 1951, it elections or regulate internal party
acknowledged that in reality distribution of free functioning.
gifts by political parties does influence the Supreme Court Ruling: In "Indian National
electorate and “shakes the root of free and fair Congress vs Institute of Social Welfare &
elections to a large degree”. Others (2002),"ECI cannot take punitive
Thus, it directed the Election Commission to action against parties for failing to uphold
frame guidelines with consultation of political inner-party democracy.”
parties on its general conduct and election
manifesto including Model code of Conduct (MCC) for the guidance of political parties and
candidates.
Supreme Court- “It is the legislature’s prerogative to rein in unchecked competitive populism.”

4.4. Intra Party Democracy

• Intra-party democracy refers to simply establishing a set of rules within political parties
which promotes a bottom-up approach to decision making. It does so while ensuring an
effective distribution of power amongst the party functionaries to enable inclusivity and
participation of diverse persons.
• It is based on the idea that all members of a political party should have an equal say in the
decision-making process.
4.4.1. Necessity of Intra-Party Democracy
• Representation and Trust: Ensuring fair internal party functioning boosts transparency in
leader selection and addresses public trust issues, reducing hero worship and centralization
of power.
• Inclusive Representation: Lack of transparency can exclude marginalized groups. In the 2019
Lok Sabha elections, only 716 out of approximately 8,000 candidates were women.

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• Criminalization of Politics: Transparency in candidate selection can curb criminalization. The Student Notes:
Supreme Court's 2020 mandate requires parties to justify fielding candidates with criminal
records.
• Safeguard Against Dynastic Politics: Promotes freedom of speech and dissent within parties,
countering dynastic politics and nepotism.
• Counters Factionalism: Democratizing parties can prevent factionalism and splits, as seen in
the Shiv Sena's recent split due to leadership differences.
4.4.2. Proposed Reforms
• Considering the significance of intra party democracy, Reports from the 2nd Administrative
Reforms Commission, the National Commission to Review the Working of the Constitution,
Committees like the Dinesh Goswami Committee, the Tarkunde Committee and Indrajit
Gupta Committee and the Law Commission have recommended introducing statutes and
regulatory framework to enforce internal democracy for political parties.

4.5. Paid News & Elections

The Press Council of India (PCI), on its 2009 report on paid news, defines it as any news or
analysis appearing in print or electronic media for consideration in cash or kind. Paid news,
both generally and during election campaigns, is a widespread and pervasive phenomenon today.
• It stems from corporatization of media, private treaties, reduced editorial independence,
and efforts to shape public
opinion. The rise of social media Measures Taken to Regulate Paid News
and lack of regulation in India
Prior Approval by ECI: Supreme Court mandated
exacerbate the issue, making it
prior approval from the Election Commission of India
hard to prevent and address paid
(ECI) for all political advertisements before airing on
news practices.
TV, radio, or in newspapers (Got vs M/s Gemini TV
Consequences of Paid News on Pvt Ltd).
Elections Media Certification and Monitoring Committee
• Paid News misleads the public and (MCMC): ECI formed MCMC at district and state
hampers the ability of people to levels to certify and monitor all political ads and paid
form correct opinions. news. It also oversees bulk SMS/voice
• Paid News causes undue influence communications, social media, cinemas, and radio.
on voters and also affects their Electoral Offenses: In February 2020, the ECI
Right to Information. proposed making paid news and false affidavits
• Paid News seeks to circumvent electoral offenses under the Representation of the
election expenditure laws/ People Act (RPA). This would result in candidate
ceiling. disqualification and a six-month jail term for filing
• Paid News adversely affects level false declarations.
playing field.
Recommendations of Expert Committee Reports
Mr. Rao Inderjit Singh committee on “Issues Related to Paid News"
• Defining Paid News: The committee recommended the formulation of a comprehensive legal
definition of paid news in consultation with stakeholders.
• Regulatory Challenges: The committee found the current media regulatory framework
inadequate. It recommended either a single regulatory body for both print and electronic
media or strengthening the Press Council of India (PCI) and creating a similar body for
electronic media.
• Distribution of Government Advertisements: The committee found the Directorate of
Advertising and Visual Publicity's (DAVP) policy on distributing advertisements unsatisfactory.

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 It recommended a transparent and unbiased policy for the distribution of advertisements Student Notes:
by central and state governments, with provisions for scrutiny.
• Periodic Reviews of Editor: It called for periodic reviews of editor and journalist autonomy
and improved wage conditions.
• Concentration of Media Ownership: Concerns were raised about the lack of restrictions on
media ownership, potentially leading to monopolistic practices. The committee urged the
Telecom Regulatory Authority of India to present recommendations on this issue, and the
Ministry of Information and Broadcasting was urged to take decisive action.
Other Recommendations
• Expanding Ambit of Article 19: Commercial speech is protected under Article 19, but
misinformation threatens democracy. The Supreme Court in GOI v. Cricket Association of
Bengal highlighted that biased news undermines democratic values.
• Enhancing Media Literacy: Education and awareness campaigns are essential to make people
aware of the dangers of paid news.
• Supporting Independent Journalism: Promoting independent journalism, free from
advertiser and political influence, ensures accurate and unbiased information for the public.
Considering the role and impact of media on the electorate, all stakeholders who are part of the
electoral process must abide by the common framework and guidelines being issued by the ECI.
Collaboration with media and active cooperation from all parties are essential for the successful
and healthy conduct of elections.

4.6. Issue of Opinion and Exit Polls

• An opinion poll is a pre-election survey to gather voters’ views on a range of election-related
issues. Private media channels generally conduct opinion polls before elections to
understand political trends across the country.
• An exit poll asks voters which political party they are supporting after they have cast their
votes in an election. An exit poll is supposed to give an indication of which way the winds are
blowing in an election.
Issues Associated with the Polls
Supreme Court in PUCL case
(2013) acknowledged the
importance of free and fair
elections. However, both
opinion and exit polls can be highly susceptible to bias and controversy. Several key factors
contribute to this:
• Perceived bias of the polling agency: Public trust is crucial. If the agency conducting the poll
is seen as favouring a particular party or candidate, the entire survey's findings can be
questioned.
• Manipulation through question design: The way questions are worded, framed, and timed
can heavily influence responses. Biased wording can nudge respondents towards specific
answers, skewing the overall results.
• Selective sampling: Choosing the wrong sample (i.e., not representative of the whole
electorate) can lead to inaccurate conclusions. For example, oversampling a specific
demographic can unfairly amplify their opinions within the poll.
• Political motivations: Critics argue that some polls are sponsored by rival parties to
manipulate voter choices, particularly in long-drawn-out elections. This manipulation can
distort genuine public sentiment by swaying undecided voters.

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Steps taken Student Notes:

• In 1998 Lok Sabha and State Assembly polls, Election commission introduced guideline under
Article 324: While carrying the results of exit and opinion polls, newspapers and channels
shall disclose- Sample size of the electorate, Details of polling methodology, Margin of error
and Background of the polling agency.
• In 1999, guidelines were challenged by media and a Constitutional Bench said that ECI cannot
enforce guidelines in the absence of statutory sanction. Therefore, ECI took them down.
• In 2004 ECI gave recommendation to amend the Representation of the People Act 1951 to
ban both exit and opinion polls during a period as specified.
• In 2010, restrictions were imposed only on exit polls through the introduction of Section
126(A) in RPA, 1951.
• In 2017, Election Commission (EC) said that Predictions by astrologers, Tarot readers and
Political analysts on election results cannot be published or broadcast by the media. EC
observed such kind of analysis is equivalent Exit polls.
Way Forward
• An independent regulator that could set up standards of professional integrity for all poll
research and accredit the agencies better scrutiny.
• The regulator can also be empowered to setup standards on parameters of survey like sample
size, sampling methodology, timeframe, quality of training of research staff etc.

4.7. State Funding of Elections

State funding of election implies that the state gives funds to political parties or candidates for
contesting elections. Its main purpose is to make it less important for contestants to take money
from powerful moneyed interests and thus creates a fair playing field for parties with less
money.
Arguments in favour of state funding Arguments against state funding
• Transparency and Financial Restrictions: State • Forced Support Regardless of
funding increases transparency inside the Agreement: Through state funding
party and also in candidate finance, as certain of elections, the taxpayers are
restrictions can be put along with state forced to support even those
funding. political parties or candidates,
• Limiting Influence of Wealthy Individuals and whose view they do not subscribe
Mafias: State funding can limit the influence of to.
wealthy people and rich mafias on elections, • Encouraging Status Quo: State
thereby purifying the election process. funding encourages the status quo
• Encouraging Internal Democracy and that keeps the established party or
Representation: Through state funding the candidate in power and makes it
demand for internal democracy in party, difficult for the new parties.
women representations, representations of • Distance from Ordinary Citizens:
weaker section can be encouraged. State funding increases the distance
• Weaken the dependency on Corporate and between political leaders and
Individual Funding: In India, with high level of ordinary citizens as the parties do
poverty, ordinary citizens cannot be expected not depend on the citizens for
to contribute much to the political parties. mobilization of party funds.
Therefore, the parties depend upon funding by • Risk of Parties Becoming Organs of
corporate and rich individuals, enhancing the the State: Political parties tend to
possibility of quid pro quo arrangement. State become organs of the state, rather
funding of elections can weaken this than being parts of the civil society.
arrangement.

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 Student Notes:

Electoral Bonds Scheme

It was announced in the Union Budget 2017-18. Electoral Bond was a bearer instrument in
the nature of a Promissory Note and an interest free banking instrument. A citizen of India or
a body incorporated in India was eligible to purchase the bond. It was struck down by the
supreme court in 2024 on ground of anonymous funding to political parties as
unconstitutional. Key observations of the Court are as follows:
• Importance of Transparency: Transparency in political funding is crucial for voters to make
informed choices.
• Corporate Access and Influence: Political contributions can lead to access and influence
over policymaking, potentially resulting in quid pro quo arrangements.
o Companies, through financial contributions, exert more influence in politics than
individuals.
o Corporate contributions are often transactional, aimed at securing benefits from
political parties.
o Unlimited corporate contributions violate the principle of free and fair elections and
political equality.
• Alternatives to Electoral Bonds: There are effective alternatives to curb black money in
electoral financing without compromising the right to information.
• Impact on Right to Information: Deletion of disclosures about contributions undermines
the voter's right to information, hindering identification of corruption.

Various committees and commissions have analysed the state funding of elections and have
come out with following recommendations:
Committee/Commission Recommendations
Indrajit Gupta Committee Endorsed state funding for elections and recommended it
(1988) for national and state parties only.
Short-term state funding should only be given in kind to
national and state parties.
Law Commission of India Desirable total state funding with prohibition on other
(1999) funding sources.
It also stressed on regulatory framework (for example,
intra-party democracy, maintenance of accounts, etc.).
Second Administrative Recommended partial state funding to reduce illegitimate
Reforms Commission (2nd election expenses.
ARC, 2008)
National Commission to Appropriate framework for regulation of political parties
Review the Working of the would need to be implemented before state funding is
Constitution (2001) considered.

4.8. One Nation One Election

India’s perpetual election cycle—Lok Sabha, state assemblies, and local bodies—has sparked
intense debate. While elections are the bedrock of democracy, their frequency raises questions:
Do they drain resources, disrupt governance, and dilute accountability? Let’s unravel this complex
issue.
• In the 1950s–60s, India held simultaneous elections for Parliament and state assemblies.
This harmony collapsed in the late 1960s due to political instability, with states dissolving
assemblies prematurely. Today, India witnesses 5–7 state elections yearly, alongside local
polls, creating a near-continuous electoral season.

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4.8.1. Why Frequent Elections Are Student Notes:
Controversial Criticisms and Obstacles to One
Nation, One Election
1. Governance Disruption: The Model Code of
Federalism Under Threat: Regional
Conduct (MCC), enforced during elections,
freezes new policies and welfare schemes. The parties argue that ONOE could
Election Commission of India (ECI) estimates marginalize state issues, with national
that the MCC halts governance for 4–5 months parties dominating the narrative,
annually due to staggered elections, which are overshadowing local concerns like
regional politics or state-specific crises.
held in multiple phases or over several days,
rather than all at once. Accountability Deficit: Staggered
2. Economic Drain: The 2019 Lok Sabha election elections act as “midterm
cost around ₹55,000 crore, with state polls referendums.” In 2018, BJP lost
adding ₹3,000–5,000 crore each. Political Rajasthan, Madhya Pradesh, and
parties collectively spent an estimated ₹60,000– Chhattisgarh ahead of the 2019 Lok
70,000 crore per election cycle, much of it in Sabha polls, a dynamic that ONOE
unaccounted "black money." could disrupt.
3. Security Strain: Over 10 million personnel, Logistical Challenges: India would
including paramilitary forces, are deployed need 2.3 million EVMs for
annually for election duty, diverting resources simultaneous polls, double the current
from critical tasks like counter-terrorism. stock, and managing 970 million voters
4. Voter Fatigue: Turnout in standalone state in one go could lead to administrative
elections (e.g., Bihar 2020: 57%) often lags chaos.
behind national polls (2019 Lok Sabha: 67%),
Constitutional Hurdles: ONOE requires
hinting at voter exhaustion.
amendments to Articles 83, 172, and
4.8.2. The Push for ‘One Nation, One 356, and achieving cross-party
Election’ (ONOE) consensus is difficult, with significant
opposition from regional parties and
The concept of One Nation, One Election (ONOE)
divisions within national parties.
aims to address the challenges of frequent,
staggered elections by synchronizing Lok Sabha and State Assembly elections. Advocates argue
it could:
• Save ₹10,000 crore every five years (ECI estimate).
• Ensure policy continuity and reduce populist freebies.
• Free up security forces and bureaucracy for core duties.
The High-Level Committee on Simultaneous Elections, chaired by Ram Nath Kovind, submitted
its 2024 report with key recommendations for synchronizing elections in India:
1. Simultaneous Elections: The proposal suggests conducting Lok Sabha and State Assembly
elections together in the first phase, followed by local body elections within 100 days in the
second phase.
2. Constitutional Amendments: Recommends 18 constitutional amendments to enable
synchronized elections.
3. One-Time Synchronization: Suggests dissolving all state assemblies and local bodies to align
their terms with the Lok Sabha.
4. Common Electoral Roll: Proposes a single electoral roll for all government tiers.
The Union Cabinet has accepted these recommendations, marking a step toward major electoral
reforms.
Experts suggest a middle path to address the issue of frequent elections.
• One solution is a Two-Tier System, where Lok Sabha and half the state elections are held
together, with the rest occurring mid-term.

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• Another approach is Voluntary Alignment, where states due for elections within 6–12 Student Notes:
months of Lok Sabha elections can synchronize, as seen with Andhra Pradesh in 2019.

LOW VOTER TURNOUT

In India, with over 900
million eligible voters, voter
turnout remains
inconsistent, especially in
urban and under-
represented areas.
While some view
compulsory voting as a
means to strengthen
democracy and ensure civic duty, others argue that non-voting is a fundamental civil right,
and mandatory voting could undermine the democratic process.

Should Voting be made compulsory?

YES NO

Increased Participation: Compulsory voting Abuse of Freedom: Compulsion violates

leads to higher turnout, solving the individual freedom; the right not to vote is
‘participation crisis’ in democracies. equally important.

Greater Legitimacy: Ensures governments Cosmetic Democracy: It addresses

have majority support from all eligible symptoms, not the root causes of civic
voters, not just those who vote. disengagement, masking deeper issues.

Civic Duty: Voting is a civic responsibility, Worthless Exercise: Forcing uninformed or

like taxes or jury duty, ensuring political disinterested people to vote may result in
engagement. random, unthinking votes.

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 Student Notes:
Countering Social Disadvantage: Distorted Political Focus: May distort
Compulsory voting helps ensure that political strategies, leading parties to focus
marginalized groups vote, promoting on volatile ‘marginal’ voters, increasing
political equality. polarization.

Compulsory Voting
As of 2025, 22 countries have laws mandating voting. Few examples are:
• Australia: Mandatory voting since 1924, with fines imposed for non-voters.
• Belgium: Penalties include fines and restrictions on public sector employment.
• Brazil: Voting has been compulsory since 1932, with exemptions for illiterates and those
over 70.

4.9. Issues Related to Delimitation of Constituencies

Delimitation, the process of redrawing electoral constituency boundaries, ensures fair
representation in India's electoral system.
• According to Article 82 of the Indian Constitution, Lok Sabha seats must be adjusted after
each census based on population changes.
• The Constitution (Eighty-Fourth Amendment) Act, 2002 froze constituency boundaries until
after the 2026 census, delaying the delimitation process.
However, recent concerns have emerged regarding its impact.
4.9.1. Key Concerns from Southern States:
• Population Growth Disparity: Southern states like Tamil Nadu, Kerala, and Karnataka have
slower population growth compared to northern states, leading to fears of losing
parliamentary seats if delimitation is based solely on population.
o In Bihar, one member of Parliament represents approximately 3.1 million citizens, while
in Kerala, the corresponding ratio stands at 1.75 million.
• Loss of Political Influence: A reduction in seats could weaken the political influence of
southern states, particularly as northern states might gain more seats, shifting the power
balance.
• Economic Contribution vs. Representation: Southern states argue that despite contributing
significantly to the economy, they receive fewer central funds and fear losing representation
due to population control measures.
• Federalism Concerns: Southern leaders argue that delimitation should respect federal
principles and avoid favoring northern states.
Despite assurances from the Union Home Minister that no state will lose seats, Southern states
remain skeptical, fearing that the delimitation process could still disproportionately benefit
northern states and undermine their political representation.

4.10. Issues Related to Election Commission of India

Election Commission of India is responsible for superintendence, direction and control of
elections to:
• Both the Houses of Parliament (Lok Sabha & Rajya Sabha) and State Legislatures and
• For the offices of President and Vice-President.
One of the key concerns surrounding the functioning of the Election Commission of India (ECI) is
the autonomy and independence of the institution. The issues related to its autonomy and
independence, along with the relevant reforms, are mentioned below:

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 Student Notes:

Issues Recommendations

1. Issues with Appointment and Removal • Reforming the Appointment Process: The
Process Dinesh Goswami Committee (1990)
• Executive Dominance in Appointments: recommended a broad-based selection
The Constitution does not provide the committee for appointing the Chief
qualifications for appointment of an Election Commissioner (CEC) and Election
election commissioner or CEC. The Chief Commissioners (ECs). It proposed including
Election Commissioner and Other the Prime Minister, Leader of Opposition,
Election Commissioners (Appointment, and Chief Justice of India in the selection
Conditions of Service and Term of Office) panel to reduce executive dominance.
Act, 2023, establishes a selection • Ensuring Uniform Removal Procedures:
committee consisting of the Prime Align the removal process of Election
Minister, a Union Minister, and the Commissioners with that of the Chief
Leader of Opposition. Election Commissioner. This would require
This setup has been criticized for omitting the constitutional amendments to protect ECs
CJI from the selection committee, as directed from arbitrary removal and ensure equal
by the 2022 constitutional bench order. The safeguards for all members.
2:1 majority vested in the executive renders Insights from Constituent Assembly
any selection vulnerable to the criticism that debates
those chosen in that manner would not be
seen as independent. Prof. Shibban Lal Saksena wanted the
appointment of the Chief Election
In 2025, a controversy arose when the Commissioner as well as the Election
selection committee ignored a request Commissioners to be confirmed by a two-
from Leader of the Opposition, Rahul thirds majority in a joint session of both
Gandhi. The committee proceeded to Houses of Parliament. He also wanted both
appoint Gyanesh Kumar as the Chief the Chief Election Commissioner and the
Election Commissioner (CEC) and inducted Election Commissioners to be removed by
Vivek Joshi as the third member. the same process, viz., in like manner and on
the like grounds as a Judge of the Supreme
• Removal Process: While the Chief Court, and non-variation of the service
Election Commissioner can only be conditions of the Election Commissioners to
removed in a manner similar to that for their disadvantage, as was provided for in
a Supreme Court judge, the other the service conditions of the Chief Election
Election Commissioners can be removed Commissioner.
on the recommendation of the Chief
Election Commissioner (CEC). This The reason this was rejected was more
provision exposes them to political because the framers had an alternative
pressures, as their tenure is subject to conception of the Election Commission.
the will of the CEC, rather than a more They believed that the institution should
independent body. have one permanent head and that others
could be appointed as and when conditions
so merited.
Of late, these are the precise changes that
are now being demanded to ensure the
independence of the Election Commission
of India (ECI).

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 Student Notes:
2. Salary and Post-Retirement Benefits • Restrictions on Post-Retirement
• Salary Structure: Under the new Act, the Appointments: Impose a mandatory
salaries of the CEC and Election cooling-off period for CECs and ECs before
Commissioners are aligned with those of they can accept government positions.
the Cabinet Secretary, which are This would prevent conflicts of interest
determined by the government. This and enhance public trust in their
shift from a parliamentary-determined impartiality.
salary (salary arrangement was similar to
Supreme Court judges) to a government-
determined one raises concerns about
increased executive influence.
• Lack of Restrictions on Post-Retirement
Appointments: The Chief Election
Commissioner and Other Election
Commissioners (Appointment,
Conditions of Service and Term of Office)
Act, 2023 does not impose any specific
restrictions on the Chief Election
Commissioner (CEC) and Election
Commissioners (ECs) from accepting
government positions after their
retirement. This lack of prohibition has
raised concerns about potential conflicts
of interest and the perception of bias.

3. Lack of Financial Independence • Financial Independence: Reclassify ECI's

The Election Commission of India (ECI) lacks administrative expenses as "charged
financial independence, as its expenses expenditure" on the Consolidated Fund of
require annual approval by Parliament. In India, similar to other independent
contrast, bodies like the Supreme Court, institutions like the Supreme Court and
CAG, and UPSC have charged expenditure, Comptroller and Auditor General (CAG).
drawing funds automatically. This would eliminate dependence on
annual parliamentary approval.
This dependence on government approval
undermines the ECI's autonomy and exposes
it to potential political influence.

4. Lack of independent staff • Independent Secretariat:

• Dependence on Government Second Administrative Reforms
Framework: At lower levels, staff Commission (2009) suggested creating an
members are part of the ECI but remain independent and permanent secretariat
under the broader government for the ECI, akin to those of Parliament or
administrative framework, affecting state legislatures. This would reduce
their promotions and career progression, reliance on government staff and
making them susceptible to executive enhance institutional autonomy.
influence.

5. No power to de-register non-compliant • The Law Commission Report (2015)

political parties. recommended that the ECI be granted
statutory powers to deregister political

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 Student Notes:
According to Supreme court, deregistration is parties that fail to comply with financial
currently limited to cases where: disclosure requirements or misuse tax
• Registration was obtained by fraud. exemptions.
• The party is declared illegal by the central • The Goswami Committee (1990) also
government. suggested empowering the ECI to
• The party amends its internal deregister parties that fail to contest
constitution in a way that violates the elections for a specified period.
Indian Constitution and notifies the
same to Election Commission.

SHOULD MODEL CODE OF CONDUCT BE GIVEN LEGAL STATUS?

The Parliamentary Standing Committee on Law and Justice recommended in its 2013 report
that statutory status be accorded to the MCC. The rationale for the same is as under:
• Existing Legal Framework: The committee noted that most MCC provisions are already
enforceable under various laws like the RPA, 1951, and the IPC 1860 (now Bharatiya
Nyaya Sanhita, 2023), covering offences such as voting secrecy violations, communal
enmity, and voter inducements.
• Enforcement by ECI: The ECI enforces MCC provisions strictly, issuing warnings or
censures and potentially de-recognizing political parties under the Election Symbols
(Reservation and Allotment) Order, 1968, even for non-enforceable violations.
Committee recommended to:
• Integrating ECI Orders into RoPA: It suggested incorporating ECI instructions/orders under
Article 324 into the Representation of People Act, 1951, to avoid encroachment on the
legislative power of Parliament.
• Statutory backing to MCC: The committee recommended enacting a law to give statutory
backing to the MCC, preventing any vacuum in the ECI's exercise of its plenary power (eg.
punishing any party violating the rule) under Article 324 of the Constitution.
Arguments against Legal Status too MCC
• Potential for delay in enforcement: The
decision-making power will go to the
Judiciary and thus the swiftness, expedition
and promptness in dealing with the cases of
violation of MCC will be gone.
• Potential Litigation Issues: Turning these
norms into law would likely create
significant complications, leading to
excessive litigation and overloading the
judicial system.
• Election Commission's view: The Election
Commission itself is of the view that
although statutory back up to the code may make it more effective and strengthen its
binding nature, it may complicate the implementation of the code in the middle of
elections.
• Proven Efficiency of MCC: The manner in which violations of MCC have been handled by
the Election Commission with speed and urgency, proves that the code has stood the test
of time. Therefore, it should be left as an established way of enforcing the code.
• Self-Regulatory Nature: The Model Code of Conduct by its very nomenclature is only a
self-regulatory code (Ministry of Law and Justice).

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 Student Notes:

FORM 17C & DEMAND OF OPPOSITION

What is Form 17C?

Concerns and issues

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4.11. Social Media and Elections Student Notes:

Social media has created

avenues for alternate
viewpoints outside of the
spectre of state control
and in the process
successfully created a cognitive dissonance with the government narrative.
4.11.1. Concerns associated with Social Media
• Disinformation:
Social media platforms amplify
disinformation due to ineffective
content moderation, allowing false
narratives to spread, creating
confusion and misleading voters
during elections.
• Polarisation and violence:
Misinformation on social media
fuels hate, polarization, and vaccine
hesitancy, with real-world
consequences like communal
violence.
o Notably, 95% of internet
shutdowns in India since 2018
were due to social media-
induced violence (Access Now
report).
• Partisanship and Algorithms:
Social media algorithms prioritize
partisan and polarizing content (as
these content gain rapid popularity),
increasing partisan narratives and
further entrenching biases.
o E.g., Dhruv Rathee’s video titled,
“Is India becoming a
DICTATORSHIP?”, garnered over
25 million views on YouTube in
couple of days.
• Echo Chambers and Filter Bubbles: Social media at times can create echo chambers, limiting
exposure to diverse opinions and reinforcing polarization. Users are often exposed only to
content that confirms their existing beliefs.
• Digital Divide: The digital divide excludes those without internet access or digital literacy
from political engagement, limiting access to campaign information and voting.
• Anonymity and Accountability: Anonymity on social media allows freedom of expression,
but also encourages false information and hate speech, as there is no accountability for
harmful content.
• Impact on Political Parties: Social media is making the party workers and intermediaries less
relevant. This enables greater centralization within political parties, as the leader can directly
shape narratives. Also, the use of bots, trolls, and fake accounts to manipulate public opinion
undermines electoral integrity. Major parties invest heavily in these tactics to dominate
online discourse.
o Political parties spent Rs 36.5 crore on online ads for Lok Sabha elections 2024.

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In a democracy, the diversity of opinion and active contestation of political views are essential, Student Notes:
and the rise of platforms for such debates, especially through social media, is a clear sign of the
emerging spaces where democracy is being actively reclaimed during elections in India.

4.12. Artificial Intelligence & Elections

The integration of Artificial Intelligence (AI) into Indian elections, particularly during the 2024
general elections, marked a significant shift in electoral campaigns. AI technologies, ranging from
data analytics to
deep fakes,
transformed how
political strategies
were formulated
and executed.
4.12.1. Opportunities and Benefits of AI in Elections
• Data-Driven Campaign Strategies: AI enabled
political campaigns to analyze voter data. It
enhanced their ability to target specific
constituencies and assisted in customizing
messages for different voter demographics.
• Automation in Voter Outreach: AI-powered tools
like chatbots and virtual assistants improved
communication by facilitating mass-scale voter
interaction and timely information dissemination.
• Breaking Language Barriers: As India’s linguistic
diversity is immense, AI tools helped in overcoming
language barriers by generating region-specific
content. This included using AI to create content in Deepfake refers to the use of
artificial intelligence to create highly
regional dialects, making political messaging more realistic but fake images, videos, or
accessible to a wider audience. audio, often used to manipulate or
deceive viewers.
4.12.2. Challenges Posed by AI in Elections
• Misinformation and Deepfakes: The rise of
deepfake technology presented a major threat, as
it allowed the creation of manipulated videos and audio that spread false information. This
could mislead voters, erode trust, and potentially sway election outcomes, as witnessed
during the 2024 elections.
• Ethical Concerns: AI raised significant ethical concerns, including data privacy breaches and
algorithmic bias. For instance, using AI to create targeted content could raise questions
about transparency and fairness in the electoral process.
• Manipulation of Public Opinion: The unchecked spread of AI-generated misinformation via
social media platforms undermined electoral integrity. The absence of effective regulation
made it challenging to control the spread of deceptive content and polarize public opinion.

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 Student Notes:

4.12.3. AI Elections Accord: Safeguarding Electoral Integrity in the Age of AI

In February 2024, just before the Indian general elections, the AI Elections Accord was unveiled
at the Munich Security Conference, uniting 25 major tech companies, including Microsoft, Meta,
Google, OpenAI, and TikTok, to tackle the rising threat of AI-generated deceptive content in
elections. With over four billion voters across 40 countries participating in elections that year,
the accord became crucial in ensuring the integrity of democratic processes.
The accord's key commitments included developing tools to detect and counter deep fakes,
promoting transparency, and launching public awareness campaigns to educate citizens. It also
emphasized tracking the origins of misleading content and strengthening cross-industry
collaboration to combat AI misuse, thereby fostering trust in both technology and democracy.

4.13. Rising Role of Election Consultancies in Elections

The election management in India has seen following major changes:

• Significant roles of Political consultancy firms: In recent years, Indian election campaigns
have seen the rising influence of professional political consultancy firms. Parties across the
spectrum are increasingly relying on these firms for strategy, data analytics, and media
management. Parties increasingly outsource election management to specialized firms
offering end-to-end campaign services – from Prashant Kishor’s Indian Political Action
Committee (I-PAC) to others like Showtime and Jarvis.
• Data-Driven & Tech-Savvy Campaigns: Political consultancies employ extensive data
analytics, surveys and digital tools to micro-target voters, much like in U.S. campaigns.
Campaign strategies now involve crunching booth-level data and using social media and
WhatsApp for outreach, a phenomenon often dubbed the “Americanisation” of Indian
elections. For example, consultancies like I-PAC run voter surveys and data-driven feedback
for clients.
• Personality-Centric Politics: There is a noticeable shift from party ideology to leader-centric
campaigning. Election narratives increasingly build a presidential-style contest around
individual leaders rather than party platforms. For instance, even regional parties project
strong personalities (e.g. Mamata Banerjee in West Bengal), indicating a move toward
personality cults in campaigns.

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• Continuous Professional Student Notes:
Campaigning: Electioneering has
become a year-round,
professionalized operation.
Between elections, consultants
keep the political narrative alive
through TV, social media, and
orchestrated events. Campaigns
are no longer limited to rallies at
election time but involve
persistent voter engagement,
branding exercises, and crisis
management much like corporate
marketing campaigns.
• Innovative Outreach Techniques:
High-tech and creative campaign
techniques are now common.
Political consultancies introduce
new methods of voter outreach.
Campaigns feature targeted social
media ads, cinematic-style
promotional videos, catchy
slogans, and professional public
relations.

4.14. Landmark Judgments on Electoral Issues

Case Name Year Key Decision
State of Uttar Pradesh v. 1975 Recognized citizens' right to know candidates'
Raj Narain background information like assets, liabilities,
educational qualifications, and criminal records.
Association for 2002 Instructed Election Commission to prevent parties from
Democratic Reforms v. fielding candidates with criminal records.
Union of India Every candidate, contesting an election to the Parliament,
State Legislatures or Municipal Corporation, must declare
their criminal records, financial records and educational
qualifications along with their nomination paper.
Lily Thomas v. Union of 2013 Section 8(4) of The Representation of the People Act,
India 1951 is unconstitutional which allows MPs and MLAs who
are convicted to continue in office till an appeal against
such conviction is disposed of.
Ruled that convicted parliament or state assembly
members would be disqualified from office.

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 Manoj Narula v. Union 2014 Held that individuals charged with crimes should not be Student Notes:
of India automatically disqualified but discouraged parties from
nominating such candidates.
Public Interest 2019 Ordered political parties to publicly disclose candidates'
Foundation v. Union of criminal records.
India
Public Interest 2020 The Supreme Court directed political parties to publish
Foundation vs Union of criminal antecedents of contesting candidates along with
India reasons for fielding each one of these candidates,
notwithstanding their ‘winnability’.

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without prior permission of Vision IAS.

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 Student Notes:
FEDERALISM
Contents
Previous Years' Questions (2013-24).......................................................................................... 167
Previous Years' Questions Analysis: (Avg. weightage: ~13.70%)................................................ 167
1. Federalism .............................................................................................................................. 168
2. Federal Structure.................................................................................................................... 169
2.1. Legislative Relations (Art 245 to 255) ............................................................................. 169
2.1.1. Parliament’s powers to legislate on ‘State list’ matters ........................................... 170
2.2. Administrative Relations (Art 256 to 263) ....................................................................... 171
2.3. Financial Relations (Art 268 to 293) ................................................................................ 172
2.3.1. Grants-in-Aid to States ............................................................................................. 173
2.3.2. Safeguards to secure financial interests of states .................................................... 174
3. Trends in Centre-State Relation ............................................................................................. 175
3.1. Cooperative Federalism and Competitive Federalism .................................................... 175
4. Issues Related to Centre-State Relations ............................................................................... 176
4.1 Pertaining to Legislative relations .................................................................................... 176
4.2 Pertaining to administrative relations .............................................................................. 177
4.3 Pertaining to financial relations ....................................................................................... 179
5. Few Important Themes in Detail ............................................................................................ 181
5.1. Inter State Council ........................................................................................................... 182
5.2. Inter-State Water Dispute (ISWD) Tribunals.................................................................... 182
5.3. GST Council and Issues of Central Supremacy ................................................................ 183
5.4. State Involvement: Key to Equitable Finance Commission Terms................................... 183
5.5. Impact of Central Investigative Agencies on India's Federal Harmony ........................... 184
5.6. Aggressive Regionalism and Impact on Federalism ........................................................ 184
5.7. Need for Revisiting the 7th Schedule .............................................................................. 185
5.8. Governor and Centre-state Relations.............................................................................. 186
5.8.1. Governor’s Power under Article 200........................................................................ 186

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 Student Notes:
Previous Years' Questions (2013-24)
• Many State Governments further bifurcate geographical administrative areas like Districts
and Talukas for better governance. In light of the above, can it also be justified that more
number of smaller States would bring in effective governance at State level? Discuss. (2013,
10 marks)
• Constitutional mechanisms to resolve the inter-state water disputes have failed to address
and solve the problems. Is the failure due to structural or process inadequacy or both?
Discuss. (2013, 10 marks)
• Though the federal principle is dominant in our Constitution and that principle is one of its
basic features, but it is equally true that federalism under the Indian Constitution leans in
favour of a strong Centre, a feature that militates against the concept of strong federalism.
Discuss. (2014, 12.5 marks)
• Discuss the essentials of the 69th Constitutional Amendment Act and anomalies, if any, that
have led to recent reported conflicts between the elected representatives and the institution
of the Lieutenant Governor in the administration of Delhi. Do you think that this will give rise
to a new trend in the functioning of the Indian federal politics? (2016, 12.5 marks)
• Whether the Supreme Court Judgement (July 2018) can settle the political tussle between
the Lt. Governor and elected government of Delhi? Examine. (2018, 15 marks)
• From the resolution of contentious issues regarding distribution of legislative powers by the
courts, 'Principle of Federal Supremacy' and 'Harmonious Construction' have emerged.
Explain. (2019, 10 marks)
• How far do you think cooperation, competition and confrontation have shaped the nature of
federation in India? Cite some recent examples to validate your answer. (2020, 10 marks)
• Indian Constitution exhibits centralising tendencies to maintain unity and integrity of the
nation. Elucidate in the perspective of the Epidemic Diseases Act, 1897; The Disaster
Management Act, 2005 and recently passed Farm Acts. (2020, 15 marks)
• How have the recommendations of the 14th Finance Commission of India enabled the States
to improve their fiscal position? (2021, 10 marks)
• The jurisdiction of the Central Bureau of Investigation (CBI) regarding lodging an FIR and
conducting probe within a particular State is being questioned by various States. However,
the power of the States to withhold consent to the CBI is not absolute. Explain with special
reference to the federal character of India. (2021, 15 marks)
• "While the national political parties in India favour centralisation, the regional parties are in
favour of State autonomy." Comment. (2022, 15 marks)
• Account for the legal and political factors responsible for the reduced frequency of using
Article 356 by the Union Governments since mid 1990s. (2023, 15 marks)
• What changes has the Union Government recently introduced in the domain of Centre-State
relations? Suggest measures to be adopted to build the trust between the Centre and the
States and for strengthening federalism. (2024, 15 marks)

Previous Years' Questions Analysis: (Avg. weightage:

~13.70%)
1. Centre-State Relations are Key: This high-weightage topic requires a thorough understanding
of legislative, administrative, and financial relations between the Union and States.
○ PYQ Example: "How far do you think cooperation, competition and confrontation have
shaped the nature of federation in India? Cite some recent examples to validate your
answer. (2020, 10 marks)"
2. Contemporary Federal Issues: Focus on current challenges such as disputes over resources
(water, finances), role of Governor, demands for state autonomy, impact of central
laws/schemes on states, and mechanisms like GST Council.

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 ○ PYQ Example: "The jurisdiction of the Central Bureau of Investigation (CBI) regarding Student Notes:
lodging an FIR and conducting probe within a particular State is being questioned by
various States... Explain with special reference to the federal character of India. (2021, 15
marks)"
3. Commissions and Doctrines: Study recommendations of key commissions (Sarkaria,
Punchhi) and judicial doctrines related to federalism (e.g., Pith and Substance, Harmonious
Construction).
○ PYQ Example: "From the resolution of contentious issues regarding distribution of
legislative powers by the courts, 'Principle of Federal Supremacy' and 'Harmonious
Construction' have emerged. Explain. (2019, 10 marks)"
-------------------------------------------------------------------------------------------------------------------------------

1. Federalism
Federalism is a system where power is constitutionally divided between a central government
and regional entities, allowing each to govern independently within their areas while working
together on shared issues.
Federalism in India
India is often considered quasi-federal, combining both federal and unitary elements. While the
country operates with a federal system, the Constitution does not explicitly use the term
"federal." Instead, Article 1 refers to India as a "Union of States."

Characteristics of the Indian Federal System

• Division of Powers: The Indian Constitution divides legislative powers between the Centre
and States through three lists—Union, State, and Concurrent. The Union List covers
subjects of national importance, while the State List deals with local issues. The Concurrent
List includes subjects where both the Centre and States can legislate.
• Constitutional Supremacy: The Constitution is the supreme law, governing both the
Centre and the States. Any violation of its provisions can be challenged in court, ensuring
the rule of law.
• Written and Rigid Constitution: India has a written Constitution with 395 Articles, making
it one of the most comprehensive in the world. It is also rigid, meaning changes, especially
those affecting federal relations, require approval from both Parliament and State
legislatures.
• Independent Judiciary: The judiciary in India is independent and plays a crucial role in
upholding the Constitution. The Supreme Court has the power to declare laws
unconstitutional, ensuring checks and balances.
• Bicameral Legislature: India’s Parliament is bicameral, consisting of the Lok Sabha (House
of the People) and the Rajya Sabha (Council of States), ensuring representation of both the
people and the states in the legislative process.
India's federal structure differs significantly from that of the USA, where states came together to
form a federation. When drafting India's Constitution, the primary focus was on ensuring the
"unity and integrity of India." As a result, the Constitution includes several provisions that give
it a unitary character, favoring the Union over the states. Some of key unitary features are
mentioned below:
• Residuary powers are with the Union Government
• Concept of single citizenship
• States can be created or diminished without their consent
• All India Services officers head important positions in States
• Emergency Provisions, especially Article 356

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The Indian Constitution thus created a strong central government with state autonomy. Despite Student Notes:
this centrist approach for unity, the Supreme Court in S.R. Bommai vs. Union of India affirmed
federalism as a basic feature.

Rationale for strong unitary bias in Indian Federalism.

• Historical context and national unity:
o Need to prevent fragmentation after independence
o Aim to forge a unified national identity
• Economic integration and development:
o Centralized planning for balanced regional growth
o Equitable distribution of resources across states
o Coordinated implementation of national economic policies
• National security and external threats:
o Maintaining a strong central authority for defence
o Ability to respond swiftly to external aggression or internal unrest
o Preventing secessionist movements and ensuring territorial integrity
• Administrative efficiency and uniformity:
o Standardized policies and regulations across the country
o Easier coordination of national programs and schemes
o Streamlined decision-making during emergencies or crises

2. Federal Structure
Being federal in nature, our Constitution divides
legislative, executive and financial powers
between the Centre and States. However judicial
powers are exercised by an integrated judicial
system, which enforces both the central and state
laws.

2.1. Legislative Relations (Art 245 to

255)
As per the Indian Constitution, legislative or law-making powers are not vested in a single tier
of government, rather they have been distributed between the Centre and the States with
respect to territory and subject matter.

1. Territorial Jurisdiction
Parliament can make laws for the whole or any part of the territory of India as well as extra
territorial legislative powers. Whereas a state can legislate only for their state.
However, there are certain limitations to territorial jurisdiction of Parliament in certain
situations. For example- Scheduled Areas.

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 Student Notes:
2. Subject Matter
In the context of subjects of legislation, the constitution divides the subjects in three lists-
Union, State and Concurrent
List under the VIIth Schedule of
the Constitution. Example of Subjects Divided between Union and State
Central State Both
Article 248 of the Indian Government Government Governments
Constitution grants the Centre the (Union List) (State List) (Concurrent List)
residuary powers, meaning the Defence, Police, Trade, Education,
authority over matters not Banking, Agriculture, Forest, Trade,
specifically enumerated in any of Currency, Irrigation Marriage,
the lists in the 7th Schedule shall be Foreign Affairs, Adoption
exclusively handled by the Union Communication
Government.
• The Constitution gives precedence to the Union List over the other two lists and the
Concurrent List over the State List in cases of overlapping jurisdiction.
• Under specific circumstances, such as national interest or international agreements,
Parliament can legislate on State List subjects.
Additionally, the Centre has control over certain state legislations, including the power of the
Governor to reserve bills for the President's approval, and the President's authority during
financial emergencies.
2.1.1. Parliament’s powers to legislate on ‘State list’ matters
1. Rajya Sabha Resolution (Article 249)
Parliament in the national interest can make laws on a State List subject if the Rajya
Sabha passes a resolution by a two-thirds majority.
• The resolution remains valid for one year and can be extended indefinitely, but only
one year at a time.
• Once the resolution ceases, the law remains valid for six months unless renewed.
• State Legislatures can still legislate on the same subject, but if there is a conflict, the
parliamentary law prevails.
2. During a National Emergency (Article 250)
When a National Emergency is declared under Article 352, Parliament gains the power
to make laws on any subject in the State List.
• Such laws remain valid only during the emergency and cease to have effect six
months after the emergency ends.
• States retain legislative authority, but in case of a conflict, the parliamentary law
prevails.
3. During President’s Rule (Article 357)
If President’s Rule is imposed in a state due to a constitutional breakdown, Parliament
can assume the legislative powers of the state legislature.
• Parliament may delegate this power to the President or another authority.
• Laws enacted under President’s Rule remain in force even after it ends, unless
amended or repealed by the state legislature.
4. When Two or More States Request (Article 252)
If two or more state legislatures pass a resolution requesting Parliament to legislate on
a State List subject, Parliament can pass a law applicable to those states.
• The law can later be adopted by other states through a resolution.
• Only Parliament can amend or repeal such a law; State Legislatures cannot.
• Examples:

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 ○ Wildlife Protection Act, 1972 (Passed following requests by states) Student Notes:
○ Urban Land (Ceiling and Regulation) Act, 1976
○ The Transplantation of Human Organs Act, 1994
5. To Implement International Agreements (Article 253)
Parliament can legislate on any subject, including those in the State List, to fulfill
international treaties, agreements, or conventions. This ensures India’s compliance with
global commitments.
• Examples:
○ Equal Remuneration Act, 1976 (Based on ILO guidelines for wage equality)
○ Biological Diversity Act, 2002 (Following the Rio Convention, 1992)
Other Instances of Union’s Dominance Over State
Legislation
Apart from the above provisions, the Constitution
grants the Union Government significant control
over State laws:
• Governor’s Power to Reserve Bills – The
Governor can reserve state bills for
Presidential assent, and the President can
veto such bills.
• Presidential Sanction for Certain State Bills –
Certain bills in the State Legislature must
obtain prior approval from the President
before they can be introduced. For instance,
bills that affect the powers of the High Court
or bills that impose restrictions on trade and
commerce require this approval.
• Financial Emergency (Article 360) – During a
Financial Emergency, the Union can direct
states to reserve financial and money bills for
Presidential consideration.

2.2. Administrative Relations (Art 256 to 263)

The framers of the Indian Constitution included detailed provisions to manage administrative
relations between the Centre and State, aiming to minimize conflicts between the two. Some key
features are:
• Directives by the Union to the State governments: Article 256 mentions that the executive
power of every state shall be so exercised as to ensure compliance with laws made by
Parliament and any existing laws.
• Delegation of Union functions to the States: The President may, with the consent of the
State government, entrust (either conditionally or unconditionally) to that government any
of the executive functions of the Centre.

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• All India Services: Besides the Central and State services, the Constitution under Article 312 Student Notes:
provides for the creation of an additional "All-India Services", common to both the Union and
States.
• Inter-State Council: The Constitution includes provisions to foster intergovernmental
cooperation and consultation, ensuring national policies are shaped through consensus.
One key mechanism is the Inter-State Council (ISC), which has held 10 meetings and made
decisions such as time-bound clearance of bills for the President’s consideration, approval of
an alternative tax devolution scheme to states, and addressing the misuse of Article 356.
• Inter-State River Water Dispute: The Parliament may by law, provide for the adjudication of
any dispute or complaint with respect to the use, distribution or control of the waters of, or
in, any inter-state river or river valley.

2.3. Financial Relations (Art 268 to 293)

The financial relations between the Union and the States can be studied under the following
heads:

Taxes Levied by the Union Taxes Levied by the States Concurrent List and Taxation
(Union List) (State List)
The Concurrent List does not
The Parliament has The State Legislatures have contain any taxation powers,
exclusive authority to exclusive authority to meaning both the Centre and
impose taxes on subjects impose taxes on subjects States do not have
listed under the Union List. listed under the State List. simultaneous authority to
impose the same tax.
Examples include income Examples include land
tax (except agricultural revenue, agricultural income However, an exception was
income), corporation tax, tax, stamp duty (except in introduced through the 101st
customs duties, excise certain cases), state excise Constitutional Amendment
duties (except on alcohol), on alcohol, motor vehicle Act, 2016, which granted
service tax (now subsumed tax, and tax on professions concurrent taxing powers for
under GST), and wealth tax. and employment. Goods and Services Tax (GST)
to both the Parliament and
State Legislatures.
Residuary Powers of Taxation
• The Constitution grants Parliament exclusive authority over residuary taxation (i.e.,
taxes not mentioned in any of the three lists).
• Using this power, the Centre has introduced taxes like gift tax, expenditure tax, and
wealth tax.

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2.3.1. Grants-in-Aid to States Student Notes:

Apart from tax revenue sharing, the Constitution of India provides for grants-in-aid from the
Central Government to State Governments to support their financial needs.

Statutory Grants (Article Discretionary Grants (Article Other Temporary Grants

275) 282) The Constitution originally
Parliament has the Both the Centre and States provided for a special
authority to provide grants have the power to provide category of grants for a
to States in need of grants for any public limited period.
financial assistance. purpose, even if the purpose • These grants were meant
• These grants are not does not fall within their to compensate certain
available to all States, legislative competence. States (Assam, Bihar,
but only to those • These grants are provided Odisha, and West Bengal)
requiring special at the discretion of the for the loss of revenue
financial support. Central Government, due to export duties on
• The amount allocated meaning the Centre is not jute and jute products.
varies from State to obligated to allocate • These grants were to be
State based on its these funds. provided for ten years
financial condition. • The primary objectives of from the commencement
• These grants are these grants include: of the Constitution and
charged on the A. Financial support to were charged to the
Consolidated Fund of States to help them Consolidated Fund of
India and are released achieve economic India.
annually. and social • Like statutory grants,
Special Provisions development goals. these grants were
The Constitution mandates B. Enabling the Centre allocated based on
specific grants for to coordinate and Finance Commission
promoting the welfare of influence State-level recommendations.
Scheduled Tribes and for policies in line with Therefore, Grants-in-aid play a
improving administration national priorities. crucial role in India’s federal
in Scheduled Areas, Since these grants do not fiscal system, ensuring that
including Assam. follow a fixed formula and States receive adequate
All grants under Article 275 are determined based on financial support to meet
(both general and specific) policy objectives, they developmental and
are recommended by the provide the Central governance needs.
Finance Commission and Government with leverage to
form an essential part of influence State-level planning
fiscal federalism in India. and governance.
The Finance Commission (Article 280) recommends on the distribution of tax revenues between
the Union and the States, as well as among the States themselves. It also determines the
principles for providing grants to states.

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 Student Notes:

The present position with respect to the distribution of tax revenues between the centre and the
states is as follows:

2.3.2. Safeguards to secure financial interests of states

Constitution has built certain safeguards to secure the financial interests of states.

During emergencies, financial relations between the Centre and States can change, allowing the
President to modify the constitutional distribution of revenues.

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 Student Notes:
3. Trends in Centre-State Relation
Evolution of India’s federalism since Independence

Phase Description

The First Phase Marked by smooth federalism due to single-party rule in most
(Independence to Mid- states and the Centre.
1960s)

Second Phase (Post-1967 Non-Congress state governments opposed centralization,

Elections) demanding more state autonomy and greater financial
resources.

Confrontational federalism Regional parties like DMK and RJD began asserting their
(1967- late 1980s) interests, leading national parties to give more importance to
regional roles in governance.

Cooperative Federalism The era marked a shift towards collaboration between the
(1991- 2014) Centre and states, with more emphasis on working together for
national development.

Competitive & Cooperative The current phase combines elements of competition and
Federalism (2014-present) cooperation, where states are encouraged to compete in areas
like development while also cooperating with the Centre

3.1. Cooperative Federalism and Competitive Federalism

Aspect Cooperative Federalism Competitive Federalism
Definition Horizontal relationship between Relationship between Centre and
Centre, states, and local governments. states or among states based on
competition.
Key Features • Encourages collaboration and • Promotes competition among
shared responsibilities. states for better governance.
• Focuses on mutual trust and • Focuses on innovation and
respect. economic competitiveness.
• Examples: NITI Aayog, 73rd and • Examples: Vibrant Gujarat, Ease
74th Amendments. of Doing Business reforms.
Significance • Ensures holistic national • Drives states to improve public
development. services and governance
• Helps in resolving common issues through competition.
collectively. • Encourages states to attract
investment and implement
reforms.
Challenges • Potential for unequal resource • Risk of "Race to the Bottom"
allocation. where weaker states may
• Requires strong mutual trust. struggle.
• Can lead to inter-state rivalries
and political blockages.
Impacts • Strengthens national integration. • Improves economic efficiency.
• Fosters inclusive growth. • Enhances state-level
governance and accountability.

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 Student Notes:
4. Issues Related to Centre-State Relations
4.1 Pertaining to Legislative relations
Issue Recommendation
A. Encroachment by the Centre on State List Enhance State Autonomy in Legislation
Subjects: There have been several • The Sarkaria Commission (1983)
instances where the Union government recommended that the Union
has enacted laws on these subjects, government should refrain from
leading to disputes and political tensions. legislating on subjects in the State List
• A notable example is the Farm Laws unless absolutely necessary for national
(2020), which were widely criticized as interest.
an overreach into State List matters, • The Punchhi Commission (2007)
particularly agriculture. suggested that greater legislative
• Similarly, the Centre has exercised flexibility should be granted to States,
control over health and education allowing them to enact laws suited to
policies, even though these are their regional needs.
primarily State subjects. • D.D. Basu, in his constitutional analysis,
This trend raises concerns about State advocated for cooperative federalism,
autonomy and cooperative federalism. where the Centre consults States
before legislating on subjects that
impact regional governance.
B. Centre’s Dominance Over the Concurrent Address the Centre’s Overreach in the
List Concurrent List
The Concurrent List allows both the Union and • The Sarkaria Commission
State governments to legislate on shared recommended that the Union
subjects such as criminal law, marriage and government should legislate on
divorce, bankruptcy, and electricity. However, Concurrent List subjects only when
under Article 254, if there is a conflict between national uniformity is essential.
a Central and State law, the Central law • The Punchhi Commission emphasized
prevails. the need for structured consultation
This provision has often led to situations where with States before enacting laws on
the Union government enacts laws on subjects in the Concurrent List, ensuring
Concurrent List subjects without consulting a broad agreement between both
the States, reducing their ability to frame laws levels of government.
suited to their regional needs. The lack of a
structured consultation mechanism has led to
several political and administrative conflicts
between the Centre and the States.
C. Absolute Veto of the President Over State Limiting the President’s Absolute Veto Over
Bills State Bills
Under Article 200, Governors have the • The Sarkaria Commission
authority to reserve certain bills passed by recommended that a reasonable time
State Legislatures for the President’s limit should be imposed on the
consideration. However, Article 201 states that President’s consideration of State Bills,
the President can either grant or withhold preventing indefinite delays in State
assent without any prescribed time limit. legislation.
This has led to indefinite delays in the approval • The Punchhi Commission proposed that
of important State legislation, affecting if the President withholds assent, the
governance and hindering the legislative reasons should be clearly stated,

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 autonomy of States. The lack of a fixed timeline allowing the State Legislature to make Student Notes:
for the President’s decision creates legal necessary modifications.
uncertainty, making it difficult for States to • D.D. Basu suggested that the
implement key policies. Governor’s discretionary power to
reserve bills should be exercised with
caution and should not be used as a
routine measure.
D. Rajya Sabha’s Reduced Role as a Strengthening the Federal Role of the Rajya
Representative of States Sabha
The Rajya Sabha was originally intended to act • The Sarkaria Commission
as a federal chamber that would safeguard recommended that the representation
State interests. However, due to coalition of States in the Rajya Sabha should be
politics and the dominance of national restructured to ensure a fairer balance,
parties, its role as a true representative of reducing the dominance of larger
States has weakened over time. States.
Instead of serving as a forum for protecting • The Punchhi Commission proposed that
State concerns, the Rajya Sabha often equal representation for all States,
functions as an extension of national party irrespective of population size, should
politics, limiting its effectiveness in resolving be considered to strengthen the Rajya
Centre-State disputes. Additionally, States with Sabha’s federal character.
larger populations have greater
representation, leading to an imbalance in
federal representation.

4.2 Pertaining to administrative relations

Issue Recommendations
A. Control Over All India Services (Article 312) Enhancing State Control Over All India
The All India Services (AIS)—including the Indian Services
Administrative Service (IAS), Indian Police Service • The Sarkaria Commission (1983)
(IPS), and Indian Forest Service (IFoS)—are recommended that State
recruited, trained, and controlled by the Centre, governments should have greater
yet they serve in State administrations. While autonomy in the posting and
State governments oversee their immediate promotion of AIS officers to prevent
functioning, critical career decisions such as over-centralisation.
promotions, deputations, and disciplinary • The Punchhi Commission (2007)
actions remain under the Union’s jurisdiction. suggested the creation of new All
This creates administrative friction, as the Chief India Services in sectors such as
Secretary and Director General of Police (DGP)— health, judiciary, and digitisation to
who head the State bureaucracy and police force, address emerging governance
respectively—belong to AIS, leading to a dilution challenges while maintaining a
of State control over its own administration. federal balance.
Additionally, uniform recruitment and training fail
to reflect India’s regional and linguistic diversity,
raising concerns over the suitability of AIS officers
in certain States.
B. Deployment of Central Armed Forces in Ensuring Consensus in the Deployment
States of Central Armed Forces
Law and order, including policing and public order, • The Sarkaria Commission
is a State subject under the Seventh Schedule. recommended that States should be

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 However, the Union government frequently consulted before the deployment of Student Notes:
deploys Central Armed Police Forces (CAPFs) in Central forces, except in cases of
States without their consent. extreme emergency.
For example, during the 2021 West Bengal • The Punchhi Commission proposed
Assembly elections, the State government that intergovernmental
opposed the deployment of the CRPF, arguing mechanisms should be
that it violated federal principles. Such instances strengthened to ensure a
create tensions between the Centre and consensus-based approach to
opposition-ruled States, leading to allegations of internal security management.
political misuse of security forces.

C. Over-Centralization in Developmental Reducing Over-Centralization in

Matters Developmental Policies
The Centre exercises significant control over • The Sarkaria Commission
developmental sectors, such as education and emphasised that while national
health, through regulatory bodies like the security requires a strong Union,
University Grants Commission (UGC), the All developmental matters like
India Council for Technical Education (AICTE), and education and health should be left
the National Council of Educational Research and to States and Local Bodies.
Training (NCERT). • The Punchhi Commission
For instance, the AICTE Act (1987) prevents States recommended that the Centre
from enacting higher education laws inconsistent should focus on policy formulation
with it, limiting their policy-making autonomy. and financial devolution, while
Similarly, State governments lack independent implementation should be left to
authority in designing policies for sectors that fall the States to enhance efficiency and
under their jurisdiction. local governance.

D. Ineffectiveness of the Inter-State Council Strengthening the Inter-State Council

The Inter-State Council, established under Article • The Sarkaria Commission suggested
263, was meant to facilitate Centre-State dialogue that the Inter-State Council should
on governance issues. However, it has remained be made a permanent body with
largely ineffective due to infrequent meetings, regular meetings and greater State
non-binding recommendations, and Union representation.
government dominance in decision-making. The • Institutional mechanisms should be
lack of a structured, permanent mechanism for established to make the Council’s
Centre-State cooperation has reduced the recommendations more binding,
Council’s effectiveness in resolving disputes. ensuring effective dispute
resolution.
E. Frequent Use of President’s Rule (Article 356) Preventing Misuse of President’s Rule
Article 356 allows the President to impose • The Sarkaria Commission
President’s Rule in a State if there is a failure of recommended that Article 356
constitutional machinery. However, in practice, it should be used sparingly and only
has been frequently misused for political after exploring all other
purposes, particularly to dismiss opposition-ruled constitutional options.
State governments. • Punchhi Commission:
The SR Bommai vs Union of India (1994) o Minor breaches of constitutional
judgment established that President’s Rule provisions shouldn’t be seen as a
should only be used as a last resort and must be failure of constitutional
subject to judicial review. However, political machinery.
manipulation of Article 356 remains a persistent

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 issue in Centre-State relations. o Alternative measures should be Student Notes:
exhausted before invoking
Article 356.
• The Supreme Court’s SR Bommai
judgement (1994) mandated that
any imposition of President’s Rule
must be justified with valid
constitutional reasons and should
be subject to judicial review.
F. Politicization of Governor’s Appointment Reforming the Governor’s Role
The Governor, as the constitutional head of a • The Sarkaria Commission
State, plays a crucial role in Centre-State recommended that the Chief
relations. However, the appointment process has Minister should be consulted before
been criticized for being politically motivated, as appointing a Governor to reduce
the Centre often appoints individuals aligned political influence.
with the ruling party at the national level. • The Punchhi Commission proposed
Additionally, the Governor’s discretionary powers that Governors should be eminent
under Article 163 have been misused to interfere persons detached from active
in State politics, particularly in matters such as politics and should have a fixed
government formation and State bills. This has tenure for stability.
led to frequent conflicts between Governors and • The scope of discretionary powers
elected State governments, undermining federal under Article 163 should be
principles. narrowly defined to prevent
arbitrary interventions in state
affairs.

4.3 Pertaining to financial relations

Issue Recommendation
A. Increasing Role of Centrally Sponsored Reforming Centrally Sponsored Schemes
Schemes (CSS) in State Finances (CSS)
The 15th Finance Commission observed that • The 15th Finance Commission
Centrally Sponsored Schemes (CSS) have gained recommended that CSS should be
disproportionate importance in overall financial reviewed, prioritizing investment in
transfers to States, often encroaching upon health, education, and income
State List subjects. Since CSS requires States to generation rather than enforcing one-
co-fund these schemes, they reduce the fiscal size-fits-all schemes.
autonomy of States and impose additional • The Union government should
financial burdens. provide more flexibility for States to
For example, Delhi refused to implement the modify CSS according to local needs.
Ayushman Bharat scheme because it already • Cost-sharing mechanisms in CSS
runs its own healthcare initiative, illustrating the should be explicitly defined in
mismatch between CSS priorities and State legislation, ensuring fairness in
preferences. financial burden distribution.

B. Rising Share of Cess and Surcharges in Reviewing Cess and Surcharges to

Centre’s Revenue Increase State Revenue
The growing use of cess and surcharges by the • The 15th Finance Commission
Centre has led to a decline in the size of the recommended that cess and
divisible tax pool shared with States. In FY 2018, surcharges should be reviewed to
cess and surcharge accounted for 16% of the increase the share of States in total

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 Centre’s gross tax revenue, limiting the tax revenue. Student Notes:
resources available for State transfers. Since • A fiscal mechanism should be
States have no share in revenue raised through introduced to regulate cess and
cess and surcharges, this reduces their fiscal surcharge usage, ensuring that they
independence. do not disproportionately reduce the
divisible pool.
C. High Dependence of States on Central Reducing Dependence on Central Grants
Grants • States should enhance fiscal
Many States, particularly those with weaker transparency and adopt better
economic bases, rely heavily on Central grants financial management practices to
for revenue. For instance, 90% of Nagaland’s raise funds from bond markets,
revenue is funded by the Union government. reducing dependency on Central
There have also been allegations that financial grants.
transfers are influenced by political • The Finance Commission should
considerations, as seen in Andhra Pradesh’s develop a transparent, formula-
complaints of financial discrimination. based approach for determining grant
allocations, reducing political
influence in financial transfers.

D. Challenges in the GST Regime Strengthening the GST Regime

Under the GST system, several States, such as • The 15th Finance Commission
Karnataka and Maharashtra, have struggled to recommended that States should
meet the projected 14% revenue growth. With strengthen GST compliance, reduce
the end of GST compensation in 2022, many tax evasion, and modernize tax
States are facing financial hardships, particularly administration.
amid slow economic growth (RBI Report, 2023). • The establishment of an Inter-State
Additionally, the Centre holds disproportionate Trade and Commerce Council under
voting power in the GST Council, reducing State Article 307 should be considered to
influence over tax policy decisions. Delayed GST enhance coordination in fiscal
compensation payments have further worsened matters.
the financial situation of States. • The Centre should ensure timely GST
compensation payments to prevent
State liquidity crises.
E. Population-Based Resource Allocation and Addressing Population-Based Resource
Southern States’ Concerns Allocation Concerns
The 15th Finance Commission’s decision to use • The 15th Finance Commission
2011 Census data for fund allocation has raised introduced a 12.5% weightage for
concerns, particularly among Southern States. demographic performance,
These States argue that they are being penalized rewarding States that have effectively
for successful population control measures, as controlled population growth.
the distribution formula favors more populous • Future Finance Commissions should
States. consider additional incentives for
States that implement successful
governance reforms beyond
population control.

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 Student Notes:
F. Fiscal Responsibility and Farm Loan Waivers Ensuring Fiscal Responsibility and
After the 1991 economic reforms, States Regulating Loan Waivers
assumed greater fiscal responsibilities, • The 15th Finance Commission
particularly in public service delivery. However, recommended that farm loan waivers
many have struggled to maintain fiscal should be an exception and should be
discipline, particularly due to the rising trend of accompanied by structural reforms to
farm loan waivers. prevent repeated fiscal crises.
While loan waivers provide temporary relief, • Competitive and cooperative
they strain State finances, damage credit federalism should be encouraged by
culture, and encourage repeated demands for introducing Measurable Performance
waivers. Indicators (MPIs) to reward fiscally
responsible States.
G. Restrictions on State Revenue Enhancing State Revenue Generation
Augmentation • Periodic revision of mineral royalty
Certain constitutional and legal restrictions limit rates should be undertaken to ensure
the ability of States to increase their revenue: fairer revenue distribution between
• Non-revision of mineral royalty rates affects the Centre and mineral-rich States.
the income of mineral-rich States. • The ceiling on Professional Tax should
• The Professional Tax ceiling (₹2,500 per be removed or increased through a
annum) restricts States from increasing tax constitutional amendment, giving
collections from high-income professionals. States greater flexibility in taxation
policies.

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 Student Notes:
5. Few Important Themes in Detail
5.1. Inter State Council
The Inter-State Council (ISC), created under Article 263 of the Constitution, helps coordinate
between states. While not a permanent body yet, it plays a key role in resolving federal disputes
and fostering cooperation between the Centre and States. It has the potential to strengthen both
vertical (Centre-State) and horizontal (inter-State) relations. Various issues faced by the ISC and
recommendations to improve upon the working are as follows:

Issues Recommendations

Non-permanent body The Punchhi Commission recommended that the ISC should be
made a permanent body under the Constitution.

Advisory in nature The Punchhi Commission recommended strengthening

consensus-building and voluntary settlement of disputes.

Lack of technical The Punchhi Commission also recommended that the ISC should
expertise have expert advisory bodies or administrative tribunals with
quasi-judicial authority to give recommendations to the ISC as
and when needed.
The Sarkaria Commission had suggested that the ISC and its
Standing Committee should be given the power to set up ad hoc
Sub-Committees to investigate special matters.

Infrequent meetings Giving constitutional or statutory status to the ISC may ensure
that the ISC meets regularly and is given sufficient resources.

5.2. Inter-State Water Dispute (ISWD) Tribunals

The Inter-State Water Tribunals often face long delays, sometimes taking decades to reach a
decision. These delays are due to the process itself and further extended by challenges in the
Supreme Court, leading to inefficiencies in the system. Some key issues here are:

Following efforts were taken by the Central Government through 2002 amendment to the
ISWD act, 1956 to overcome these issues:
• Time-bound Constitution: It mandated tribunal constitution within a year of the request.
• Timeframe: The tribunal was required to issue awards within three years, extendable by two
years, establishing a maximum five-year timeframe.
• The Tribunal Awards will have the same force as the order or decree of the Supreme Court.

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 Student Notes:
The Inter-state River Water Disputes
(Amendment) Bill, 2019
The Inter-State River Water Disputes
(Amendment) Bill, 2019 was introduced to
address the prolonged delays and inefficiencies
in resolving inter-state water disputes.
Key Provisions of The Bill:
• Disputes Resolution Committee (DRC):
Government-mandated committee for
amicable resolution within one year,
extendable by six months.
• DRC Members: Experts from relevant fields
appointed by the central government.
• Permanent Tribunal: Standalone tribunal
creation with multiple benches, dissolving
existing ones and transferring pending
disputes.
• Data Bank and Information Maintenance:
Transparent data collection nationally for
each river basin, managed by a single agency.

5.3. GST Council and Issues of Central Supremacy

GST is a destination-based indirect tax reform aimed at creating a ‘One Nation, One Tax’ system
with uniform tax rates across the country. It is levied on interstate commerce/trade by the Centre
and shared between the Union and states as per Article 269A, following recommendations from
the GST Council.
Challenges related to GST Council and Supremacy of Centre:
• The Union Finance Minister is its chair.
• The Centre holds 1/3rd voting power in the GST Council, while states share the remaining
2/3rd equally. Decisions require a 75% majority, effectively giving the Centre veto power.
• Substantial part of the IGST not shared: IGST constitutes around 55 % of collection. However,
Rs 2.4 Lakh crore remained undistributed in 2021-22, impacting fund-starved states.
• Issues related to GST Compensation fund: Many states urged the Centre to extend it for
another five years However, the Centre said that no more compensation will be required by
the states as the GST revenue collection for states has been very robust.
• Disparities among states: It harms producer states and rewards consumer states. Southern
states accounting for over 25% of direct tax and 26% of the GST collection, get the lowest
amount (16%) from the divisible pool.
A more open and robust consultative approach between the Centre and the states, especially
on issues of resource distribution and decision-making can tackle the issues related to fiscal
federalism.

5.4. State Involvement: Key to Equitable Finance Commission Terms

The 15th Finance Commission (2020-2025) faced criticism from some states for using 2011
population data in its Terms of Reference (ToR) for tax devolution. This controversy highlights the
importance of including state participation in the formulation of the Finance Commission's ToR.

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 Student Notes:

5.5. Impact of Central Investigative Agencies on India's Federal

Harmony
The role of India's central investigative agencies such as the National Investigation Agency (NIA),
Enforcement Directorate (ED), and Central Bureau of Investigation (CBI) has been a subject of
considerable debate, especially in the context of its impact on federalism in India.
These agencies operate under the jurisdiction of the central government and are pivotal in
investigating a wide
range of crimes, from
terrorism and financial
fraud to corruption and
other high-profile cases.
Key areas of concern
regarding the role of
these agencies in federalism are:
• Erosion of State Autonomy: The increasing involvement of central agencies in state-level
investigations can undermine the sovereignty of individual states.
• Misuse for Political Gains: There are allegations that the investigations are sometimes
initiated or prolonged to target opposition parties or state governments.
• Specific issues with Agencies:
o The requirement for “general consent” from states for CBI investigations has become
contentious.
o The Enforcement Directorate has faced criticism for targeting scholars, activists and
opposition leaders, leading to concerns about the misuse of its powers for political
benefits.
• Impact on State Police: When central agencies take over cases, it often sidelines state police
forces.
• Resource Allocation and Priorities: The focus on high-profile cases diverts resources from
state-level investigations.
• Public Perception and Trust: Citizens may perceive state governments as powerless or
ineffective.
While investigative agencies play a crucial role in maintaining law and order, their impact on
federalism in India is complex. Balancing their powers and ensuring cooperation between central
and state agencies is essential for a robust federal system.

5.6. Aggressive Regionalism and Impact on Federalism

Aggressive regionalism in India refers to the intense loyalty to a specific region, often prioritizing
local interests, culture, and identity over national unity. This sentiment can lead to demands for
greater autonomy, protection of local jobs against outsiders, and even calls for the creation of
new states.

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Examples of aggressive regionalism include Student Notes:
movements for separate statehood, like
the demand for Telangana, the ongoing
agitation for Gorkhaland in West Bengal.
The challenges posed by aggressive
regionalism includes:
• Strained relations between the central
and state governments (Tamil Nadu,
West Bengal, Kerala etc),
• Hindered economic integration,
• Increased administrative complexity,
• A situation where states assert more
autonomy than what is
constitutionally provided,
• Fueling inter-state disputes,
particularly over natural resources,
and exacerbate regional inequalities.
To address these issues, solutions could
involve promoting inclusive development
policies that ensure equitable growth
across all regions, fostering intercultural
dialogue to build mutual understanding,
and creating mechanisms for more
effective dispute resolution between
states.

5.7. Need for Revisiting the 7th Schedule

The 15th Finance Commission (FFC), led by Chairman NK Singh, has suggested that the
government should revisit the 7th Schedule (Article 246) highlighting the need to update and
clean up the 7th Schedule.

Way Forward
• Sarkaria Commission: Advocates transferring residuary powers to the Concurrent List, with
tax-related powers retained by the Union.
• Punchhi Commission: Suggests limiting the transfer of subjects to the Concurrent List to
those necessary for national policy uniformity.

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5.8. Governor and Centre-state Relations Student Notes:

The role of Governors in India's federal structure has been a source of ongoing debate and
tension between the Centre and States. This issue highlights the delicate balance of power in
India's federal system and the potential for political conflicts.
Issues: According to a report by PRS Legislative
• Discretionary powers: Governors have Research, between 2011 and 2021,
significant discretionary powers, including in there were over 50 instances of
government formation and dismissal, which can Governors returning bills passed by
be controversial. state legislatures, highlighting the
• Appointment and removal: Governors are frequency of such conflicts.
appointed by the President on the advice of the
Central government, leading to concerns about their neutrality.
• Interference in state affairs: Allegations of Governors overstepping their constitutional role
and interfering in day-to-day governance.
• Delay in decision-making: Instances of Governors delaying assent to bills passed by state
legislatures or withholding nominations to legislative councils.
Recent Examples:
• Maharashtra (2022): The Governor's role in the formation of government after a split in the
ruling alliance was heavily criticized.
• Tamil Nadu (2023): Controversy over the Governor's delay in forwarding bills passed by the
state assembly to the President for assent.
• Kerala (2023): Ongoing tension between the Governor and state government over
university appointments and policy decisions.
Causes Impact
1. Political appointments: Governors are often 1. Political instability: Controversial
former politicians, raising questions about decisions by Governors can lead to
their impartiality. governmental crises and legal battles.
2. Lack of clear guidelines: The Constitution 2. Erosion of federal principles:
provides broad discretionary powers Perceived misuse of Governor's office
without specific guidelines for their exercise. can weaken the federal structure.
3. Centre-State power dynamics: Governors 3. Delayed governance: Conflicts
sometimes seen as tools for the Central between Governors and state
government to exert control over governments can hinder policy
opposition-ruled states. implementation and legislative
processes.
Judicial Perspective: The Supreme Court, in S.R. Bommai v. Union of India (1994), emphasized
that Governors should act impartially and not according to the wishes of the Central
government.
• More recently, in Nabam Rebia v. Deputy Speaker (2016), the Court limited the Governor's
discretionary powers in summoning the assembly.
5.8.1. Governor’s Power under Article 200
Supreme Court’s Judgement on Governor’s powers under Article 200
In a 2025 judgement, the Supreme Court clarified the powers of the Governor under Article
200 of the Constitution:
• Interpretation of Article 200: Once a bill is passed by the state legislature, it must be
placed before the Governor, who can only either grant assent, withhold assent, or reserve
the bill for the President. These are mutually exclusive options.

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 • The Court Student Notes:
emphasized that the
Governor does not
have the discretion
to withhold assent
indefinitely or
exercise an absolute
veto (often referred
to as a "pocket veto"). If the Governor
withholds assent, the bill must be returned
to the legislature for reconsideration as per
the first proviso of Article 200. If the
legislature reconsiders and sends it back,
the Governor must grant assent and
cannot withhold assent again. Governor
can’t withhold assent without returning
the bill on the ground that the prerogative
to reconsider the bill lies with the state
legislature, not the Governor.
• Time bound decision: The Court also
prescribed timelines within which the
Governor must act on bills:
• Clarity on reservation of bill for President:
Once the state legislature reconsiders a bill
after the Governor returns it, the Governor
cannot reserve it for the President’s
consideration, except when reconsidered
bill has new grounds.
• Governor’s actions subject to Judicial
review: The Governor's actions are not
immune from judicial scrutiny, and if the
Governor fails to act within the prescribed
timelines or does so without following the
correct procedure, state governments can
approach the court seeking a writ of
mandamus.
• Used Article 142 to grant pending assent:
The Court used its discretionary powers
under Article 142 to declare that the 10
pending bills which had been with the
Governor for too long should be deemed
to have been granted assent, as the
Governor’s actions in withholding assent were found to be unconstitutional.
The judgment reinforced the principle of federalism, asserting that the Governor's role should
not become an obstacle to the law-making process at the state level.
The Supreme Court's judgment has faced criticism for judicial overreach, as it prescribed
timelines for the Governor’s actions, potentially interfering with the Governor's
constitutional role. Critics argue the use of Article 142 to deem bills assented to sets a
dangerous precedent. This decision is seen as extending the Court’s powers into areas
traditionally handled by the executive and Parliament.

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 Was the judgement a judicial overreach? Student Notes:
Those who favour the judgement cite following justifications:
• The Court has the ultimate authority to interpret the Constitution.
• Article 142 allows the Court to deliver complete justice where there is statutory or
constitutional silence, not to overrule or contradict existing statutory provisions.
Governor's failure to act on bills violates the federal structure of the Constitution.
Judgement ensures that the state government’s ability to legislate effectively is not
hindered by inaction at the Governor's level.
The larger message of the judgement is that the Governor’s actions must be in line with
constitutional values and democratic principles and Governor must be accountable to
actions/inactions.
Way Forward:
• Clear guidelines: Develop comprehensive guidelines for the exercise of Governor's
discretionary powers.
• Transparency in appointments: Implement a more transparent and consultative process for
Governor appointments.
• Fixed tenure: Consider a fixed tenure for Governors to ensure greater independence.
• Constitutional reforms: Explore amendments to clearly define and limit the Governor's role
in state affairs.
• Strengthening federal institutions: Enhance the role of the Inter-State Council to address
Centre-State conflicts.
• Limited role: The Punchhi Commission's recommended to avoid burdening the Governor
with powers not outlined in the Constitution, which could lead to controversies or public
criticism. This was cited by the West Bengal government as the rationale for removing the
Governor as Chancellor of State universities.
By addressing these issues, India can strengthen its federal structure, ensuring a balance between
national unity and state autonomy while preserving the constitutional spirit of cooperative
federalism.

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 Student Notes:
LOCAL SELF GOVERNANCE
Contents
Previous Years' Questions (2013-24).......................................................................................... 190
Previous Years' Questions Analysis: (Avg. weightage: ~8.30%) .................................................. 190
1. Local Government .................................................................................................................. 191
2. Structure of local governments .............................................................................................. 191
2.1. PRIs .................................................................................................................................. 191
2.2. ULBs................................................................................................................................. 191
3. Rural Local Bodies (RLBs) ....................................................................................................... 192
3.1. Challenges to the Functioning of PRIs ............................................................................. 192
3.1.1. Devolution of functions............................................................................................ 192
3.1.2. Devolution of Finances ............................................................................................. 192
3.1.3. Devolution of functionaries ..................................................................................... 194
3.1.4. Issues related to Gram Sabhas ................................................................................. 195
3.1.5. Issues related to Three-tier-model........................................................................... 195
3.1.6. Issues related to inclusion ........................................................................................ 196
3.1.7. Issues related to Elections ........................................................................................ 196
3.1.8. Parastatal Bodies or Institutions .............................................................................. 197
3.1.9. Ineffective District Planning ..................................................................................... 197
3.1.10. Issues related to PESA ............................................................................................ 197
4. Urban Local Bodies (ULBs) ..................................................................................................... 198
4.1. Challenges to the Functioning of ULBs ........................................................................... 198
4.1.1. Other Recommendations for ULBs (Lessons from other countries) ........................ 202
5. Few Other Themes Related to Local Bodies ........................................................................... 203
5.1. Merger of Rural and Urban local bodies ......................................................................... 203
5.1.1. Advantages ............................................................................................................... 203
5.1.2. Concerns................................................................................................................... 203
5.2. AI & Urban Governance .................................................................................................. 203
6. Conclusion .............................................................................................................................. 204

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 Student Notes:
Previous Years' Questions (2013-24)
• Discuss the recommendations of the 13th Finance Commission which have been a departure
from the previous commissions for strengthening the local government finances. (2013, 10
marks)
• In absence of a well-educated and organized local level government system, 'Panchayats' and
'Samitis' have remained mainly political institutions and not effective instruments of
governance. Critically discuss. (2015, 12.5 marks)
• "The local self-government system in India has not proved to be effective instrument of
governance." Critically examine the statement and give your views to improve the situation.
(2017, 10 marks)
• Assess the importance of the Panchayat system in India as a part of local government. Apart
from government grants, what sources the Panchayats can look out for financing
developmental projects? (2018, 15 marks)
• "The reservation of seats for women in the institutions of local self-government has had a
limited impact on the patriarchal character of the Indian Political Process." Comment. (2019,
15 marks)
• The strength and sustenance of local institutions in India has shifted from their formative
phase of 'Functions, Functionaries and Funds' to the contemporary stage of 'Functionality'.
Highlight the critical challenges faced by local institutions in terms of their functionality in
recent times. (2020, 15 marks)
• To what extent, in your opinion, has the decentralisation of power in India changed the
governance landscape at the grassroots? (2022, 10 marks)
• "The states in India seem reluctant to empower urban local bodies both functionally as well
as financially." Comment. (2023, 10 marks)
• Analyse the role of local bodies in providing good governance at local level and bring out the
pros and cons merging the rural local bodies with the urban local bodies. (2024, 10 marks)

Previous Years' Questions Analysis: (Avg. weightage:

~8.30%)
1. 73rd & 74th Amendments are Foundational: Master the provisions of these amendments,
the structure of PRIs and ULBs, their functions, and financial resources.
○ PYQ Example: "Assess the importance of the Panchayat system in India as a part of local
government. Apart from government grants, what sources the Panchayats can look out
for financing developmental projects? (2018, 15 marks)"
2. Challenges and Effectiveness: Questions consistently focus on the challenges faced by local
bodies (3 Fs – Funds, Functions, Functionaries), their effectiveness in governance and
development, and measures for empowerment.
○ PYQ Example: "The strength and sustenance of local institutions in India has shifted from
their formative phase of 'Functions, Functionaries and Funds' to the contemporary stage
of 'Functionality'. Highlight the critical challenges faced by local institutions in terms of
their functionality in recent times. (2020, 15 marks)"
3. Grassroots Democracy & Development: Understand the role of LSGs in deepening
democracy, facilitating people's participation, and implementing development programs.
Issues like women's representation are also important.
○ PYQ Example: "'The local self-government system in India has not proved to be effective
instrument of governance.' Critically examine the statement and give your views to
improve the situation. (2017, 10 marks)"
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 Student Notes:
1. Local Government
India’s decentralized governance, powered by the 73rd and 74th Constitutional Amendments,
facilitates grassroots democracy and local self-government. It enables Panchayati Raj Institutions
(PRIs) in rural areas and Urban Local Bodies (ULBs) in cities to engage citizens directly in
governance, addressing local challenges and ensuring better resource management.

2. Structure of local governments

The structure of local governments in India is as follows:

2.1. PRIs
India has three tier system of PRIs—at village,
intermediate, and district levels. However, a state
having a population not exceeding 20 lakhs may not
constitute panchayats at the intermediate level.

2.2. ULBs
The 74th Constitutional Amendment Act of 1992
mandates the establishment of three types of
municipalities in every state—Municipal Corporations
(for larger urban areas), Municipalities (for smaller urban areas), and Nagar Panchayats (for
transitional areas). Apart from this, there are other specialized forms of urban local governments
that aren’t created by 74th Amendment Act specifically.

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 Student Notes:
3. Rural Local Bodies (RLBs)
We shall focus on issues related to PRIs/RLBs and relevant recommendation, important for UPSC
CSE Mains exam.
Panchayat Devolution Index 2024
3.1. Challenges to the Functioning of Following states demonstrate the
PRIs highest levels of devolution to PRIs:
Despite being instrumental in transforming the ● Karnataka (72.23)
structure and function of local governance in India, ● Kerala (70.59)
there are several issues plaguing the effectiveness of ● Tamil Nadu (68.38)
Panchayati Raj in India. Some key issues faced by the ● Maharashtra (61.44)
Panchayati Raj Institutions (PRIs) in India are as ● Uttar Pradesh (60.07)
follows:
3.1.1. Devolution of functions
Issues Recommendations
1. Limited Involvement of Panchayats in Centrally • Political Will for Effective
Sponsored Schemes Devolution: One of the
The Expert Committee on Leveraging Panchayat Raj primary factors hindering
Institutions (PRIs) revealed that, apart from the effective decentralisation is
MGNREGA and the Backward Regions Grant Fund the lack of political will at the
(BRGF), over 150 centrally sponsored schemes had not state and national levels. It is
provided any specific role for Panchayats. essential that politicians and
bureaucrats are committed to
This lack of inclusion limits the effectiveness of devolving power and
Panchayats in contributing to the implementation of responsibility to local
essential national schemes at the grassroots level. governments.
2. Varying Degree of Devolution Across States • Activity Mapping and
The extent of devolution of powers to Panchayats varies Transfer of Functions: The
significantly from state to state. For example, 2nd Administrative Reforms
• States like Kerala and West Bengal have devolved as Commission (2nd ARC) has
many as 26 departments to Panchayats while some emphasized the importance
devolving as few as three functions. A report in 2022 of activity mapping for the
by the Ministry of Panchayati Raj showed that less effective devolution of
than 20% of States have devolved all 29 subjects. functions to Panchayats. This
involves systematically
• Further, politicians and bureaucrats are often
identifying the functions and
unwilling to transfer responsibilities to Panchayats
activities outlined in the
because they fear that it would lead to competition
Eleventh Schedule of the
and could even outclass them in the delivery of
Constitution, which lists the
essential goods and services.
areas in which Panchayats are
expected to be involved.

3.1.2. Devolution of Finances

Issues Recommendations
1. Reluctance of states to devolve Funds • Timely Release of Funds
States continues to control essential sectors like to ensure smooth financial
education, healthcare, water supply, and irrigation. Due operations, states should be
to fiscal constraints, states are hesitant to transfer more prompt in releasing funds to
Panchayats. Encouraging

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 funds, functions, and personnel to the Panchayats. regular local audits will Student Notes:
2. Insufficient Fiscal Empowerment ensure that Finance
Commission grants are not
Panchayats face significant fiscal challenges, as they are delayed, as noted in the
heavily dependent on government grants. Their ability Standing Committee on Rural
to generate internal revenue is weak due to a limited tax Development Report (2018).
base and reluctance to collect taxes. For example,
Panchayats can levy property and entertainment taxes, • Better Property Tax
but land taxes and tolls on roads (except for local Assessment:
Panchayat roads) are outside their purview. Moreover, Many states still use the
intermediate and district Panchayats have limited tax outdated annual rental value
powers compared to village Panchayats. method for property tax
assessment, resulting in
Low Equilibrium Trap in PRIs under-reporting. Progressive
(Economic Survey 2017-18) states have shifted to the unit
area method, which is more
• The Economic Survey 2017-18 highlights the ‘Low
accurate and effective in
Equilibrium Trap’ faced by Panchayati Raj
determining tax bases.
Institutions (PRIs), where weak tax collection leads
Expanding this approach can
to inadequate service delivery, reinforcing the
significantly enhance
cycle of low collection and poor accountability.
Panchayat tax collection.
• Panchayats in India generate only 5-6% of revenue • Augmenting Tax
from own resources, compared to 40% in countries Administration and
like Brazil and Germany. 95% of their revenue Technology-Based Collection.
comes from devolved funds, often earmarked for Additionally, digital tax
specific sectors. Even when tax powers exist, land collection systems should be
revenue collection remains low (7-19%) due to low developed at the state level
property values and tax rates. and provided to Panchayats
3. Delayed Release of Funds for collecting property taxes,
utility charges, and fees for
The timely release of funds from the Union and State
certificates.
Governments is crucial for Panchayats, but delays are
common. Often, unreleased grants are linked to whether • Capacity Building and
Panchayat accounts have been audited, further delaying Training:
the flow of financial resources. To strengthen the functioning
of Panchayats, capacity
4. Tied Nature of Funds
building and training
A large portion of the funds received by Panchayats from programs should be
both the Union and State Governments is tied to specific implemented. Adequate
schemes. This limits the discretion and flexibility of support and technical staff
Panchayats in using the funds, making it difficult for them should be provided to ensure
to prioritize local needs effectively. that Panchayats can
These financial constraints hinder the ability of effectively manage their
Panchayats to function as self-governing institutions responsibilities and enhance
and fulfill their roles in local development. their financial capabilities.

Issues with PRIs Funds (15th Finance Commission)

The 15th FC highlighted following issues regarding flow of funds to PRIs and its utilisation.
Trend: The Union government's share in Gram Panchayat revenues decreased from 61%
(13th FC period) to 58% in (14th FC period). This was offset by an increase in state
government contributions, which rose from 26% to 34%.

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 Issues: Student Notes:
• Delays in State to RLB Transfers: While funds allocated by the Union Government to the
States are generally received without major issues, the biggest challenge arises at the
State-to-RLB level. Some States (e.g., Assam and Bihar) face delays in receiving their
entitled funds. While States report funds being released to RLBs, some funds have been
subsumed into State schemes, breaching stipulations regarding their intended use for
Panchayats.
• Mission creep: The Ministry of Panchayati Raj (MoPR) introduced the GPDP (Gram
Panchayat Development Plan) requirement, which, while a positive step, has led to delays
in releasing performance grants to Panchayats. This extra layer of bureaucracy has
resulted in inefficiencies and slowed down the flow of funds.
• Mixing of funds: In some States, funds earmarked for RLBs are merged with other state-
level funds, causing confusion over the specific allocation meant for Panchayats.
• Poor accounting mechanisms: There are no clear records that allow for real-time tracking
of fund usage, making it difficult to determine whether the funds are being spent as
intended. A key issue is the lack of standardized accounting across States.
Suggestions:
• Standardized accounting practices and Voucher-Level Accounting Systems:
Implementing this at every Panchayat, including District and Intermediate Panchayats,
would allow a clearer traceability of funds and expenditure.
• Encourage data automation: All data from Panchayats be machine-readable and
standardized for better accessibility.
• Robust oversight mechanism: Robust oversight mechanisms, is necessary to prevent fund
diversion and ensure that funds reach the intended recipients at the Panchayat level.
Through these reforms, it will be possible to improve the financial health and service delivery
of Panchayats, ensuring that funds are utilized effectively for public welfare.

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3.1.3. Devolution of functionaries Student Notes:

Issues Recommendations
Despite the 73rd Constitutional • Raising own cadre of functionaries for
Amendment, states often retain panchayats: A key solution to the devolution of
control over appointments, functionaries in PRIs is the complete transfer of
transfers, and supervision of administrative staff under their direct control.
functionaries. • Clear service rules for local functionaries, ensuring
Functionaries remain answerable to their appointment, transfer, and supervision are
state departments rather than PRIs, managed at the Panchayat level.
leading to accountability gaps, poor • Strengthening capacity-building programs and
coordination, and inefficiency in incentivizing rural postings can further enhance
implementing grassroots schemes. local governance and improve service delivery.
3.1.4. Issues related to Gram Sabhas
Issues Recommendations
• Irregular Meetings: Gram Sabha • Clarification of Functions and Jurisdiction:
meetings are often held irregularly To strengthen the Gram Sabha, the 73rd
and sometimes only to meet Amendment should clearly define its
administrative formalities. As a functions and powers, similar to the PESA
result, the decisions made in these Act. Granting it original jurisdiction will
meetings are frequently ignored or empower the Gram Sabha to make decisions
disregarded. on local governance matters.
• Lack of Awareness: There is a • Capacity Building and Awareness: Focus on
widespread lack of awareness about capacity building and awareness programs
the powers and responsibilities of to educate the public and Gram Panchayat
the Gram Sabha. Both the general members about the rights and powers of the
public and Gram Panchayat members Gram Sabha.
(such as the Sarpanch or Pradhan) are • Strengthening Monitoring and
often unaware of the specific roles Accountability: Enhance the monitoring
and functions of the Gram Sabha. system at the Block level to track the
• Unclear Role and Functioning: Many progress of each Gram Sabha, recording
State Acts do not clearly define the metrics like membership, meetings held,
powers of Gram Sabhas, and there attendance, and committee formation.
are no standard procedures for their • Ensuring Binding Decisions and Inclusivity:
functioning. The mandatory powers of the Gram Sabha
In addition, the penalties for failing to should be binding. Additionally, State
fulfill responsibilities are often not governments must enforce a quorum
outlined, making it difficult to ensure requirement for meetings, ensuring
accountability. participation of Panchayat representatives,
especially women, to promote inclusivity
and respect for its authority.
3.1.5. Issues related to Three-tier-model
Issues Recommendations
The act does not specify which level of To address this issue, the Punchhi Commission
Panchayat will perform what functions. and the 2nd ARC recommended adopting an
This lack of clarity has led to varied 'activity mapping' approach to clearly define
approaches across states, with each state and assign specific functions to each tier of the
adopting its own model for allocating Panchayat, uniformly based on the principle of
responsibilities among the three levels of subsidiarity.
Panchayats.

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3.1.6. Issues related to inclusion Student Notes:

Issues Recommendations
Reservation for Women and Limited • Reservation for Multiple Terms: To
Participation ensure continued representation and
• Reservation for women in Panchayats is opportunity for re-election, it is
often not in proportion to their recommended that seats reserved for
population. This has resulted in many marginalized sections, including women
reserved seats remaining vacant. and SC/ST communities, be made
• Sarpanch Pati Issue: In certain cases, the available for more than one term. This
husbands of elected women Sarpanchs would allow these groups to maintain a
take over the functioning of the presence in decision-making and
Panchayat, making decisions on behalf of governance.
their wives. • Awareness, Training, and Promotion of
• This practice undermines the Gender-Sensitive Policies: It is essential
empowerment of women in Panchayati to conduct programs that empower and
Raj Institutions (PRIs) and restricts their educate women Sarpanchs about their
active participation in governance, rights, responsibilities, and leadership
despite holding the official position. skills in local governance. Additionally,
Exclusion of Marginalized Groups governments should promote gender-
In some areas, marginalized sections of sensitive policies at the local level to
society, including SCs and STs, face systemic ensure equal participation of women in
exclusion from contesting elections. decision-making processes, fostering a
• Influential figures, often belonging to more inclusive governance structure
upper castes or higher social classes, • Strict Enforcement of Protection Laws:
dominate the proceedings of Gram Enforcing strict laws to ensure women
Sabhas. These individuals, referred to as representatives can exercise their
bigwigs, tend to control decision-making, powers independently, without
sidelining the voices of marginalized interference from male relatives or
groups. others, is essential. Legal action should
• Illiteracy, particularly among women and be taken against atrocities committed
SC/ST communities, significantly hinders against women and marginalized
their ability to effectively participate in communities, creating a safer, more
Panchayat activities. inclusive environment.

3.1.7. Issues related to Elections

Issues Recommendations
• Legal Reforms: Enforce strict
penalties for election delays
and SEC interference.
• Resource Allocation: Ensure
• Delayed Elections: Frequent, unconstitutional delays SECs receive adequate
(Article 243E) in Panchayat polls, often due to funding and operational
political interference, creating governance gaps and independence.
stalling rural development. • Transparency Measures:
• Eroded SEC Independence: State Election Digitize voter lists, mandate
Commissions (Article 243K) face political pressure, real-time election updates,
leading to biased processes, voter-list manipulation, and protect whistleblowers.
and intimidation of marginalized groups. The Supreme Court in 1997 said
• Compromised Fairness: Electoral malpractices (e.g., that- “… the states can’t be
misuse of administrative power, delayed results) permitted to withhold panchayat
undermine transparency, disproportionately election except in cases of genuine
affecting women and disadvantaged communities. supervening difficulties to hold

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 such elections such as flood, Student Notes:
earthquake, etc.”
3.1.8. Parastatal Bodies or Institutions

Issues Recommendations

Parastatal bodies are partially or wholly owned The 2nd ARC Report on Local
and managed by the government. They are Governance suggests that with the
formed either under state statutes or Societies establishment of democratic
Registration Act. These are created for delivery of decentralization at the district and
specific services or implementation of programs. Panchayat levels, there is no longer a
For ex- District Rural Development Agency need for a separate agency like the
(DRDA), District Water and Sanitation District Rural Development Agency
Committee, etc. (DRDA).
• Many activities of many of these organisations States such as Kerala, Karnataka, and
are in the matters in the Eleventh Schedule of West Bengal have already merged
the Constitution, their separate existence DRDAs with the District Panchayats, and
with considerable fund and staff at their other states should follow suit to
disposal, the Panchayats don’t get enough streamline governance and reduce
say in the process and this creates an redundancy in administrative bodies.
impediment to effective functioning and
empowerment of Panchayats.

3.1.9. Ineffective District Planning

Issues Recommendations
• Bureaucratic dominance over local • Sensitizing local bureaucracy and
representatives hampers effective district making them accountable to local
planning. Additionally, local representatives representatives.
often lack the necessary capacity and skills • Empower elected representatives
to carry out effective planning, leading to through training on planning and
inefficient implementation of local administration, as recommended by
development projects. the 2nd Administrative Reforms
Commission. Ensure a clear division
of roles between bureaucracy and
local officials.
3.1.10. Issues related to PESA
Issues Recommendations
• Ineffective Control of Gram Sabha: The • Promoting Awareness and
Gram Sabha consultations are only Accountability: Awareness campaigns
"considered" by government officials should be organized to educate tribal
during land acquisition decisions, leading populations about their rights under
to ineffective implementation. Issues like PESA and the 73rd Constitutional
forged resolutions, lack of consent before Amendment. This will empower them
land acquisition, and disregard for to hold authorities accountable when
consultation persist. decisions contradict the Gram Sabha or
o A study in Jharkhand showed that 65% Panchayat.
of people in Khunti district whose land • Imposing heavy penalties for
was acquired were not consulted, and fraudulently obtained or forged Gram
in Gumla district, 26% reported similar Sabha consents (Xaxa committee)
neglect, demonstrating the gaps in

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 PESA’s implementation. Student Notes:
• Dilution of Tribal Advisory Councils: The
Tribal Advisory Councils, intended to
provide advice to Governors on tribal
matters, have become ineffective due to
political influence, undermining their role
in safeguarding tribal interests.
• Despite PESA provisions, forest Harmonizing Legislation and Policies with
departments continue to control forest PESA: Laws such as the Land Acquisition
produce, diminishing the effectiveness of Act, Mines and Minerals Act, and Indian
PESA. Laws like the Land Acquisition Act of Forest Act should be amended to align with
2013 and the Forest Rights Act of 2006, PESA provisions. Compliance legislations at
which include similar provisions to PESA, the state level must be strengthened to
have made PESA less relevant. restore the authority of the Gram Sabha.
• States like Madhya Pradesh and
Chhattisgarh have only notified their state-
specific PESA rules in 2022.
• Lack of coordination between the Ministry National Plan for Tribal Welfare and
of Panchayati Raj and the Ministry of Tribal Program Convergence: A National Plan
Affairs. should be developed for the comprehensive
development of tribal areas, focusing on the
convergence of regulatory and
development programs.

4. Urban Local Bodies (ULBs)

We shall focus on issues related to ULBs and relevant suggestions for UPSC CSE Mains exam.

4.1. Challenges to the Functioning of ULBs

The challenges faced by ULBs can be broadly grouped into four key areas: devolution of power,
fiscal constraints, administrative inefficiencies, and governance delays.

Issues Recommendations
1. Inadequate Devolution of Power and Lack of Adopting the Triple F's Paradigm—
Autonomy: Functions, Finances, and
The devolution of powers to Urban Local Bodies Functionaries—as seen in Kerala's
(ULBs) remains limited, with some states providing People's Plan Model. This model
more autonomy than others. emphasizes devolution of powers to
ULBs, allowing them to effectively
• The rise of Special Purpose Agencies (SPAs) such
manage urban governance.
as SPVs under the Smart Cities Mission and • To improve urban service
parastatal agencies like BDA and BBMP in delivery, ULBs should be
Bangalore, has further centralized power, mandated to hold public hearings
bypassing ULBs. This has fragmented governance before finalizing city
and poor coordination, as seen with agencies or development plans and engage
the overlapping agencies in Delhi. voluntary non-governmental
agencies. Establishing a
Municipal Ombudsman would
ensure accountability and speed
up the redressal of grievances.
• 2nd ARC proposed the creation of
Area Sabhas, similar to the Gram
Sabhas in rural areas, to

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 represent smaller localities, Student Notes:
typically covering one or two
polling booths. The members of
each Area Sabha would elect an
Area Committee, whose
chairpersons would serve as ex-
officio members of the Ward
Committee, ensuring better
coordination and local
representation.
2. Fiscal Challenges: Reforms to property tax
Many ULBs face limited taxation powers, restricting administration are necessary,
their ability to generate sufficient revenue. including the levy of a vacant land tax
and the use of GIS and digitization to
• The introduction of GST has further impacted ULB improve collection processes.
revenues by eliminating local taxes like octroi and • Revenue-sharing models, such as
local body tax, without providing compensation. those seen in Scandinavian
• Additionally, poor cost recovery from services countries, should be explored,
such as water supply and sanitation, coupled with with a portion of income tax
inadequate revenue generation from property collected in cities being allocated
taxes, has led to growing fiscal deficits. back to them.
Moreover, the State Finance Commissions (SFCs) • Developing a municipal bond
have often been inefficient, with some states failing market would allow cities to raise
to constitute them regularly or implement their funds for infrastructure projects,
recommendations fully. The focus of SFCs on revenue similar to Pune’s water supply
sharing rather than tax assignments has limited the project.
financial autonomy of ULBs. • Additionally, user charges for
services and Public-Private
Partnerships (PPPs), like the
Hyderabad Metro Rail project,
can improve service quality and
• ULBs are mandated to prioritise essential services
generate revenue.
like 100% door-to-door waste collection, leak-
proof water supply, pothole-free roads, and fully Nordic ULBs
functional streetlights. In Denmark, local government
• Municipalities have been directed to allocate a expenditure, at 36.5% of GDP or
minimum portion of their revenues— ranging 64 % of total public spending, is
from 20% to 30% depending on their grade—to the highest in the European Union
capital expenditure projects. (EU). The more significant part of
• Furthermore, not less than 30% of income, municipal revenues comes from
excluding government grants, must be earmarked taxation, particularly local income
for public health advancements under the Public tax—an average of 25% of
Health Act, 1939. inhabitants’ taxable income.
‘Equalisation’, a form of grant is
based on the difference between
their spending needs and tax
receipts at the average tax rate.
In Iceland, the most substantive
function of ULBs is education (50%
of all expenditures). Next are
social services taking up 13% of
spending.

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 Student Notes:
3. Administrative Challenges Embracing digital platforms like
The administrative inefficiencies within ULBs are Madhya Pradesh's e-Nagarpalika can
compounded by staffing issues, outdated practices, promote transparency and
and lack of modern technology. accountability. Continuous training
and capacity building for municipal
• Many ULBs suffer from overstaffing of untrained staff, as seen in the Tamil Nadu Urban
personnel and a shortage of qualified technical Governance Project, would further
staff, affecting service delivery. For instance,
enhance governance.
inadequate waste management is a recurring
issue in cities like Chennai and Bangalore, often
linked to poor staffing and lack of training.
4. Delays in elections and Politicization The National Commission on
Urbanization has emphasized that
elections must be timely to maintain
long-term leadership that aligns with
Despite the SC-specific direction in Suresh Mahajan v. the people’s will.
State of Madhya Pradesh (2022) State governments
do not hold timely elections for urban local
governments.
• Over 1,500 municipalities did not have elected
councils in place from 2015 to 2021 across States.
E.g., Bengaluru has been without an elected
council for four years and four months (as of Feb’
2025).
• Similarly, politicization of ULBs has often turned
them into platforms for political mobilization
rather than effective governance.
A study undertaken by Janaagraha found that there
was a delay by 11 months on average in the
formation of councils after the declaration of election
results of the municipal corporations in Karnataka. In
effect, ULGs continue to function under the
administrative control of State governments. This
defeats the electoral mandate given by the people.
Recent development:

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 Under the Greater Bengaluru Governance Act 2024, the GBA will assume the role of the local Student Notes:
planning authority for the designated area. While the Bangalore Development Authority
(BDA) will continue to function, its role will shift to supporting planning assessments and
providing expert inputs under the broader GBA framework. Final approval of all planning
proposals will rest with the Bengaluru Metropolitan Planning Committee (BMPC)—the apex
metropolitan planning body.
Advantages:
With Bengaluru experiencing
rapid expansion driven by
inward migration and large-
scale investments, many outlying villages have effectively become part of the city’s continuous
urban sprawl. The government plans to bring at least 25 of these villages under GBA’s
administrative ambit to harness their revenue potential and provide them with better urban
infrastructure.
Against spirit of decentralization:
• While the mayors of the municipal corporations (only 30 month tenure) within the
Greater Bengaluru Area are designated as ex-officio members of the Greater Bengaluru
Authority, the fact that the Chief Minister is the ex-officio chairperson is a cause for
concern.
• Bengaluru does not have an elected council only exacerbates the problem, as a ULB
without a council cannot be held accountable and responsible by the citizens.
• Although the Act states that decisions of the ward committee shall be made on the basis
of a simple majority, by giving a veto power to the chairperson of the ward committee, it
renders the idea of voting meaningless. Also ward committees are advisory in nature.

Should the Mayor be Directly Elected?

There are two models of mayors:
1. Local governments led by mayors that are directly elected by voters (the “presidential” or
mayor-council form of local government)
2. Mayors that are appointed by local legislatures (the “parliamentary” or council-manager
model)
In India, currently, mayors are elected by city councillors and hold a largely symbolic role. This
limits the mayor’s influence on urban development.
The 2nd ARC recommended the direct election of the Mayor, granting the Mayor executive
powers separate from the Municipal Corporation. This would be complemented by a mayor-
cabinet system to improve decision-making and administrative efficiency in urban governance.
• Advantages of a Directly Elected Mayor: A directly elected mayor would have greater
legitimacy, resolve power struggles with commissioners, and offer continuity with fixed
tenures. This would allow mayors to focus on the city's overall development, rather than
just local ward issues.
• Disadvantages of a Directly Elected Mayor: This system could lead to a presidential-like
structure, where decision-making is centralized in one individual. Conflicts may arise if the
mayor and council belong to different political parties, leading to deadlock. Additionally,
there is no clear evidence of better governance, as seen in Rajasthan and Himachal
Pradesh, where the system was reversed. The cost of elections could also increase.
While directly electing the mayor could improve accountability, the office needs more
resources and funds to drive comprehensive urban development.

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 Student Notes:
ULBs in USA
ULBs in USA have two distinct characteristics to empower them:
• Home Rule Charter: The concept of home rule in the U.S. allows municipalities’ significant
autonomy to govern them without the need for state approval. Cities can create charters
that define their powers, including taxation, urban planning, and infrastructure
management. It creates a governance system that best suits its unique needs and
circumstances.
• Inter-jurisdictional Services: The U.S. often creates special districts or regional entities to
address urban issues that span multiple local governments, such as water management,
transportation, and solid waste collection. They are governed by a board of directors,
which may be elected by voters or appointed by the legislature or local body.

4.1.1. Other Recommendations for ULBs (Lessons from other countries)

To address urban challenges effectively, India can learn from global innovations in governance
models, such as polycentricity, decentralized service delivery, and participatory governance.
• Autonomy to evolve governance system to suit unique needs and circumstances: Like Home
Rule charter in USA, metros like Mumbai or Bengaluru can be allowed to adopt tailored
charters for autonomy.
• Creation of independent entities: Like special districts in USA, independent entities can be
created to address cross-jurisdictional issues like waste management in Delhi-NCR.

• People participation in decision making: ULBs can be encouraged to promote people’s

participation in decision making. Kerala’s People Plan campaign is a precedent in this regard.
E.g., Brazilian Cities like Porto Alegre allocate 10–15% of budgets through citizen assemblies.
• Digital grievance redress: AI can be harnessed to address citizenry grievances. E.g., Seoul’s
Digital Mayor’s Office uses real-time dashboards for citizen grievances.

Poly-centricity
Polycentricity refers to a decentralized governance model where multiple centers of
authority or governance function independently but cooperatively within a larger system. It
contrasts with a monocentric or centralized approach, where power is concentrated in a single
authority.

To realize the vision of the 74th Amendment, ULBs must prioritize financial sustainability (via
property tax reforms, innovative financing), capacity-building, and holistic urban planning.

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Empowering DPCs/MPCs, implementing 2nd ARC recommendations, and fostering community Student Notes:
engagement are vital for equitable, resilient cities.

5. Few Other Themes Related to Local Bodies

5.1. Merger of Rural and Urban local bodies
The merger of rural areas with urban local bodies is driven by the need to manage urbanization
effectively and provide better services to peri-urban regions. However, this move has raised
praises as well as concerns.
5.1.1. Advantages
• To tackle rapid unplanned urbanisation: Rural areas near urban centers (peri-urban
panchayats) often experience the pressures of urbanization. Merging helps address rapid
urbanization by providing coordinated planning, improved infrastructure, and access to
better financial resources.
• Combined financial and administrative support: Merger can allow panchayats access to the
funds and resources allocated to urban local bodies.
• Improved public service delivery: Larger urban local bodies often have better access to
services such as clean water, sanitation, healthcare, and urban infrastructure. The merger of
peri-urban areas allows these rural regions to benefit from these services, potentially
improving quality of life and addressing infrastructural gaps.
• Political advantage: Rural areas can benefit from better political access within larger urban
governance frameworks.
5.1.2. Concerns
• Different needs: Rural and urban areas have certain unique issues. Larger urban corporations
might struggle to address the unique needs of smaller villages, resulting in a loss of
personalized and community-focused governance.
• Loss of Rural Development Benefits: Losing ‘rural’ status can undermine the welfare of rural
populations involved in agriculture, daily wage work, and other labor-intensive sectors, due
to loss of access to essential rural development schemes like MGNREGA.
• Financial burden on ULBs: Past experiences (Pune) suggest that merger often leads to an
unfunded mandate, where the state government passes on the responsibility of managing
these newly merged areas to ULBs without providing the necessary resources or support.
This creates a strain on already resource-starved ULBs.
• Centralisation and loss of local control: Merger could disrupt local control over local
resources and services. While tax rates may increase for these villages, the quality of
infrastructure and services may not improve immediately.
• Alienation from Governance Participation: Losing Panchayat status would mean a loss of
autonomy in decision-making. The loss of this autonomy could alienate residents and reduce
community engagement.
The success of such mergers depends on addressing the concerns related to resource allocation,
financial support, and governance. Proper assessments and phased implementation can help
mitigate these concerns and ensure that the benefits of urbanization are equitably shared.

5.2. AI & Urban Governance

Digital governance represents a paradigm shift in how government employees and associated
service providers or intermediaries such as contractors should engage with their work. The
adoption of technology in governance facilitates more effective communication, informed
decision-making, and streamlined workflows. In this regard, AI can further enhance the
functionality of urban local bodies by improving service delivery, optimizing resource allocation,
and fostering citizen engagement.

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 Student Notes:

Concerns related to AI use in local governance

Despite its significant potential, the use of AI in local governance also presents important
challenges.

Emerging trends such as blockchain, Generative AI, autonomous systems, and sustainability will
continue to shape the future of AI in local governance. Local governments must be proactive in
adopting responsible AI frameworks to balance technological advancements with public trust
and equity.

6. Conclusion
While local institutions in India have made strides toward enhancing their functionality, critical
challenges remain in terms of financial independence, administrative capacity, political
interference, and accountability. Addressing these challenges is crucial for improving the
efficiency and effectiveness of local governance, enabling these institutions to better serve the
needs of citizens, particularly in the context of rapid urbanization and complex socio-economic
issues. To enhance public service delivery and effectively address the challenges in both urban
and rural areas, it is essential to improve coordination, establish clarity in mandates for
accountability, ensure transparency, and strengthen fiscal systems.

Copyright © by Vision IAS

All rights are reserved. No part of this document may be reproduced, stored in a retrieval system or
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without prior permission of Vision IAS.

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 Student Notes:
CONSTITUTIONAL BODIES
Contents
Previous Years' Questions (2013-24).......................................................................................... 206
Previous Years' Questions Analysis: (Avg. weightage: ~10.61%)............................................ 206
1. Constitutional Bodies ............................................................................................................. 207
1.1. Public Service Commissions ............................................................................................ 207
1.1.1. Functions of PSC ....................................................................................................... 208
1.1.2. Independence of PSC ............................................................................................... 208
1.1.3. Limitations of PSC..................................................................................................... 208
1.1.4. Recommendations to Improve the Functioning of PSC ........................................... 209
1.2. Election Commission of India .......................................................................................... 209
1.2.1. Independence of Election Commission.................................................................... 209
1.2.2. Powers and Functions .............................................................................................. 210
1.2.3. Issues with the Functioning of ECI ........................................................................... 210
1.3. Finance Commission ....................................................................................................... 211
1.3.1. Role of Finance commission of India........................................................................ 211
1.3.2. Challenges Associated with Working of the Finance Commission ........................... 212
1.3.3. Reforms Suggested for Strengthening the Finance Commission ............................. 212
1.4. National Commission for Scheduled Castes .................................................................... 213
1.4.1. Functions of the Commission ................................................................................... 213
1.4.2. Challenges Faced by the NCSC ................................................................................. 214
1.4.3. Recommendations To Strengthen the NCSC ............................................................ 215
1.5. National Commission for Scheduled Tribes .................................................................... 215
1.5.1. Functions of NCST .................................................................................................... 215
1.5.2. Challenges Faced by the NCST ................................................................................. 216
1.5.3. Recommendations to Strengthen the NCST............................................................. 217
1.6. National Commission for Backward Classes.................................................................... 217
1.6.1. Working of NCBC ...................................................................................................... 217
1.6.2. Challenges Faced by NCBC ....................................................................................... 218
1.6.3. Changes following constitutional status to NCBC .................................................... 219
1.6.4. Suggestions for Improvement of Functioning of NCBC ............................................ 219
1.7. Special Officer for Linguistic Minorities .......................................................................... 220
1.7.1. Role and Functions ................................................................................................... 221
1.8. Comptroller and Auditor General of India ...................................................................... 221
1.8.1. Power and functions ................................................................................................ 221
1.8.2. Role Played by CAG .................................................................................................. 222
1.8.3. Challenges Faced by the Institution of CAG ............................................................. 222
1.9. Attorney General of India ................................................................................................ 224
1.9.1. Qualifications ........................................................................................................... 224
1.9.2. Role and Functions of AGI (Articles 76).................................................................... 224
1.9.3. Privileges .................................................................................................................. 224
1.9.4. Restrictions on the powers of Attorney General of India ........................................ 224
1.9.5. Comparative Evaluation of office ............................................................................. 225
1.10. Advocate General of State ............................................................................................ 225
1.11. Inter-State Council......................................................................................................... 226
1.11.1. Functions of ISC ...................................................................................................... 226
1.11.2. Significance of ISC .................................................................................................. 227
1.11.3. Assessment of the Working of ISC ......................................................................... 227
1.12. Goods and Services Tax (GST) Council........................................................................... 228
1.12.1. Assessment of GST Council .................................................................................... 228

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 Student Notes:
Previous Years' Questions (2013-24)
• Exercise of CAG's powers in relation to the accounts of the Union and the States is derived
from Article 149 of the Indian Constitution. Discuss whether audit of the Government's policy
implementation could amount to overstepping its own (CAG) jurisdiction. (2016, 12.5 marks)
• To enhance the quality of democracy in India the Election Commission of India has proposed
electoral reforms in 2016. What are the suggested reforms and how far are they significant
to make democracy successful? (2017, 15 marks)
• In the light of recent controversy regarding the use of Electronic Voting Machines (EVM),
what are the challenges before the Election Commission of India to ensure the
trustworthiness of elections in India? (2018, 10 marks)
• Whether National Commission for Scheduled Castes (NCSC) can enforce the implementation
of constitutional reservation for the Scheduled Castes in the religious minority institutions?
Examine. (2018, 10 marks)
• "The Comptroller and Auditor General (CAG) has a very vital role to play." Explain how this is
reflected in the method and terms of his appointment as well as the range of powers he can
exercise. (2018, 10 marks)
• How is the Finance Commission of India constituted? What do you know about the terms of
reference of the recently constituted Finance Commission? Discuss. (2018, 15 marks)
• "The Attorney-General is the chief legal adviser and lawyer of the Government of India."
Discuss. (2019, 15 marks)
• Which steps are required for constitutionalization of a Commission? Do you think imparting
constitutionality to the National Commission for Women would ensure greater gender justice
and empowerment in India? Give reasons. (2020, 15 marks)
• Discuss the role of the National Commission for Backward Classes in the wake of its
transformation from a statutory body to a constitutional body. (2022, 10 marks)
• Discuss the role of the Election Commission of India in the light of the evolution of the Model
Code of Conduct. (2022, 15 marks)
• "The duty of the Comptroller and Auditor General is not merely to ensure the legality of
expenditure but also its propriety." Comment. (2024, 10 marks)

Previous Years' Questions Analysis: (Avg. weightage:

~10.61%)
1. Understand Keywords and Philosophy: While direct questions are rare from this topic, focus
on the core philosophy and the meaning/significance of the key terms used in the Preamble
(Sovereign, Socialist, Secular, Democratic, Republic, Justice, Liberty, Equality, Fraternity).
○ PYQ Example: "Discuss each adjective attached to the word 'Republic' in the 'Preamble'.
Are they defendable in the present circumstances? (2016, 12.5 marks)"
2. Relevance in Current Context: Be prepared to discuss the contemporary relevance of the
ideals enshrined in the Preamble.
3. Not a High-Frequency Standalone Topic: Given its low weightage as a direct topic, integrate
its understanding with answers on constitutional features, FRs, and DPSPs rather than
dedicating excessive standalone preparation time.
4. Representation of People's Act (RPA): Key provisions of the RPA, especially those related to
disqualification, corrupt practices, and election disputes, are important.
○ PYQ Example: "On what grounds a people's representative can be disqualified under the
Representation of Peoples Act, 1951? Also mention the remedies available to such person
against his disqualification. (2019, 15 marks)"
5. Electoral Reforms: This is a recurring theme. Focus on issues like criminalization of politics,
state funding of elections, inner-party democracy, Model Code of Conduct, and recent reform
proposals (e.g., simultaneous elections).

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 ○ PYQ Example: "Examine the need for electoral reforms as suggested by various Student Notes:
committees with particular reference to "one nation one election" principle. (2024, 10
marks)"
6. Role of ECI: Understand the role, powers, and functions of the Election Commission of India
in ensuring free and fair elections and the challenges it faces.
○ PYQ Example: "Discuss the role of the Election Commission of India in the light of the
evolution of the Model Code of Conduct. (2022, 15 marks)"
-------------------------------------------------------------------------------------------------------------------------------

1. Constitutional Bodies
Constitutional bodies are the cornerstones of a well-functioning democracy. These institutions
are established and enshrined in the constitution. They play a crucial role in upholding the rule
of law. They are essential for protecting fundamental rights and ensuring effective governance.
Important constitutional bodies
Constitutional Provision Constitutional Body
Union Public Service Commission
Article 315
State Public Service Commission
Article 280 Finance Commission of India
Article 324 Election Commission of India
Article 148 Comptroller and Auditor General of India
Article 76(3) Attorney General of India
Article 338 National Commission for Scheduled Castes
Article 338A National Commission for Scheduled Tribes
Article 338B National Commission for Backward Classes

1.1. Public Service Commissions

The Public Service Commissions in India are created in two parts:

Union Public Service Commission State Public Service Commission

Article: 315 - 323 of Part XIV applies to both.
Composition: Chairman and additional Composition: Chairman and additional members
members appointed by the President. appointed by the Governor.
Term: 6 years or till the age of 65 years. Term: 6 years or till the age of 62 years.
Qualification: No prescribed qualification, but 50% of members must have 10 years of field
experience.
Removal: Removal by the President on grounds such as insolvency, holding an Office of Profit,
infirmity of mind or body, and misbehavior under Article 317. The advice of the Supreme Court
advice is binding in nature.
Employment: Members, including the Chairman, cannot serve a second term in the same
position in UPSC or SPSC. After their term, they are ineligible for further government
employment, except as Chairman of the UPSC (if previously a member) or as a member or
Chairman of an SPSC.
Role: Acts as a watchdog of the merit system, provides advisory recommendations, and is
only a central recruiting agency.

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1.1.1. Functions of PSC Student Notes:

1.1.2. Independence of PSC

The PSCs act as a watchdog of merit while recruiting for various government positions. To ensure
its independent functioning following provisions have been provided in the Constitution.
• Article 317 ensures that members of UPSC and State PSC enjoy security of tenure. Removal
is limited to specific reasons like insolvency, office of profit, infirmity, or misbehavior, etc.
• The conditions of service of the Chairman or a member, though determined by the President,
cannot be varied to his disadvantage after his appointment.
• The entire expense including the salaries, allowances and pensions of the Chairman and
members of the UPSC is charged on the Consolidated Fund of India.
• The Chairman or a member of UPSC cannot be reappointed for a second term. After their
term, the Chairman is ineligible for any further government employment, while a member
can be appointed as the Chairman of UPSC or SPSC but is otherwise ineligible for other
government roles.
1.1.3. Limitations of PSC
• Limited Functional jurisdiction: The Commissions are not consulted on the following
matters
o While making reservations of appointments or posts in favour of any backward class of
citizens.
o While taking into consideration the claims of scheduled castes and scheduled tribes in
making appointments to services and posts.
o With regard to the selections for chairmanship or membership of commissions or
tribunals, posts of the highest diplomatic nature and a bulk of group C and group D
services.
o With regard to the selection for temporary or officiating appointment to a post if the
person appointed is not likely to hold the post for more than a year.
• Advisory recommendations: The recommendations made by the commissions are not
binding on the government. The answerability of the government for departing from
recommendation is limited only to explanation in the legislature.
• Central Vigilance Commission: Though UPSC (a constitutional body) has an edge over CVC (a
statutory body), both are consulted by the government in disciplinary matters. Thus, putting
further limitations on the UPSC.

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• Integrity and Credibility Issues: State Public Service Commissions (PSCs) are facing Student Notes:
increasing public scrutiny due to frequent incidents of question paper leaks, such as the
BPSC leak in 2022. Additionally, allegations of corruption and malpractices have emerged,
as highlighted by writ petitions in the Karnataka High Court accusing the Karnataka PSC of
examination irregularities.
• Arbitrary
Appointments: The
appointment of the
chairman and
members of State
Public Service
Commissions (SPSCs) is made entirely at the discretion of the state government. For
instance, in 2017, the Madras High Court invalidated the appointment of 11 members to
the Tamil Nadu PSC, ruling that their selection was arbitrary and lacked proper procedural
adherence.
1.1.4. Recommendations to Improve the Functioning of PSC
The 2nd ARC in its 10th and 15th reports has covered reforms for functioning of the PSCs. Some
important reforms are as follows:
• Minimizing discretion in recruitment: Reducing discretion in selection processes is essential
to ensure fairness and objectivity. Both UPSC and State PSCs should focus on minimizing
subjective judgment in recruitment.
• Prioritizing written examinations: Selection should be based primarily on written exams,
with limited emphasis on interviews to ensure transparency and meritocracy.
• Standardizing recruitment practices: Ensuring fair and transparent procedures across all
appointments is crucial. While routing all appointments through PSCs may not be feasible,
consistent practices should be maintained across different agencies and bodies.
• Alignment of induction processes for All India Services: The induction processes for All India
Services at the state level should align with IAS practices to ensure consistency and quality
across all services.
• Decentralizing recruitment for junior posts: Recruitment for junior-level posts should be
handled by subordinate recruiting bodies at district or regional levels, while State PSCs focus
on higher-level appointments.
• Limiting the size of State PSCs: Setting a reasonable limit on the number of members in
State PSCs helps maintain efficiency and effectiveness in their operations.

1.2. Election Commission of India

Election Commission is a permanent and The Election Commission of India is not
independent body provided in our concerned with elections to Panchayats and
Constitution to ensure free and fair Municipalities in the states. The Constitution
elections. has provided for a separate State Election
Article 324 of the Indian Constitution states Commission for this purpose.
that power of superintendence, direction
and control of elections to the Parliament, State Legislatures, the office of President and Vice-
President shall be vested in the Election Commission.
1.2.1. Independence of Election Commission
The Constitution safeguards the autonomy of the Election Commission of India (ECI) through
several key provisions:
• Appointed by the President, the Chief Election Commissioner (CEC) has security of tenure
and can only be removed through a process similar to that of a Supreme Court judge.

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 Although appointed by the President, the removal of CEC is not subject to the President's Student Notes:
pleasure.
• The service conditions of the Chief Election Commissioner cannot be altered to their
disadvantage after appointment. This provision ensures stability and protects the CEC's
independence from potential influence during their tenure.
• Any other Election Commissioner cannot be removed from the office, except on the
recommendation of the Chief Election Commissioner.
1.2.2. Powers and Functions
Administrative
• Prepare and periodically revise electoral rolls to register all eligible voters.
• Notify election dates and schedules, and scrutinize nomination papers.
• Determine and enforce the Model code of conduct for parties and candidates during
elections.
• Register political parties, allot election symbols, and grant them national or state status
based on poll performance.
• Cancel polls if there is rigging, booth capturing, violence, or other irregularities.
Advisory and Quasi-Judicial
• Under Article 103 and Article 192 of the Constitution, the Commission advises on post-
election disqualification of sitting members of Parliament and State Legislatures, with its
opinions binding on the President or Governor.
• According to Section 10A of the Representation of the People Act, 1951, the Commission
can disqualify candidates who fail to account for election expenses and have the authority
to remove or reduce disqualification periods.
• Article 324 of the Constitution grants the Commission the power to act as a Court for
disputes related to the recognition of political parties and the allotment of election symbols.
• The Commission advises the President whether elections can be held in a state under
President’s rule to extend the period of emergency beyond one year.
Key Initiatives of Election Commission
The Election Commission has continuously evolved and transformed to ensure that democracy
thrives in India by adapting its methods to conduct free and fair elections. Key initiatives include:
• Introduction of Electoral Photo Identity Cards (EPICs) in 1993 to prevent electoral fraud,
made mandatory from the 2004 elections.
• Implementation of Electronic Voting Machines (EVMs) to enhance reliability and efficiency.
• Computerization of electoral rolls, as well as frequently updating of the rolls.
• Mandatory declaration of assets and criminal cases by candidates during nomination.
• Improved enforcement of the Model Code of Conduct, including new guidelines for
broadcasting on state-owned media.
Recently, the Commission has also taken measures against paid news, misuse of money, and
social media abuse, further boosting public confidence in India's parliamentary democracy.
1.2.3. Issues with the Functioning of ECI
• Issues Regarding Appointment: The Constitution sets no specific qualifications for members
of ECI, allowing appointments to be made without clear criteria. This process controlled by
the government in power, risks politicization and could potentially undermine the
institution's credibility.
• Security of Tenure: The Constitution does not set a term for members of the Election
Commission, and Election Commissioners don’t have the same security of tenure as the
Chief Election Commissioner.

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• Post-retirement Benefits: The Constitution does not impose any restrictions or a cooling- Student Notes:
off period on retiring Election Commissioners from joining political parties or accepting an
office of profit under the state after retirement.
• Financial Autonomy: Currently the budget of ECI is not charged on Consolidated Fund of
India which may imply a reduced independence and autonomy of the institution.
Way Forward
Suggestions to strengthen the ECI are as follows
• Provide constitutional protection for all three Election Commissioners, not just the Chief
Election Commissioner (CEC).
• Institutionalize the convention of automatically promoting the senior-most Election
Commissioner to Chief Election Commissioner to protect them from executive interference.
• Reduce the Election Commission's reliance on the DoPT, Law Ministry, and Home Ministry by
establishing its own independent secretariat to handle recruitment and appointments.
• Fund the Election Commission’s expenses directly from the Consolidated Fund of India, like
other constitutional bodies such as the UPSC.
• In its 255th report, the Law Commission recommended a collegium, consisting of the Prime
Minister, the Leader of the Opposition and the Chief Justice of India for the appointment of
the Election Commissioners.

1.3. Finance Commission

The Finance Commission is a key part of India's fiscal
federalism. It ensures fair distribution of financial
resources between the central government and
states.
1.3.1. Role of Finance commission of India

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From the 10th Finance Commission onward, several important recommendations have been Student Notes:
made in to strengthen local bodies. Some key recommendations include:
• The Thirteenth Finance Commission recommended a certain percentage of central
revenues to be devolved to local governments as grants. Subsequent Finance Commissions
have increased grants to local bodies.
• The Fifteenth Finance Commission recommended ₹4.36 lakh crore for local governments
(2021-26), a 52% increase from the previous commission, with rural per capita allocation
rising from ₹100 to ₹674.
• Grants to local bodies under the 15th Finance Commission include both Basic and
Performance-Based Grants.
o Of the total grants, 40% are basic or untied, allowing Panchayats to use them for needs
under the 29 subjects in the Eleventh Schedule.
o The remaining 60% are performance-based, incentivizing local bodies to improve. For
example, 30% of these grants are linked to maintaining open defecation-free (ODF)
status.

1.3.2. Challenges Associated with Working of the Finance Commission

The Finance Commission of India has faced criticism related to following matters:
• Issues with Appointments: The Finance Commission Act of 1951 has vague qualification
criteria for the chairman and members, leading to concerns about appointments favoring
retired bureaucrats and politically connected individuals over qualified experts.
• Terms of Reference (TOR): Article 280 allows the President to refer “any other matter” to
the Finance Commission. However, this clause is sometimes used by the central government
to impose specific guidelines, limiting the Commission’s independence and scope.
• Revenue Distribution Criteria: The criteria set by the Finance Commission for revenue
distribution between the Centre and States are often criticized. For example, Southern states
opposed the 15th Finance Commission’s use of the 2011 census for tax devolution, as it
disadvantages states with slower population growth compared to those with faster growth.
• Delays by State Finance Commissions (SFCs): Many states fail to establish their SFCs on
time, causing delays in report submissions. This hampers the Union Finance Commission’s
ability to assess the financial needs of local bodies, as some recommendations are based on
SFC reports.
• Lack of Coordination: There is no institutional mechanism to ensure coordination between
the Finance Commission, State governments, and the GST Council, leading to potential
misalignments.

1.3.3. Reforms Suggested for Strengthening the Finance Commission

Some of the proposed reforms for strengthening of the Finance Commission are as follows:

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• Enhancing capacity: The Finance Commission should improve its analytical and advisory Student Notes:
capabilities to increase its effectiveness. This can be achieved by utilizing reliable data
sources, employing robust methodologies, and actively engaging with experts and
stakeholders.
• Formulation of terms of reference: The TOR should be formulated through a transparent
and consultative process involving states, independent experts, and relevant stakeholders.
This approach will ensure that the TOR are comprehensive, balanced, and reflective of
diverse perspectives and prevent the imposition of narrow, specific guidelines that could
constrain the Commission's work.
• Emerging challenges: Considering the evolving economic and social dynamics, such as issues
related to GST implementation, rising public debt and widening fiscal deficit, demographic
dynamics, Climate Change, and Digital Transformation, the Finance Commission needs to
remain proactive and responsive.
• Strengthening state finance commissions: The XIV and XV Finance Commissions have
stressed on the need for timely constitution of the state finance commissions and
submission of the reports. The 14th FC also suggested provisioning of administrative support
for the SFCs by the respective states.
• Incorporating performance based incentives: There is a suggestion to incorporate
performance-based incentives for states that have shown remarkable progress in areas
such as education, health, and infrastructure development. This will encourage states to
perform better and achieve more.

Constitution of Sixteenth Finance Commission (16th FC)

The Sixteenth Finance Commission of India was established on December 31, 2023, with Shri
Arvind Panagariya as the Chairperson.
Mandate and Timeline: The Commission is tasked with submitting its recommendations by
October 31, 2025. These recommendations will guide fiscal allocations for a five-year period
starting April 1, 2026.
Terms of Reference: The Commission is to provide guidance on several key financial
relationships and policies:
• It will recommend how the net proceeds of taxes, which are shareable between the Union
and the states, should be distributed, and how these proceeds should be apportioned
among the states themselves.
• It will outline principles for determining grants-in-aid from the Consolidated Fund of
India to state revenues, along with specific allocations under Article 275 of the
Constitution for purposes not listed in the existing provisos of that article.
• It will suggest strategies to enhance the financial resources of state Consolidated Funds
of States to better support local government bodies like Panchayats and Municipalities,
based on the state Finance Commissions' recommendations.
The Commission is also expected to evaluate and propose changes to the financial structures
supporting Disaster Management, focusing on the funds established under the Disaster
Management Act of 2005

1.4. National Commission for Scheduled Castes

The National Commission for Scheduled Castes (NCSC) is a constitutional body tasked with
monitoring and investigating issues related to the social, economic, and educational
development of Scheduled Castes.
1.4.1. Functions of the Commission
• To investigate and monitor all matters relating to the constitutional and other legal
safeguards for the SCs and to evaluate their working.

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• To enquire into specific complaints with Student Notes:
respect to deprivation of rights and safeguards
of the SCs.
• To participate and advice on the socio-
economic development of SCs and to evaluate
their development under the union or a state.
• To report to the President regarding working
of the safeguards and other measures for
protection, welfare and socio-economic
development of the SCs.
• To make recommendations as to the
measures that should be taken by the Union or
a state for the effective implementation of
those safeguards and other measures for the
protection, welfare and socio-economic
development of the SCs.
Powers of Commission Constitutional Provisions for Schedule Castes:
The Commission is vested with the The Safeguards Provided to Scheduled Castes are
power to regulate its own procedure. grouped in the Following Broad Heads:
The Commission while investigating Social Safeguards - Article 17, 23, 24 And 25 (2) (B).
any matter or inquiring into any Economic Safeguards - Article 23, 24 And 46.
complaint has all the powers of a civil Educational & Cultural Safeguards - Article15 (4).
court trying a suit. Political Safeguards - Article 243, 330 And 332.
• It can summon and enforce the Service Safeguards - Articles 16(4), 16(4a) And 335.
attendance of any person from
any part of India and examine him on oath.
• It also has power to receive evidence on affidavits and requisitioning any public record from
court or office.
• The central and state governments are required to consult the commission on all major
policy matters affecting the SCs.
1.4.2. Challenges Faced by the NCSC
The NCSC in India faces many challenges in fulfilling its mandate to protect and promote the
interests of scheduled castes (SCs) in the country. Some of these challenges include:
• Issues Related to Appointments: The NCSC often faces vacancies for longer duration. In
2023, the Supreme Court had to push for quicker appointments. The process is not well
institutionalized, leading to politically motivated selections.
• Performance Issues: NCSC is good at monitoring legal safeguards for SCs but is criticized for
elite bias. Its efforts in preventing atrocities and SC welfare are less effective due to
underreporting and lack of political will.
• Lack of Power to Enforce Decisions: NCSC’s decisions are only advisory and not binding. In
2022, the Madras High
Court ruled that NCSC
can't interfere in service
matters or issue specific
directives.
• Delayed publication of reports:- More than a dozen key annual reports from NCSC, NCST,
NCBC have not been made public for up to seven years. NCSC & NCST have not submitted
reports to the President for the last two years, while NCBC is behind by three years.
• Resource Limitations: NCSC faces constraints in both financial and human resources,
affecting its effectiveness.

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• Reporting Issues: Annual reports are not consistently presented in Parliament. The latest Student Notes:
for 2019-2020 is pending as of June 2024. Special reports are often not discussed and are
more statistical than qualitative.
1.4.3. Recommendations To Strengthen the NCSC
The Second Administrative Reforms Commission (ARC) in India made several recommendations
for the National Commission for Scheduled Castes (NCSC) in its 7th report on "Capacity Building
for Conflict Resolution''. Various other recommendations have been suggested for SCSC. Some
of the important recommendations are:
Measures Explanation
Timely and The appointment process should be institutionalized, with clear
apolitical qualifications for the Chairperson and Members made public. Diverse
appointments professionals, especially those concerned with Scheduled Castes,
should be involved. Timely appointments are essential to prevent
vacancy backlogs.
Ensuring The NCSC should be made more autonomous, with the authority to
autonomy investigate and act on discrimination against SCs. It should also have the
power to review and monitor the implementation of laws and policies
concerning SCs.
More focus on In addition to focusing on service safeguards, the NCSC should
working of social efficiently prevent and address atrocities and ensure the socio-
safeguards economic welfare of SCs.
Mandatory The governments should mandatorily consult NCSC on all major policy
consultation matters affecting Scheduled castes.
Availability of NCSC should be provided with sufficient financial autonomy for smooth
manpower functioning of the body.
and funds
Partnership with The NCSC should collaborate with civil society organizations, including
civil society for NGOs, academic institutions, corporations, and other stakeholders, to
Public awareness promote the rights of SCs. Additionally, it should play a more active role
in creating public awareness by conducting campaigns and outreach
programs to educate the public about the issues faced by SCs.

1.5. National Commission for Scheduled Tribes

The National Commission for Scheduled Tribes (NCST) is a constitutional body focused on
safeguarding and promoting the welfare of Scheduled Tribes.
1.5.1. Functions of NCST
Functions of NCST are similar to National Commission on SCs, entrusted to the Commission in
2005:
• Recommend measures to confer ownership rights of minor forest produce to Scheduled
Tribes (STs) living in forest areas.
• Propose safeguards for the rights of tribal communities over mineral and water resources
in accordance with the law.
• Advocate for strategies that promote the development of tribals and create more
sustainable livelihood opportunities.
• Suggest improvements in relief and rehabilitation measures for tribal groups displaced by
development projects.
• Recommend steps to prevent the alienation of tribal lands and ensure effective
rehabilitation for those already affected by such alienation.

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• Ensure the full implementation of the Provisions of Panchayats (Extension to the Scheduled Student Notes:
Areas) Act, 1996.
• Propose measures to reduce and
eventually eliminate the practice
of shifting cultivation, which
disempowers tribal communities
and degrades land and the
environment.
NCST has contributed significantly in
ensuring welfare of tribals. A recent
example is the eviction of tribals due
to the Polavaram Project in
September 2021. The NCST
intervened, directing the Andhra
Pradesh government to protect the
rights of the Koya and Konda Reddy tribes.
The Commission recommended providing
adequate compensation and alternative
arrangements for their rehabilitation before displacement.
However, the working of the commission has faced many criticisms, some prominent cases
being:
1. The Supreme Court's 2019 order to evict over one million forest-dwelling people conflicted
with the spirit of the Forest Rights Act, and the Commission was unable to intervene.
2. The commission was not able to safeguard the tribal rights of Dongria Kondh community of
Odisha who faced eviction on a Vedanta development project.
3. Tribal culture and identity are in decline, with the People’s Linguistic Survey of India
reporting that 250 tribal languages have disappeared. The NCST has not effectively
addressed this issue.
1.5.2. Challenges Faced by the NCST
The National Commission for Scheduled Castes (NCST) in India faces several challenges in fulfilling
its mandate. Some of the challenges observed by the Centre for Policy Research, New Delhi
include:
• Pendency of cases: In the financial year 2023-24, the Commission has met only two times.
Its rate of resolution of pendency of complaints and cases that it receives is also close to
50%.
• Issues related to appointment: Appointments to the NCST are often delayed, leaving key
positions vacant for extended periods. For instance, the Commission lacked a Chairperson
from June 2023 to February 2024. As of February 2024, all five posts, including Vice-
Chairperson and three members, were vacant. Additionally, appointments have frequently
been political rewards for ST Representatives of the ruling party, leading to reluctance to
address issues that might challenge the government.
• Manpower and Budgetary Shortage: As many as 70 posts out of 124 sanctioned posts in the
Commission are lying vacant (February 2023).
• Delayed publication of reports: According to the Standing Committee on Social Justice and
Empowerment, the NCST has not delivered a single report to Parliament since 2018. NCST’s
2015-16 report was laid in Parliament in 2019, and its annual reports for 2016-17 and 2017-
18 were laid in Parliament in 2023.
• No Consultation by the government:- While the constitution (Article 338A (9)) requires
governments to consult the Commission on all major policy matters affecting Scheduled

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 Tribes, in majority of the cases, the governments do not consult the Commission on policy Student Notes:
matters.
1.5.3. Recommendations to Strengthen the NCST
The Centre for Policy Research, New Delhi made several recommendations for the National
Commission for Scheduled Tribes (NCST) in its report on Study of performance of the National
Commission for Scheduled Tribes. Some of the important recommendations are:
Measures Explanation
Timely and apolitical The qualifications for the Chairperson and Members should be
appointments made public, with efforts to involve professionals from various fields
related to Scheduled Tribes. Appointments should also be timely to
prevent vacancies.
Mandatory The governments should mandatorily consult NCST on all major
consultation policy matters affecting Scheduled Tribes.
Availability of NCST should be provided with sufficient funds for its smooth
manpower and funds functioning. (The Parliamentary Committee on NCST)
Capacity building of The Regional offices need to be strengthened, along with an
Regional Offices independent investigating mechanism.
The NCST should collaborate with NGOs, academic institutions,
Partnership with civil corporations, and other stakeholders to promote ST rights. It
society and Public should also take a more active role in raising public awareness about
awareness issues faced by STs through campaigns and outreach programs.

1.6. National Commission for Backward Classes

National Commission for Backward Classes is a constitutional body under Article 338B of the
Indian Constitution. It was established by the 102nd Constitutional Amendment Act, 2018 to
investigate and monitor all matters relating to the safeguards and welfare of the Other Backward
Classes (OBCs). It also advises the President and the Parliament on the issues and policies
concerning the OBCs.
1.6.1. Working of NCBC
The NCBC has been working for the OBC's welfare for the past three decades as a statutory body.
Some of its key functions are:
• Advising on OBC Welfare and Development: The Commission has advised the government
on key issues concerning OBC welfare, such as sub-categorization, creamy layer criteria,
reservations in the private sector, implementing OBC reservations in NEET, and extending
reservations in central educational institutions.
• Redressing Complaints of Rights Violations: The Commission has addressed specific
complaints regarding violations of OBC rights and safeguards. It has intervened in cases
involving denial of caste certificates, harassment of OBC students and employees, and
discrimination in admissions and recruitment.
• Participation and evaluation of the socio-economic development of the OBCs: It has
advised on the socio-economic development of OBCs, evaluating their progress at both
Union and State levels. This includes conducting studies and surveys on their status in various
sectors and suggesting measures to improve education, health, employment, income, and
social empowerment.

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 Student Notes:
Sub-categorization of OBCs & SCs
The goal of sub-categorization is to ensure
that more disadvantaged sections can
access reservation benefits, preventing
dominant OBC/SC castes from
monopolizing them.
● While states like Andhra Pradesh, Bihar,
Maharashtra, and Tamil Nadu have
implemented sub-categorization of
OBCs, the central OBC list lacks this
distinction. This has led to grievances
from less represented OBC castes, who
feel marginalized by more influential
groups.
● To address this issue, the central
government in 2017 set up a
commission under the chairmanship of
Justice (Retd.) G. Rohini.
● In 2024, Supreme court held that Sub-
classification within the SCs does not
violate Article 341(2) because the
castes are not per se included in or
excluded from the List. It called for
‘substantive equality’ (Weakest first
approach to empower the most
marginalised among the SCs and the
STs.)
However, critics argue that due to sub-
categorization, stigma of caste-based
discrimination may get strengthened and
cite apprehensions of "potential political
tinkering" by parties in power in States to
expand vote banks.

1.6.2. Challenges Faced by NCBC

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1.6.3. Changes following constitutional status to NCBC Student Notes:

Aspect Before Constitutionalisation After Constitutionalisation

Status Statutory body established by an Act Constitutional body under Article

of Parliament. 338B of the Constitution.

Primary Role The Commission’s role was limited to The Commission expanded its focus
reservations and list-related matters, to include the comprehensive socio-
primarily focusing on recommending economic development of SEBCs.
changes to the OBC list for inclusion This includes actively monitoring
or exclusion of communities. safeguards, addressing grievances,
and ensuring their overall welfare.

Powers of a No powers of civil court. Empowered to act as a civil court

Civil Court under Article 338B.

Overlap of Shared responsibility with NCSC, Exclusive responsibility for SEBC

Functions leading to neglect of OBC issues. grievances and welfare.

1.6.4. Suggestions for Improvement of Functioning of NCBC

Some suggestions to improve the working of the National Commission for Backward Classes
(NCBC) are:
• Timely and Transparent Appointments: The government should appoint the NCBC chairman
and members promptly to avoid prolonged vacancies. A transparent, merit-based selection
process should be established to protect the Commission’s independence.
• Clear Mandate and Powers: Clearly define and expand the NCBC’s powers to enforce its
recommendations. Its advice on classifying backward classes should carry binding weight to
ensure serious consideration.
• Adequate Data and Resources: The NCBC requires up-to-date data and sufficient resources
to effectively monitor and evaluate reservation policies. This includes conducting regular
surveys to update the list of backward classes and assess their socio-economic status, as well
as using advanced tools for accurate data collection and analysis.
• Collaboration with Other Commissions: The NCBC should work with other commissions like
those for Scheduled Castes, Scheduled Tribes, and Women to coordinate welfare programs
effectively.
Dr. Bhagwan Lal Sahni, former Chairman of the 8th NCBC, suggests that the government should
provide sufficient staff, logistical support, and funding to ensure the Commission functions
effectively and serves the interests of backward classes in India.

Caste Census
Scholars like Satish Deshpande have argued that naming and counting caste could eventually
lead to its erosion by
bringing it out into the
open, making it visible
to critique and policy
reform. However, opponents argue that a caste census is more likely to reinvigorate caste
consciousness, institutionalize divisions, and provide the political class with a sophisticated
arsenal for caste-based mobilization and manipulation.

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 Student Notes:

Since State surveys may create inconsistencies due to variations in caste names, spellings, and
statuses across regions, conducting a national caste-based census, led by the central
government with state cooperation, should occur to ensure accuracy and consistency.

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1.7. Special Officer for Linguistic Minorities Student Notes:

The Indian Constitution initially had no provision for a Special Officer for Linguistic Minorities.
Following the States Reorganization Commission’s recommendation (1953-55), the Seventh
Amendment in 1956 introduced Article 350-B, establishing this role. The Special Officer,
appointed by the
President,
investigates issues
related to linguistic
minorities’
safeguards and reports to the President.
Objectives
1) To provide equal opportunities to the linguistic minorities for inclusive development and
national integration
2) To spread awareness amongst the linguistic minorities about the safeguards available to
them
3) To ensure effective implementation of the safeguards provided for the linguistic minorities
in the Constitution and other safeguards, which are agreed to by the states / U.T.s
4) To handle the representations for redress of grievances related to the safeguards for
linguistic minorities
1.7.1. Role and Functions
The Commissioner takes up all the
matters pertaining to the grievances
arising out of the non-implementation of
the Constitutional and Nationally Agreed
Scheme of Safeguards provided to linguistic minorities and recommends remedial actions to be
taken.
1) To investigate all matters related to safeguards provided to the linguistic minorities
2) To submit to the President of India, the reports on the status of implementation of the
Constitutional and the nationally agreed safeguards for the linguistic minorities
3) To monitor the implementation of safeguards through questionnaires, visits, conferences,
seminars, meetings, review mechanism, etc.

1.8. Comptroller and Auditor General of India

Article 148 of the Indian Constitution establishes the independent Comptroller and Auditor
General (CAG) as the Supreme Audit Institution, tasked with auditing the accounts of the Union,
states, and government-funded bodies. Auditing public finance ensures executive accountability
to the legislature.
1.8.1. Power and functions
Article 149 of the Constitution authorizes Parliament to define the duties and powers of the
CAG concerning the accounts of the Union, states, and other bodies. In line with this, Parliament
passed the CAG’s (Duties, Powers, and Conditions of Service) Act, 1971. This Act was amended
in 1976 to separate accounts from audit in the central government. However for state
governments, the CAG continues to manage both audit and accounts.

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The powers and functions of CAG are as follows: Student Notes:

1.8.2. Role Played by CAG

• The CAG upholds the Constitution and laws of Parliament in financial administration,
ensuring the Executive is accountable to Parliament through its audit reports.
• The CAG conducts legal and regulatory audits to confirm that money was legally approved
and spent as intended, and also performs performance audits to evaluate value for money,
economy, and wastefulness of government expenditure.
• Unlike in Britain, the CAG in India functions only as an Auditor General, not as a Comptroller,
meaning it has no control over the issuance of money from the Consolidated Fund.
• Although CAG’s reports are not binding on the Executive, they play a crucial role in holding
the government responsible for the misuse or waste of public funds.

1.8.3. Challenges Faced by the Institution of CAG

While carrying out its constitutional mandate, CAG suffers from following challenges.
Issues Explanation Recommendations
Issues The CAG Is appointed solely by the The 2nd ARC suggested the need to
Related to executive, with no legislative establish a multi membered body
Appointme involvement or clear qualification for appointing CAG with a role for
nt criteria. The process is somewhat the opposition to ensure their
Procedure arbitrary and lacks transparency, raising independence from the Executive.
of CAG. concerns about the independence of the International Best Practices
appointee. The Exchequer and Audit Act of the
United Kingdom, 1983 provides
that the CAG will be jointly selected
by the Prime Minister and
Chairman of the Committee of
Public Accounts and thereafter
ratified by the House of Commons.

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 Issues •
Neglect of Performance Audits: • Enhancing Performance Audits: Student Notes:
related to While the CAG conducts a large PAC in 2015-16 report and
Coverage number of compliance and financial Montek Singh Ahluwalia
of audit. audits, it often neglects suggested that the CAG should
performance audits. Performance hire more economists,
audits are considered crucial to engineers, and social scientists
assessing the efficiency and to improve the efficiency of
effectiveness of government performance audits and
schemes. undertake more of them.
• Limited Power to Audit: CAG has • Widening the Scope: Former
limited powers to audit private CAG Vinod Rai believes the CAG
companies and lacks authority to Act needs updating to include
PRIs, ULBs, and PPP models,
audit NGOs, PRIs, and ULBs. This
which have become key
leaves a significant portion of public channels for government
resources outside independent schemes, under the CAG’s
scrutiny. automatic legal mandate.
Quality of The quality of CAG reports has often INTOSAI recommended for regular
Audits been questioned especially when they peer-to-peer assessments (once in
criticize government policy. 3 years) monitoring whether quality
• The International organization of of CAG reports have improved over
the Supreme Auditing Institution time or not.
(INTOSAI) assessment for the 2010- CAG should estimate the ‘notional’
11 period analysed 35 reports of CAG number carefully, making the
to evaluate their quality. assumptions and methodology
o It found 50% of CAG reports clear.
could have been more balanced
in context and findings in 50% of
the reports were not supported
by enough evidence.
• Additionally, presumptive loss
estimates in high-profile cases like
the 2G spectrum scam raised
concerns about the methodology
and transparency of the CAG’s
audits.
Delayed Governments have often delayed tabling The 2nd ARC and the PAC have
Tabling of CAG reports and PAC findings on policies repeatedly recommended a time
CAG and their impact to avoid bound procedure for tabling CAG
Reports embarrassment. This practice deprives reports and PAC findings preferably
the legislature and the public of vital within a year before the legislature.
evidence needed to hold the executive
accountable. For instance, in 2023, only
18 CAG audit reports on the Union
government’s accounts were tabled in
Parliament, compared to an average of
22 reports per year between 2019 and
2023, and 40 reports per year between
2014 and 2018.
Challenges The audit department has consistently The CAG proposes statutory powers
in faced challenges in obtaining necessary similar to those in the RTI Act of
Accessing documents for audits. In some cases, 2005 to access government files

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 Documents CAG officials have been denied access to and records, allowing for penalties Student Notes:
relevant documents, requiring judicial on officials withholding
intervention. For instance, in 1999, the information.
Karnataka Government refused to share This would enhance audit efficiency
files related to police personnel postings by ensuring timely access to
and transfers with the State Audit Wing necessary information.
during a systems audit of ‘Manpower
Management of the Police Department.’

1.9. Attorney General of India

The Attorney-General of India is the first and highest law officer of the Government of India.
(‘Law Officer’ includes Attorney General, Solicitor General, and Additional Solicitor General.) S/he
is appointed by the President and holds the office during the pleasure of President.
Apart from the parliamentarians, only Attorney General has the right-
• Of the audience in all Courts of India. Is Attorney General in Fiduciary
• To speak and take part in proceedings of Relationship with Government?
Houses or committees or Joint sittings or • Union of India vs R.K. Jain (2017): The
any committee of Parliament of which he predominant function of the Attorney
may be renamed as a member, but General is to give advice the government
without Right to vote. on legal matters, to appear in court, etc.
• Enjoys Parliamentary privileges. Since the functions is akin to an
Advocate of the Government of India
1.9.1. Qualifications (GoI), he is in fiduciary relationship with
• The Qualifications required are the same of the GoI and can’t put in public domain
“Judge of Supreme Court.” his opinions/materials forwarded to him
by the GoI. Thus, the office of AG doesn’t
1.9.2. Role and Functions of AGI fall under the ambit of ‘public authority’
(Articles 76) for the purpose of RTI Act.
• To give advice on legal matters to the • BP Singhal Case (2010): The Supreme
Government of India (GoI). Court had ruled that the AG holds a
• To perform legal duties assigned to him by public office. But though the AG holds a
the President (E.g., to appear on behalf of public office, there is an element of
the Government of India in all concerned lawyer-client relationship between the
Supreme Court / High Court cases). Union Government and the AG.
• To discharge functions conferred on him by the President (read government).
1.9.3. Privileges
• S/He enjoys the privileges of the MP.
• S/He is an ex-officio member of the Bar Council of India and is also considered the leader of
the bar.
• The Supreme Court may take action for criminal contempt on a motion made by the Attorney
General.
1.9.4. Restrictions on the powers of Attorney General of India
• S/he is not a government servant and also not a member of the Central Cabinet. There is a
separate Law Minister in the cabinet to look after legal matters at the Government level.
• S/he is not a whole time Counsel for the Government of India. Thus, s/he can do Private
legal practice—but s/he can’t be director of a company or corporation without Government
of India permission and also can’t defend accused in criminal cases without Government of
India permission.
• S/He can’t advise against the Government of India.

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1.9.5. Comparative Evaluation of office Student Notes:

• USA: As a part of the Executive, s/he

gives advice and opinions to the
President and Secretaries of various
departments. S/he may appear in person
before the Supreme Court.
• UK: Attorney general is a member of UK Parliament, and the office has recognition of a
ministry. Thus, s/he has to maintain a careful balance between acting as an independent
guardian of the rule of law with the political duties as MP.
• India: Though the Constitution describes the Attorney General as part of the Union
Executive, s/he is not a member of Parliament or council of ministers. At the level of
government, a law minister is appointed.

Solicitor-General of India
• The Solicitor General of India (SGI) serves as a supporting legal officer to the Attorney
General (AG) and holds the position of a secondary law officer in India. It is important to
note that while the post of the Attorney General is constitutional, the positions of the
Solicitor-General and the Additional Solicitor Generals are statutory. The appointment of
the Solicitor General is made by the President based on the recommendation of the
Appointments Committee of the Cabinet.
• Typically, the term of appointment for the Solicitor General is three years.
Qualifications:
1. Citizen of India
2. At least 5 years’ experience as a judge in a High Court, or a High Court advocate for a
minimum 10 years or a renowned jurist in the eyes of the Appointments Committee of the
Cabinet.
Restrictions: Same as those of the Attorney General of India.

1.10. Advocate General of State

In a structure parallel to the Union, the Constitution provides for a law officer in the State under
Article 165. The Advocate General is appointed by the Governor. He must be a person who is
qualified to be appointed a judge of a High Court. He enjoys the same power, duties and
conditions of employment as the Attorney General
at the Centre in respect of the State.
Duties and Functions
As the Chief Law Officer of the state, the Advocate
General has the following roles and duties:
1. Provides legal advice to the state government
on matters referred by the Governor and
performs other legal duties assigned by the
Governor.
2. Carries out functions conferred by the
Constitution or any other law in force.
3. Can appear in any court within the state while
performing these duties.
Similar to Ministers, the Advocate General has the
right to speak in and participate in the proceedings
of the Legislative Assembly or Council and any

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legislative committee they are a member of, but without voting rights. They also enjoy the same Student Notes:
privileges and immunities as members of the Legislature.

1.11. Inter-State Council

Article 263 of the Indian
Constitution empowers the
President to establish an Inter-State
Council (ISC) to address issues
between states, discuss subjects of common interest between states or between the Union and
states, and recommend better coordination of policy and action on these subjects. The ISC was
first established in 1990 based on the recommendation of the Sarkaria Commission to promote
cooperation and coordination between the central and state governments.

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1.11.1. Functions of ISC Student Notes:

• It is a recommendatory body on issues relating to interstate, Centre-State, and Centre and

Union Territory relations.
• Its function is complementary to Supreme Court’s jurisdiction under Art 131 to decide a legal
controversy between the governments.
• It is not a permanent constitutional body ISC Standing Committee
but it can be established ‘at any time’ if it
The Standing Committee of the Council
appears to the President that the public
was set up in 1996 for continuous
interests would be served by the
consultation and processing of matters for
establishment of such a council.
the consideration of the council.
1.11.2. Significance of ISC The Committee consists of following
• Constitutional Backing: Unlike other members:
platforms for Centre State cooperation, ISC 1. Union Home Minster (Head)
has constitutional backing. 2. Five Union Cabinet Ministers
• Cooperative federalism: In times of 3. Nine Chief Ministers
different political parties heading the
The Committee is assisted by Inter-State
Centre and various states the need for
Council Secretariat, set up in 1991 and
dialogue assumes a greater importance.
headed by a Secretary to Government of
Thus, ISC provides a platform for states to
India.
discuss their concerns.
• Resolving disputes linked to state-state & centre-state: In 2016 & 2015, 140 & 82 such issues
were resolved respectively.
• Decentralized decision making: If the goal of a more decentralised polity, which needs
interaction between various levels of government, is to be achieved, Interstate Council is a
crucial first step.
• A safety valve: The council helps to bridge the trust deficit between the centre and the
states. If not always a problem solver, it at least acted as a safety valve.
1.11.3. Assessment of the Working of ISC
The Inter-State Council, a permanent constitutional body for inter-State coordination, holds
significant potential for strengthening federal cooperation but has not been fully utilized.
Various issues and recommendations associated with the working of the ISC are as follows:
S.N. Issues Recommendations
1 Non-permanent body: The Punchhi Commission recommended
The ISC is not a permanent granting the ISC either constitutional or
constitutional body; it is established statutory status to enhance its authority
by a Presidential Order, which defines and ensure it has sufficient resources to
its composition, meeting frequency, function effectively.
and procedures.
2 Advisory in nature: The Punchhi Commission recommended
Article 263 envisions the ISC as a strengthening consensus-building and
recommendatory body, with its voluntary dispute resolution. It also
decisions being non-binding on both emphasized the need for the Centre and
the Center and the states. States to have a positive duty to consider the
ISC's recommendations seriously.
3 Lack of technical expertise: The Punchhi Commission recommended
The ISC currently lacks expertise in that the ISC should have expert advisory
technical matters. To make relevant bodies or administrative tribunals with
suggestions on complex issues like quasi-judicial authority to provide
grant-making, its policy research and recommendations as needed. The Sarkaria

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 investigative capacity need significant Commission also suggested empowering Student Notes:
strengthening. the ISC and its Standing Committee to set
up ad hoc Sub-Committees to investigate
specific issues.
4 Infrequent meetings: Granting the ISC constitutional or statutory
The ISC is supposed to meet three status would likely make it a higher priority
times a year according to its order. for both the Centre and State
However, there was a ten-year gap Governments, ensuring regular meetings
between its 10th meeting in 2006 and and adequate resources. The ISC should
the 11th meeting in 2016. This meet more frequently, with the Secretariat
infrequency suggests a lack of preparing the agenda in detail through
seriousness by the governments in consultations with all parties involved.
addressing intergovernmental
cooperation.

1.12. Goods and Services Tax (GST) Council

The Goods and Services Tax (GST) is a key indirect tax reform in India designed to harmonize
taxes and eliminate tax cascading. Given the significant impact of GST on fiscal federalism, the
GST Council, a constitutional
body (Article 279A) was
established as a joint forum
for the Centre and states to
make decisions on GST-
related matters.
Key decisions taken by the GST Council Recently

The Supreme Court has ruled that recommendations of GST Council only have persuasive value,
and cannot be binding on the Centre and states.
1.12.1. Assessment of GST Council
Since its inception, the GST
Council has played a pivotal
role in shaping India's
indirect tax system. Key
contributions include:
• Centre-State
Collaboration: The GST
Council serves as a
platform for joint
decision-making
between the Centre and
states.
• Simplifying Tax
Structure: The Council
has removed the
cascading effect of

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 taxes, leading to a more transparent and efficient system. For instance, tax slabs were Student Notes:
rationalized, with many items reclassified as necessities rather than luxuries, leaving only
around 200 items in the highest 28% tax slab.
• Promoting Fiscal Federalism: The Council has balanced the financial interests of both
Central and State governments, ensuring the tax system adapts to economic changes.
• Supporting MSMEs: The Council introduced measures like increasing the registration
threshold limit and the Composition Scheme for small taxpayers, providing relief to the
MSME sector.
Despite its crucial role in implementing GST, the GST Council, being a recommendatory body, has
faced several criticisms. Some of these criticisms and suggestions include:
Criticism Suggestion
Veto power with Union: The Rajya Sabha's Select Committee,
For any proposal to pass in the GST Council, a three- recommended to reduce the Centre's
fourths majority (75 percent) of the weighted votes vote weightage to one-fourth.
of the members present and voting is required. The
Union government’s vote accounts for one-third (33
percent) of the total votes, while all State
governments together hold the remaining two-
thirds (66 percent).
This setup gives the Union government effective
veto power, as States cannot pass a proposal if the
Union opposes it. However, if all States oppose a
measure, the Centre's veto becomes ineffective.
Complex Tax Structure: A simpler tax slab structure limiting
Critics argue that the GST tax structure is overly commodities to three tax slabs is the
complex with multiple tax slabs. Some experts need of the hour. Experts have
suggest that the Council should simplify this recommended a three-slab structure
structure by reducing the number of tax slabs and that will help rationalize this indirect
including more items in the lowest tax bracket. tax system.
Important items are exempted from GST: Petroleum Key GST Council Decisions should be
products, sale of land etc are exempt from GST. GST implemented without any further
council has not been successful in creating consensus delays, backed by proper
on inclusion of such products. notifications.

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transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise,
without prior permission of Vision IAS.

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 Student Notes:
QUASI-JUDICIAL BODIES
Contents
Previous Years' Questions (2013-24).......................................................................................... 231
Previous Years' Questions Analysis: (Avg. weightage: ~6.95%) .................................................. 231
1. Quasi-Judicial Body ................................................................................................................ 231
1.1. Reasons for Emergence of Quasi-Judicial Bodies In India ............................................... 232
2. Various Quasi-Judicial Bodies in India .................................................................................... 232
2.1. Tribunals .......................................................................................................................... 232
2.1.1. Central Administrative Tribunal (CAT) ...................................................................... 233
2.1.2. State Administrative Tribunals ................................................................................. 233
2.1.3. Tribunals under Article 323B .................................................................................... 233
2.1.4. Issues Associated with Functioning of the Tribunals ............................................... 234
2.1.5. Measures to Improve Functioning of Tribunals ....................................................... 234
2.2. National Human Rights Commission (NHRC) .................................................................. 236
2.2.1. Functions of National Human Rights Commission ................................................... 236
2.2.2. Limitations of NHRC ................................................................................................. 237
2.2.3. Giving NHRC more Teeth .......................................................................................... 237
2.3. Central Vigilance Commission (CVC) ............................................................................... 238
2.3.1. Functions of CVC ...................................................................................................... 238
2.3.2. Challenges in the Functioning of Central Vigilance Commission ............................. 238
2.3.3. Improvements and Suggestions for Better Functioning of CVC ............................... 239
2.4. Central Bureau of Investigation (CBI) .............................................................................. 239
2.4.1. Challenges faced by the CBI ..................................................................................... 240
2.4.2. Suggested Reforms to Improve Functioning of CBI .................................................. 240
2.5. Lokpal .............................................................................................................................. 241
2.5.1. Powers of Lokpal ...................................................................................................... 241
2.5.2. Challenges on Functioning of Lokpal ....................................................................... 242
2.5.3. Recommendations for Improving Functioning of Lokpal ......................................... 243
2.5.4. Lokayukta ................................................................................................................. 243
2.6. Information Commissions ............................................................................................... 244
2.6.1. Challenges Faced by CIC and SIC .............................................................................. 244
2.6.2. Recommendations for Reforming Information Regime in India .............................. 245

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All rights are reserved. No part of this document may be reproduced, stored in a retrieval system or
transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise,
without prior permission of Vision IAS.

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 Student Notes:
Previous Years' Questions (2013-24)
• National Human Rights Commission (NHRC) in India can be most effective when its tasks are
adequately supported by other mechanisms that ensure the accountability of a government.
In light of the above observation assess the role of NHRC as an effective complement to the
judiciary and other institutions in promoting and protecting human rights standards. (2014,
12.5 marks)
• What is a quasi-judicial body? Explain with the help of concrete examples. (2016, 12.5 marks)
• Is the National Commission for Women able to strategize and tackle the problems that
women face at both public and private spheres? Give reasons in support of your answer.
(2017, 15 marks)
• How far do you agree with the view that tribunals curtail the jurisdiction of ordinary courts?
In view of the above, discuss the constitutional validity and competency of the tribunals in
India. (2018, 15 marks)
• "The Central Administrative Tribunal which was established for redressal of grievances and
complaints by or against central government employees, nowadays is exercising its powers
as an independent judicial authority." Explain. (2019, 10 marks)
• Though the Human Rights Commissions have contributed immensely to the protection of
human rights in India, yet they have failed to assert themselves against the mighty and
powerful. Analyzing their structural and practical limitations, suggest remedial measures.
(2021, 15 marks)
• Explain and distinguish between Lok Adalats and Arbitration Tribunals. Whether they
entertain civil as well as criminal cases? (2024, 10 marks)

Previous Years' Questions Analysis: (Avg. weightage:

~6.95%)
1. Understand the Concept and Examples: Clearly define what quasi-judicial bodies are and be
familiar with examples like various Tribunals (CAT, NGT), NHRC, NCW, Information
Commissions, etc.
○ PYQ Example: "What is a quasi-judicial body? Explain with the help of concrete examples.
(2016, 12.5 marks)"
2. Functioning, Effectiveness, and Challenges: Analyze their role in delivering justice/redressal,
their effectiveness, structural/practical limitations, and issues like independence, vacancies,
and encroachment on judicial powers.
○ PYQ Example: "Though the Human Rights Commissions have contributed immensely to
the protection of human rights in India, yet they have failed to assert themselves against
the mighty and powerful. Analyzing their structural and practical limitations, suggest
remedial measures. (2021, 15 marks)"
3. Tribunals – A Special Focus: Issues related to tribunals, their constitutionality, and impact on
the jurisdiction of regular courts are often highlighted.
○ PYQ Example: "How far do you agree with the view that tribunals curtail the jurisdiction
of ordinary courts? In view of the above, discuss the constitutional validity and
competency of the tribunals in India. (2018, 15 marks)"
-------------------------------------------------------------------------------------------------------------------------------

1. Quasi-Judicial Body
A Quasi-judicial body is a body that performs functions similar to those of a court, but is not a
court of law. Such a body can
• Adjudicate and decide upon a situation
• Impose penalty upon the guilty or
• Regulate the conduct of an individual or entity.

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1.1. Reasons for Emergence of Quasi-Judicial Bodies In India Student Notes:

• Overburdening of judiciary: As the state has taken on more roles and responsibilities, the
number of cases in the judiciary has increased. This has resulted in an overburdened judicial
system with many pending cases.
• Complexity of laws: With advancements in science and the economy, laws have grown more
complex. This complexity requires a deeper technical understanding of specific sectors.
• Cost: Ordinary judiciary has
Quasi-judicial Action vs. Administrative Action
become dilatory and costly,
resulting in the emergence of Though the distinction between quasi-judicial and
quasi-judicial bodies. administrative action has become blurred, yet it does
• Other factors include: not mean that there is no distinction between the two.
o The conventional judiciary In A.K. Kraipak vs. Union of India, the Supreme Court
is suffering from procedural was of the view that in order to determine whether the
rigidity, which delays action of the administrative authority is quasi-judicial
justice. or administrative, one has to see the nature of power
o Additionally, many conferred, to whom power is given, the framework
decisions that impact within which power is conferred and the
private individuals are made consequences.
not by courts, but by
administrative agencies that exercise judicial powers.

2. Various Quasi-Judicial Bodies in India

2.1. Tribunals
A tribunal is a specialized body set up to handle specific disputes, often related to administrative
or regulatory matters. They are created by laws to perform judicial or quasi-judicial functions,
typically focusing on specific areas like employment, taxes, or consumer issues.
Jurisdiction: Each tribunal is given specific jurisdiction to hear and decide cases within its
designated area of expertise. Some tribunals have appellate jurisdiction, meaning they hear
appeals from decisions made by lower authorities or government bodies.
Appeals: Appeals from tribunals usually lie with the concerned High Court. However, some laws
specify that appeals will be heard by the Supreme Court.
Feature Tribunals Courts
Establishment By acts of Parliament. By the Constitution of India only.
Purpose To resolve disputes and complaints on To interpret and maintain law and
specific matters. order in their jurisdiction and give
decisions on civil and criminal cases.
Procedural Not bound by specific procedures but Bound by procedural codes.
Compliance governed by Principles of Natural
Justice.
Members A mix of judicial and experts with Judicial only
special knowledge.
Powers Limited to laws under which they are Power to use all enacted laws before
set. making a decision.
The 42nd Amendment of 1976 added Part XIV-A to the Indian Constitution for tribunals, which
introduced Articles 323-A and 323-B.

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 Aspect Article 323 A Article 323 B Student Notes:
Purpose Tribunals for public service matters only. Tribunals for other matters.
These tribunals handle disputes and These tribunals handle
complaints related to recruitment and disputes related to a wide
service conditions of public servants variety of matters, such as
appointed by the Union, state, or local environment, income tax, etc.
authorities, or by government-controlled
corporations.
Authority Authority lies only with Parliament. By both Parliament and State
to Establish Legislatures (within their
legislative competence).
Number of One tribunal for the Centre and one for each Hierarchy of tribunals may be
Tribunals state or two or more states. created.
Examples The Central Administrative Tribunal, the State National Green Tribunal,
Administrative Tribunal, and the Joint Foreigners’ Tribunals (FTs),
Administrative Tribunal. National Company Law
Tribunal, etc.
2.1.1. Central Administrative Tribunal (CAT)
The Central Administrative Tribunal (CAT) was established in 1985, with its principal bench in
Delhi and additional benches across various
Appeals Against CAT Orders
states.
Initially, appeals against CAT orders went
• It handles recruitment and service- directly to the Supreme Court, bypassing High
related disputes for public servants under courts. In the 1997 Chandra Kumar case, the
its jurisdiction. Supreme Court ruled this unconstitutional,
• It includes All-India services, Central civil affirming judicial review as a constitutional
services, civil posts under the Centre, and basic structure. Now, appeals must first be
civilian employees of the defense services. filed in the relevant high court before
However, CAT's jurisdiction does not cover approaching the Supreme Court.
members of the defense forces, officers and
servants of the Supreme Court, or the secretarial staff of Parliament.
2.1.2. State Administrative Tribunals
The Administrative Tribunals Act of 1985 allows the Central government to establish State
Administrative Tribunals (SATs) upon request from state governments. Like the Central
Administrative Tribunal (CAT), SATs have original jurisdiction over recruitment and service-
related matters for state government employees.
2.1.3. Tribunals under Article 323B
The tribunals for a wide variety of ‘other matters’ are established under Article 323B. These
tribunals can be established by both the Parliament and the state legislatures.
Examples of Tribunals established under Article 323B
Tribunals Acts Purpose
National Green Established under the NGT Ensuring effective and expeditious
Tribunal (NGT) Act, 2010. resolution of environmental protection
cases.
Foreigners’ Tribunals The Foreigners (Tribunals) Determine the status of individuals as
(FTs) Order, 1964 was issued by foreigners under the Foreigner’s Act.
the Central Government
under Section 3 of The
Foreigners Act, 1946.

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 National Company Established under the Adjudicate issues related to Indian Student Notes:
Law Tribunal Companies Act, 2013 companies.
Telecom Disputes Telecom Regulatory Adjudicate disputes and appeals to
Settlement and Authority of India Act 1997 protect the interests of telecom service
Appellate Tribunal providers and consumers in the Indian
(TDSAT) telecommunications sector.
Tribunals under Article 323B have a broader scope than those under Article 323A, which are
limited to public service matters. Due to this broader scope, the number of such tribunals
increased to 26. To address this proliferation, the government reformed the tribunal system
under the Finance Act of 2017, merging various tribunals based on functional similarities. As a
result, the number of tribunals was reduced from 26 to 19.
2.1.4. Issues Associated with Functioning of the Tribunals

Tribunals in other countries

• France: France has a dual legal system, classifying courts into judicial courts (dealing with
private law) and administrative courts (dealing with public/administrative law). France
has a three-tier tribunal system within the category of administrative courts.
• United Kingdom: The United Kingdom has a two-tier tribunal system. Appeals against
the First Tier Tribunal lie with the Upper Tribunal. Appeals from the Upper Tribunal lie to
the Court of Appeal (the second-highest court after the country’s Supreme Court). There
is a separate tribunal for employment-related matters called the Employment Appeals
Tribunal, and the appeals of this tribunal lie to the Court of Appeal.
• United States of America: In the United States of America, tribunals are empowered to
exercise only quasi-judicial functions related to administrative actions. The country’s
Constitution does not allow vesting judicial powers in a body that is not a court.
2.1.5. Measures to Improve Functioning of Tribunals
Strengthening tribunals in India involves implementing measures to enhance their efficiency,
independence, and overall effectiveness.

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 Student Notes:

Law Commission of India

The Law Commission seeks to facilitate the improvement in the quality of Indian legislations,
by ensuring that they are clear, serve their intended purpose and account for current realities.
In doing so, the Commission resultantly engages in both ex-ante and ex-post analyses
Issue:
• Recommendations only persuasive and not binding: Only 33% of recommendations
submitted by the Law Commission by way of 277 reports have been implemented. So, it
has not been much successful in influencing the Indian legislative landscape.
• Issue with its constitution: The Law Commission of India is constituted through an
executive order every three
years. There is no overarching
framework governing the
constitution of the Commission,
and even the act of appointing members to the Commission is unregulated. This led
Commission without a chairperson or members since 2020 till 2024.
Way forward:
• A permanent legislation can be enacted: This would not only ensure the continuous
functioning of a Law Commission, but also enshrine both the high principles and the
specific requirements governing its functioning.
• Reengineer to strengthen its functioning: Efforts towards establishing accountability
mechanisms for the Commission, appointing non-executive persons to maintain its
independence and re-working its composition in such a manner that it comprises not
only members from the legal fraternity but also members who belong to allied fields
such as economics, sociology and political science. Codes of Conduct that would impose
mandatory disclosures of potential conflicts of interest can be implemented.

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2.2. National Human Rights Commission (NHRC) Student Notes:

National Human Rights Commission (NHRC) was established under the Protection of Human
Rights Act, 1993. This Act mandates the creation of the NHRC at the national level and
commissions at the state level.
The NHRC's role is to protect human rights, which include life, liberty, equality, and dignity, as
guaranteed by the Constitution and international covenants. In 2019, the Protection of Human
Rights (Amendment) Act was passed to make the NHRC more inclusive and effective.
2.2.1. Functions of National Human Rights Commission

Other functions:
• Study treaties and other international instruments on human rights and make
recommendations for their effective implementation.
• Encourage the efforts of NGOs and institutions working in the field of human rights.
• Such other function as it may consider it necessary for the protection of human rights.

MAJOR HUMAN RIGHTS CASES & ROLE OF NHRC

• Refugee Cases (Chakmas)

in Arunachal Pradesh,
1990s: The Chakmas
(Buddhists), originally from
East Pakistan, faced
persecution on grounds of
religion in Arunachal
Pradesh. When they
attempted to flee to Assam, the Assam Government threatened to shoot them. However,
due to the NHRC's proactive role, the Court ordered the Arunachal Government to protect
the lives and personal liberty of the affected people.
• Mental Health Rights: In February 2023, the NHRC in a report flagged the “inhuman and
deplorable” condition of all 46 government-run mental healthcare institutions across the
country; out of which three are run by the Union government and the remaining by State
governments.

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2.2.2. Limitations of NHRC Student Notes:
NHRC faces several structural and practical limitations. These are as follows:

Therefore, NHRC has been termed as

‘India’s teasing illusion’ by Soli Sorabjee
(former Attorney-General of India) due to
its incapacity to render any practical relief
to the aggrieved party.
2.2.3. Giving NHRC more Teeth
If NHRC is to truly protect and promote human rights in India, changes must be made to enable
it to become a more effective institution. Some suggested proposals are:

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2.3. Central Vigilance Commission (CVC) Student Notes:

The CVC was established in 1964 by an executive resolution upon the recommendation of
Santhanam Committee on Prevention of Corruption (1962-64). In 2003, the Parliament enacted
a law conferring statutory status on the CVC.

2.3.1. Functions of CVC

2.3.2. Challenges in the Functioning of Central Vigilance Commission

The CVC has made significant contributions to India’s anti-corruption efforts; a critical analysis
reveals several shortcomings and challenges faced by the institution:
Issue Details
Limited Independence The CVC is appointed by the government and relies on it for
functioning and resources, raising concerns about its
autonomy in investigating high-ranking officials.
Lack of Prosecutorial Powers The CVC cannot directly prosecute cases, leading to delays
and inefficiencies in corruption investigations.
Inadequate Staffing and The CVC lacks its own investigation wing and depends on

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 Resources government machinery, slowing down inquiries and delaying Student Notes:
case resolutions.
Limited Jurisdiction The CVC's scope is restricted to central government public
servants, excluding state-level and private sector corruption,
limiting its comprehensive impact.
Whistleblower Protection Despite encouraging whistle blowers, the lack of strong legal
protection in India deters informants from coming forward
due to fear of retaliation.
2.3.3. Improvements and Suggestions for Better Functioning of CVC
To address the challenges faced by the Central Vigilance Commission (CVC) in India, several
measures have been implemented to strengthen its independence, enhance its effectiveness in
combating corruption, and improve transparency. These steps include:
Measure Details
Amendments to the CVC Act The CVC Act has been amended to enhance the
Commission's powers and independence. Key changes
include:
- Authority to recommend penalties against public officials.
- Oversight of the Whistleblower Protection Act to ensure
greater transparency.
Establishment of Lokpal and These bodies handle corruption complaints against public
Lokayuktas officials, including those under the CVC's jurisdiction.
Enacting Whistleblower The Whistleblower Protection Act of 2014 provides legal
Protection safeguards to individuals who expose corruption, ensuring
their protection from retaliation.
Strengthening Investigative Specialized investigation wings within the CVC have been
Capabilities established to conduct inquiries and gather evidence,
expediting investigations and improving efficiency.
Way forward
Initiative Details
Embracing Technological The CVC has adopted technology to streamline processes and
Solutions enhance transparency, including launching an online complaint
filing mechanism.
Specialized Wings on Establishing specialized wings focusing on Big Data, AI, and other
Emerging Technologies emerging technologies to tackle corruption more effectively.
Capacity Building and The CVC emphasizes capacity building and training programs for
Training staff to enhance their investigative skills in corruption cases.
Collaboration with The CVC collaborates with international anti-corruption
International Agencies agencies, allowing for knowledge exchange and learning from
global best practices.
Focus on Preventive The CVC promotes preventive measures by emphasizing
Vigilance transparency, integrity, and ethical conduct through guidelines,
training, and awareness campaigns.

2.4. Central Bureau of Investigation (CBI)

The CBI is not a statutory body but derives its powers from the Delhi Special Police
Establishment Act, 1946, and serves as the main investigative agency for the Central
Government. It plays a crucial role in preventing corruption and maintaining administrative
integrity, working under the supervision of the Central Vigilance Commission for matters related
to the Prevention of Corruption Act, 1988.

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2.4.1. Challenges faced by the CBI Student Notes:

The Crime Bureau of

Investigation in India faces
several challenges in its efforts
to combat crime and maintain
law and order. Here are some of
the key challenges faced by the
CBI:
Issue Details
Political Due to its jurisdiction over high-profile cases, the CBI is often subject to
Interference political pressure, leading to manipulation of investigations and personnel
appointments.
Lack of The CBI's dependence on the government for decisions like
Autonomy appointments, transfers, and investigations impacts its autonomy and
credibility.
Insufficient Resource constraints, including budget limitations and inadequate
Resources staffing, hinder the CBI's ability to effectively investigate complex crimes,
causing delays and reduced efficiency.
2018 The CBI must seek the Centre’s permission before investigating any
Amendments to government servant, limiting its ability to pursue corruption cases
the Prevention independently.
of Corruption Act
Corruption &
other issues
leading to
erosion of public
trust Corruption allegations against the CBI officers, intentional lapse on the
part of CBI in arraying unwanted accused, continuing unwarranted
investigation, deleting important accused, not examining material
witnesses, not collecting scientific evidence.
2.4.2. Suggested Reforms to Improve Functioning of CBI
To address these concerns, several suggestions have been put forward. Some key suggestions
for reforming the Central Bureau of Investigation (CBI) in India are:
• Enhanced Autonomy:
What Is General Consent?
Enacting legislation to
provide the CBI with Usually there are two types of consent.
functional and financial Concerns on ‘General consent’:
autonomy, insulation from
Can CBI intervene in a state without general/specific
external influences, and
consent?
safeguards against
Yes. The CBI can continue investigating old cases unless
unwarranted transfers or
withdrawn by the state government. It can also investigate
removals of key personnel.
cases assigned by a court order.
(2nd ARC has suggested
that new legislation The CBI has the option to challenge a state’s decision in court
should be there for CBI’s by showcasing its progress in the investigation. Additionally,
governance) it can seek a search warrant from a local court to proceed
• Transparent with its investigation.
Appointments: Implement
a transparent and merit-based appointment process for key positions within the CBI.

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• Strengthening Accountability: Enhance internal mechanisms for accountability within the Student Notes:
CBI. This may include setting up an independent oversight body or a mechanism for periodic
external review of the agency's functioning, ensuring adherence to best practices and
ethical standards.
• Specialized Training and Resources: Collaborations with national and international law
enforcement agencies, promoting the use of advanced technology and forensic tools, and
investing in the professional development of CBI officers.
• Collaboration and Coordination: Foster closer collaboration and coordination between the
CBI and other law enforcement agencies, such as state police forces and anti-corruption
bodies, to effectively combat crime and corruption. Encourage information sharing, joint
operations, and mutual support to maximize the impact of investigative efforts.
• Whistleblower Protection: Strengthen whistleblower protection mechanisms to encourage
individuals to come forward with information about corruption or wrongdoing, ensuring
their safety and confidentiality.

2.5. Lokpal
A Lokpal for the Union and a Lokayukta for each state were both mandated as a result of the
Lokpal and Lokayukta Act of 2013. They act as "ombudsman" and investigate claims of corruption
made against certain public functionaries as well as other things relating to the investigation.

2.5.1. Powers of Lokpal

• The Lokpal has jurisdiction
includes the Prime
Minister except to the
corruption allegations
related to security, atomic Recently, the Lokpal interpreted the term ‘any person’ in the
energy, and space. clause to include a judge of a High Court. The 2013 Act does
• Lokpal also has not provide for an explicit exception for the judges of the
jurisdiction where a court established by an Act of the Parliament.

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 person is or has been in charge of anybody/society established by the central act or any Student Notes:
other finance body
• controlled by the central Exceptions
government and other person The jurisdiction of the Lokpal does not include ministers and
indulged in activities such as members of Parliament in the matter relating to:
abetting, bribe Any speeches delivered in the Parliament or;
• The Lokpal Act authorizes all the For a vote cast in the Parliament.
public officials who need to To investigate complaints against the Prime Minister, the
furnish their assets and Lokpal requires the approval of at least two-thirds of its
liabilities of themselves as well members. If an inquiry takes place, it will be held in camera.
as of their respective If the Lokpal decides to dismiss the complaint, the inquiry
departments. records will not be published or accessible to anyone.
• It has the power to supervise and provide directions to the CBI for investigating the matter
in relation to corrupting Glimpse on complaints before Lokpal (till May 2025)
• Lokpal also has the
powers to confiscate
the ill-gotten wealth
from the assets,
receipts, and benefits
• Of the total complaints, 3% were against Prime Minister/
in special Member of Parliament/ Union Minister, 21% complaints were
circumstances. against Group A, B, C or D officials of the Central government,
• Lokpal has the power to 35% complaints against chairperson or members in Central
recommend the government bodies, and 41% were against those in the “Others”
transfer or suspension category, which includes State government officials.
of a public official for • The Lokpal has rejected 90% of complaints over the last five
relatable to corruption. years as they were not in the correct format. At least 2,320
“defect-free” complaints were registered with the Lokpal in the
past five years.

2.5.2. Challenges on Functioning of Lokpal

Despite such novel idea and enactment of Lokpal Act 2013, the Lokpal in India has been facing
several challenges in its establishment and functioning.

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 Student Notes:

Addressing challenges is essential for Lokpal to realize its true potential in combating corruption
and upholding justice, integrity, and public trust.
2.5.3. Recommendations for Improving Functioning of Lokpal
There have been various proposed reforms to enhance the effectiveness and efficiency of the
Lokpal in India. Some of these proposed reforms include:

2.5.4. Lokayukta
Lokayukta is an anti-corruption ombudsman in Indian states, established under the Lokpal and
Lokayuktas Act (2013), which mandates states to create this institution within 365 days. The Act
allows states the flexibility to design their Lokayukta mechanism, leading to variations in
structure across different states.
Challenges Faced by Lokayuktas
Issue Details
Only One Section on The Lokpal Act 2013 contains only one section on Lokayukta,
Lokayukta mandating states to enact their own laws within a year, without
detailing composition or powers.
Limited Jurisdiction Lokayuktas in many states lack jurisdiction over the Chief
Minister, Council of Ministers, and MLAs, limiting their ability to
tackle high-level corruption.
Lack of Independence The selection and appointment process of Lokayuktas can be
influenced by political considerations, affecting their autonomy
and impartiality.

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 Neglection of Core Duty Lokayuktas often reject genuine complaints due to lack of Student Notes:
jurisdiction, anonymity, or perceived triviality, leading to neglect
of their core duties.
Insufficient Powers Lokayuktas may lack sufficient authority to investigate and
prosecute corruption cases effectively, including limited power
to summon witnesses and gather evidence.
Suggested Reforms for Lokayuktas
Recommendation Details
Uniform Model Adopt successful approaches from existing state laws like Karnataka and
Legislation Kerala, and integrate international best practices for ombudsmen.
Expanding Include the Chief Minister, former ministers, and civil servants under
Jurisdiction and Lokayukta’s jurisdiction, and allow Lokayuktas to start suo moto
Power inquiries.
Independent Lokayuktas should have their own independent agencies for
Investigation investigations or ensure that entrusted agencies conduct prompt
Agencies inquiries.
Timeframe for Government officials must prioritize references from Lokayuktas, with
Information penalties for those who delay providing required information.
Monitoring and Establish a committee to monitor Lokayukta’s progress and
Evaluation recommend reforms for effective corruption case resolution.

2.6. Information Commissions

The Information
Commission in India
refers to bodies
established under
the Right to
Information Act (RTI) of 2005. The RTI Act was enacted to promote transparency and
accountability in the functioning of public authorities. The Information Commissions at the
Central and State levels play a crucial role in ensuring the implementation of this law.
2.6.1. Challenges Faced by CIC and SIC
CIC/SIC is riddled with many issues.

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2.6.2. Recommendations for Reforming Information Regime in India Student Notes:

To establish a strong information commission regime in India, implementing the following

recommendations can significantly enhance its operational efficacy.

Copyright © by Vision IAS

All rights are reserved. No part of this document may be reproduced, stored in a retrieval system or
transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise,
without prior permission of Vision IAS.

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 Student Notes:
REGULATORY AUTHORITIES IN INDIA
Contents
Previous Years' Questions (2013-24).......................................................................................... 247

Previous Years' Questions: (Avg. weightage: ~3.47%)................................................................ 247

1. Regulatory Bodies in India...................................................................................................... 247

1.1. Types of Regulators in India ............................................................................................ 248

1.2. Reasons For Creating Independent Regulatory Bodies ................................................... 248

1.3. Issues Related to Regulatory Bodies in India .................................................................. 249

2. Important Regulatory Bodies ................................................................................................. 249

2.1. Telecom Regulatory Authority of India (TRAI)................................................................. 249

2.2. National Pharmaceuticals Pricing Authority ................................................................... 251

2.3. The Competition Commission of India ............................................................................ 251

2.3.1. Powers of the Competition Commission of India .................................................... 251

2.3.2. Landmark decisions of the Commission................................................................... 251

2.3.3. Challenges and Recommendations for Enhancing Functioning of CCI..................... 252

2.4. Securities and Exchange Board of india .......................................................................... 253

2.4.1. Issues related to SEBI ............................................................................................... 253

2.4.2. Suggestions for improving SEBI's functioning: ......................................................... 254

Copyright © by Vision IAS

All rights are reserved. No part of this document may be reproduced, stored in a retrieval system or
transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise,
without prior permission of Vision IAS.

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 Student Notes:
Previous Years' Questions (2013-24)
• The product diversification of financial institutions and insurance companies, resulting in
overlapping of products and services strengthens the case for the merger of the two
regulatory agencies, namely SEBI and IRDA. Justify. (2013, 10 marks)
• The setting up of a Rail Tariff Authority to regulate fares will subject the cash strapped Indian
Railways to demand subsidy for obligation to operate non-profitable routes and services.
Taking into account the experience in the power sector, discuss if the proposed reform is
expected to benefit the consumers, the Indian Railways or the private container operators.
(2014, 12.5 marks)
• "For achieving the desired objectives, it is necessary to ensure that the regulatory institutions
remain independent and autonomous." Discuss in the light of the experiences in recent past.
(2015, 12.5 marks)
• Discuss the role of the Competition Commission of India in containing the abuse of dominant
position by the Multi-National Corporations in India. Refer to the recent decisions. (2023, 10
marks)

Previous Years' Questions: (Avg. weightage: ~3.47%)

1. Role and Need for Regulators: Understand why regulatory bodies are needed in various
sectors (e.g., finance, telecom, power, competition).
○ PYQ Example: "Discuss the role of the Competition Commission of India in containing the
abuse of dominant position by the Multi-National Corporations in India. Refer to the
recent decisions. (2023, 10 marks)"
2. Independence and Accountability: A key theme is ensuring their independence from
government/industry influence while also maintaining their accountability.
○ PYQ Example: "'For achieving the desired objectives, it is necessary to ensure that the
regulatory institutions remain independent and autonomous.' Discuss in the light of the
experiences in recent past. (2015, 12.5 marks)"
3. Effectiveness and Challenges: Be prepared to discuss the effectiveness of specific regulatory
bodies (SEBI, IRDA, TRAI, CCI etc.) and the challenges they face. Questions are sporadic but
can be specific.
○ PYQ Example: "The product diversification of financial institutions and insurance
companies, resulting in overlapping of products and services strengthens the case for the
merger of the two regulatory agencies, namely SEBI and IRDA. Justify. (2013, 10 marks)"
-------------------------------------------------------------------------------------------------------------------------------

1. Regulatory Bodies in India

Regulatory bodies are institutions set up to oversee and control specific sectors of the economy,
ensuring fair practices and protecting public interests. In India, their role has evolved over time.
Phase Description
• Government held strict control over the economy.
Pre-1991 Era (1947 • Private sector activities were regulated through licensing and quotas.
to 1991) • Regulations were not independent, as the state maintained dominant
control.
• Economic liberalization reduced government control.
Post-1991 • Licensing was relaxed, and quotas were abolished.
Economic Reforms • Private firms were allowed in sectors previously dominated by
government monopolies like electricity and telecommunications.
As the economy opened up, independent regulatory bodies became necessary to ensure
fairness between public and private companies. Since 1991, several authorities have been
established to prevent monopolies and manage key sectors like banking, insurance, and capital

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markets. These bodies now play a crucial role in protecting consumers, encouraging innovation, Student Notes:
and keeping India's growing economy stable.

1.1. Types of Regulators in India

There are primarily two types of regulatory agencies:
Statutory Regulatory Authorities Self-Regulatory Authorities
Separated from the executive wing of the Created under different laws but are
government and enjoy a certain degree of self-regulatory in nature. Their
autonomy because: functions may include:
• Complexities and advanced technologies • Issues of professional education.
require expert handling. • Matters connected with licensing.
• Public interest is best served by insulating • Ethical conduct of practitioners.
decision-making from political interference. Example: The Bar Council of India (BCI)
• Ensuring a level playing field for all stakeholders. regulates the legal profession and sets
Example: Securities and Exchange Board of India ethical standards independently
(SEBI). within the legal field.

1.2. Reasons For Creating Independent Regulatory Bodies

• Independent regulatory bodies
exist to prevent monopolies and
ensure fair competition, crucial
in sectors with both public and
private players. Example: The
Competition Commission of
India (CCI).
• These bodies protect the public
interest by operating
independently, free from
political influence. For instance,
the Reserve Bank of India (RBI)
regulates monetary policy
without short-term political
pressures.
• Complex sectors like
telecommunications and finance
require specialized knowledge.
Regulatory bodies like TRAI and
SEBI possess the necessary
expertise to oversee these
industries effectively.
• These bodies promote
transparency and
accountability. SEBI enforces
regulations that require
companies to disclose financial
information, protecting investors
and maintaining market
integrity.
• Post-1991 reforms led to the
creation of regulatory bodies like IRDAI to adapt to economic changes and effectively
regulate newly liberalized sectors, balancing consumer protection with business interests.

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1.3. Issues Related to Regulatory Bodies in India Student Notes:

• Administrative Incoherence: The Regulators in India face the issue of overlapping

jurisdictions and unclear guidelines as unlike other countries (USA have Administrative
Procedure Act, 1946), India does not have an overarching administrative law for Regulatory
Bodies.
• Structural Weakness: Regulators in India often need to make technical decisions, but many
expert positions remain vacant. For example, nearly 20% of posts at the Central Pollution
Control Board are vacant, according to its latest annual report.
• Fragmented Control: A major concern of regulatory bodies in India is fragmented control,
where multiple regulators oversee the same sector, leading to inefficiency and confusion. For
instance, in the telecom sector, both the Telecom Regulatory Authority of India (TRAI) and
the Department of Telecommunications (DoT) have overlapping roles, causing delays and
conflicts in decision-making.
• Outdated Legal Framework: Despite technological advancements, regulators in India still
operate under outdated laws, showing the need for updated regulations.
Unified Supervision vs. Multiple Regulators
In India, the debate between unified supervision and multiple regulators for financial
institutions involves weighing efficiency gains and potential for regulatory conflicts.
Arguments in Favour of Unified Supervision Arguments Against Unified Supervision
Different regulators could set varying A single regulator might struggle to focus
regulations for the same activity, leading to on diverse objectives and may not
inconsistencies. Unified supervision adequately differentiate between different
ensures competitive neutrality. (Example: types of institutions.
IRDA and SEBI on ULIPs)
The unified approach allows for more A unified regulator may suffer from
flexible regulatory arrangements and diseconomies of scale, becoming more rigid
avoids inefficiencies caused by turf wars. and bureaucratic than specialized agencies.
(Example: NSEL crisis)
Economies of scale are ensured as a larger Public perception may lead to the
organization allows better specialization, assumption that all creditors of institutions
efficient use of inputs, and cost savings supervised by a unified regulator will
through shared infrastructure. receive equal protection, increasing risk.
Unified supervision improves Creating a unified agency requires new
accountability by making it easier to hold a legislation, which could be influenced by
single regulator responsible for their special interests or lead to loss of key
performance against statutory objectives. personnel, reducing regulatory capacity.
This could lead to an unpredictable change
process

2. Important Regulatory Bodies

2.1. Telecom Regulatory Authority of India (TRAI)
The Telecom Regulatory Authority of India (TRAI) was established under the Telecom Regulatory
Authority of India Act, 1997. It is an independent statutory body responsible for regulating the
telecommunications sector in India.
Powers and Functions
• Protect the interests of consumers in the telecommunications sector.
• Ensure technical compatibility and effective interconnection between different service
providers.

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• Enforce compliance with license terms and promote competition to enhance efficiency and Student Notes:
growth in telecom services. What is TRAI’s role in fighting spam?
• Recommend the timing and terms for The TRAI regulates the telecom industry, and its
introducing new service providers and main role is in regulating Unsolicited
the conditions of their licenses. Commercial Communications (UCC), the
• Settle disputes between service official name for spam. Starting in 2007, the
providers by acting as an adjudicatory regulator implemented a do-not-disturb (DND)
body, offering mediation and arbitration registry, which would force telemarketers to
to resolve conflicts. abide by customer preferences when it came to
Telecom Disputes Settlement Appellate commercial calls.
Tribunal (TDSAT) In 2024, the regulations were tightened to
ensure “traceability” of messages, thus making
• Under TRAI Act, 1997 (amended in sure that telcos would have a complete record
2000), TDSAT was set up to adjudicate of who issued a message before it is sent to an
disputes and dispose of appeals with a SMS gateway.
view to protect the interests of service
providers and consumers of the telecom sector and to promote and ensure orderly growth
of the telecom sector.
• In January 2004, the Government included broadcasting and cable services also within the
purview of TRAI Act.
• Under Finance Act 2017, the jurisdiction of TDSAT stands extended to matters that lay before
the Cyber Appellate Tribunal and also the Airport Economic Regulatory Authority Appellate
Tribunal.
• It can adjudicate upon any dispute between:
o Licensor (Central Government) and a licensee.
o Two or more service providers.
o Between a service provider and a group of consumers.

Net Neutrality Regulations in India

In 2018, India implemented one of the world's strongest net neutrality regulations to ensure
fair treatment of online content. Key aspects of
these regulations include:
• Prohibiting Internet service providers (ISPs)
from engaging in any form of discrimination or
interference in the treatment of online content.
• Banning practices such as blocking, slowing
down, degrading, or giving preferential
treatment to any content by ISPs.
• Restricting service providers from entering into
agreements that lead to discriminatory
treatment of content on the Internet.
• Exempting critical services like remote surgery
and autonomous vehicles from this regulatory
framework.
• Maintaining the illegality of zero-rating
packages like Facebook's Free Basics, which
offer certain content for free.
TRAI also emphasized that Internet use should
promote free speech and ensure a diversity of views and opinions.
In addition to net neutrality, TRAI announced regulatory changes in the broadcasting and cable
sectors:

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• Removing the ceilings on Network Capacity Fee (NCF), allowing service providers to set NCF Student Notes:
based on factors like the number of channels and regional considerations.
• Increasing the discount limit for cable operators on channel bouquets from 15% to 45%.
• Declaring pay channels available for free on public service broadcasters' platforms as free-
to-air across all addressable distribution platforms.
These changes highlight India's commitment to maintaining a fair and open digital landscape
while offering consumers greater choice and flexibility in broadcasting services.

2.2. National Pharmaceuticals Pricing Authority

The National Pharmaceutical Pricing Authority (established in 1997) is an attached office
Department of Pharmaceuticals. It has been entrusted with the following function
• To implement and
enforce the
provisions of the
Drugs Price Control
Order (DPCO)
1995/2013 in
accordance with the powers delegated to it.
• To undertake and/or sponsor relevant studies in respect of pricing of drugs/formulations.
• To monitor the availability of drugs, identify shortages, if any, and to take remedial steps.
• To collect/maintain data on production, exports and imports, market share of individual
companies, profitability of companies etc. for bulk drugs and formulations.
• To deal with all legal matters arising out of the decisions of the Authority.
• To provide advice and assistance to the Central Government on changes or revisions in drug
policy and to support parliamentary matters related to drug pricing.

2.3. The Competition Commission of India

The Competition Commission of India (CCI) is the regulatory authority established to promote
fair competition in the Indian market. It ensures that businesses operate within the bounds of
fair practices, preventing anti-competitive behavior, monopolies, and fostering a transparent and
consumer-friendly market environment.
What is Dominant Position
2.3.1. Powers of the Competition
Definition: A "dominant position"
Commission of India
refers to a position of strength held by
The powers of the commission are derived from an enterprise in the relevant market.
Competition Act 2002, amended in 2023. These are: Characteristics:
• Prohibition of anti-competitive agreements. 1. It allows the enterprise to operate
• Prohibition of abuse of dominant position. independently of the competitive
• Regulation of combinations (acquisition by forces present in the market.
merger or amalgamation). 2. It enables the enterprise to affect
• Competition advocacy or culture: Opinion to its competitors, consumers, or the
Central/State Government on effect on relevant market in its favor.
competition while Government is forming a
policy and promotion of completion advocacy and culture.
2.3.2. Landmark decisions of the Commission
Case Details and Outcome
Cartelisation by Tyre The CCI, acting on a reference from the Ministry of
Manufacturers and their Corporate Affairs (MCA), found tyre manufacturers
Association guilty of exchanging price-sensitive data. As a result, the

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 CCI imposed a penalty of 5% of the average turnover for Student Notes:
the last three financial years and issued a cease-and-
desist order.
Non-Cooperation Fine on Google The CCI fined Google one crore for not cooperating in an
ongoing investigation by the Director General of
Competition, which was looking into Google's abuse of
its dominant position in online search and search
advertising.
Unnotified Acquisition byAxis Axis Bank was fined Rs 40 lakh by the CCI for failing to
Bank notify its acquisition of CSC e-Governance, violating
competition regulations.
Fine on Coal India's Dominance The CCI imposed a Rs 1,773-crore fine on Coal India for
abusing its dominant position, addressing anti-
competitive behaviour in key industries.
2.3.3. Challenges and Recommendations for Enhancing Functioning of CCI
Aspect Issue Recommendation
Enforcement of The definition of ‘enterprise’ in the The Injeti Srinivas
competition law Competition Act includes a Committee recommended
against State department of the Government. amending the Competition
Owned Enterprises, However it does not include any Act to establish a governing
public procurement activity of the Government relatable to body for the CCI to enhance
and creation of the sovereign functions of the its accountability. It also
competition Government and activities carried on by emphasized the need for
culture. departments of atomic energy, the law to apply equally to
currency, defense and space. all enterprises, whether
private or state-owned.
Lack of Fear Of The imposition of heavy fines by the To address concerns over
Sanctions Commission has raised concerns fines, the Committee
among companies. Proponents of strict recommended
penalties argue that the absence of empowering the CCI to
significant sanctions has fostered a formulate detailed penalty
culture of cartelization in the country. guidelines, ensuring
However, the lack of clear penalty consistency and fairness in
guidelines has led to inconsistent fines imposing fines.
being imposed by the Commission.
Demand for The relationship between the Commission opined that
Exclusion of Competition Commission and sectoral competition related
jurisdiction of CCI. regulators has been challenging. For practices or market
example, finance and telecom practices of banks will fall
ministries have sought exclusion from with the Commission itself.
the Competition Commission's
oversight, raising concerns about
overlapping authority.

Capacity building of There is a lack of specialized The Commission

Competition professionals with a solid recommended setting up a
Commission of understanding of competition law and dedicated market research
India. expertise in market-related issues. unit. With external support,
it has already studied the
onion market, competition
in the pharmaceutical

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 industry, and infrastructure Student Notes:
concession agreements.
Bid Rigging in The mechanism to detect bid rigging During the 2023 BRICS
Public procurement and avoid them to ensure full value of conference in Delhi, it was
public money has been one of the recommended to enhance
issues discussed during the BRICS cooperation and
conference in Delhi. information sharing among
member countries to
detect and prevent bid
rigging.

Competition (Amendment) Act, 2023

The Injeti Srinivas Committee was formed in 2018 to review the Competition Act due to the
evolving market landscape, leading to key amendments that aligned the Act with the
changing business environment.
Major Changes Details
Broadened Definitions Definitions of enterprise and relevant product market have
been expanded to close potential loopholes.
Inclusion of Services The scope of dominant position now includes services,
ensuring broader coverage.
Broadened Coverage of Any acquisition is considered a combination if the transaction
'Combination' value exceeds Rs. 2,000 crore. The government can exempt
transactions below prescribed asset value limits. Public
Financial Institutions, Foreign Portfolio Investors, Banks, or
Category I alternative investment funds are exempt from
combination provisions. The cooling period for combinations
has been reduced from 210 days to 150 days.
Global Reach Transactions outside India are covered if the enterprise has
substantial operations in India.
Agreements with The CCI can enter into memorandums or arrangements with
Foreign Agencies foreign agencies for its duties and functions, with prior
approval from the Central Government.

2.4. Securities and Exchange Board of india

One of the significant recent issues involving SEBI was its handling of corporate governance lapses
at Zee Entertainment Enterprises Limited (ZEEL). The company faced accusations of
mismanagement and alleged insider trading involving key promoters. This raised questions about
SEBI’s ability to ensure corporate transparency and protect investor interests, especially in high-
profile cases.
2.4.1. Issues related to SEBI
• Weak Enforcement of Corporate Governance Norms: Despite SEBI’s existing regulations,
cases like the governance issues at ZEEL and the Yes Bank crisis highlighted delays in taking
action against corporate mismanagement. These cases eroded investor confidence in SEBI's
regulatory effectiveness.
• Insider Trading and Market Manipulation: In the case of Religare Enterprises, SEBI's delayed
response to allegations of insider trading and fund misappropriation underscored the need
for better surveillance and quicker enforcement actions.
• Delayed Investigations: The prolonged investigation into IL&FS (Infrastructure Leasing &
Financial Services), which took years to conclude, showed the challenges SEBI faces in
dealing with complex cases. The delay contributed to market instability and uncertainty.

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• Conflict of Interest: In the NSE co-location scam, where certain brokers allegedly received Student Notes:
preferential access to NSE’s trading servers, there were concerns about potential conflicts of
interest and SEBI's slow response in addressing the issue, which affected market integrity.
• Transparency in Adjudication Process: SEBI's handling of the Adani Group cases, particularly
the non-disclosure of complete details during investigations, led to calls for greater
transparency in its adjudication process.

Over the years, SEBI has put in place robust systems of checks and balances that have
constantly evolved to ensure that India’s securities market and financial system gained the
reputation of being one of the most reliable globally. However, in 2024, SEBI chief Madhabi
Puri Buch, was under attack from Hindenburg Research following its accusations against the
Adani Group. Key issues:
1. Conflict of Interest:
• Chairperson’s offshore investments linked to Adani’s brother raise impartiality
concerns.
• Consultancy firms reportedly earned revenue during her tenure, violating conflict
rules.
• Failure to recuse in Blackstone case tied to her husband’s advisory role questions
neutrality.
2. Investigation Concerns:
• Perceived reluctance to probe Adani’s offshore fund scandal fully (Hindenburg).
• Long investigation duration with limited transparency fuels doubts on SEBI’s
effectiveness.

2.4.2. Suggestions for improving SEBI's functioning:

• Stronger Corporate Governance: SEBI should regularly audit companies' governance
practices to catch problems early, ensuring swift action, as seen in the ZEEL case.
• Better Market Monitoring: SEBI needs to use advanced tools to monitor trading in real-time,
helping to quickly spot issues like insider trading, similar to global practices.
• Faster Investigations: To prevent delays like in the IL&FS case, SEBI should set strict timelines
for completing investigations, ensuring quicker resolutions.
• Increased Transparency: SEBI should publicly share key decisions and their reasons, following
the example of European regulators, to build trust in its processes.
• Independent Oversight: An independent body should review SEBI's actions to ensure they
are fair and unbiased, similar to how it's done in the US.
By incorporating these examples, SEBI can reinforce its regulatory framework, ensuring stronger
governance, greater transparency, and improved investor confidence in India's capital markets.

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